NSCP Spring Conference in San Francisco

Registration Type	Early Bird Price 1/4 - 3/9	Final Price 3/10 - 5/2
Member	$375	$500

Non-Member	$575	$700

Adán Araujo

Jasper Ridge Partners, LP
Adán D. Araujo is the Chief Compliance Officer of Jasper Ridge Partners, where he is responsible for overseeing regulatory matters. Jasper Ridge Partners is a wealth advisor and asset management firm that provides tailored advisory services to a select group of families and institutional clients. Prior to joining Jasper Ridge Partners, Adán was Senior Vice President and Chief Compliance Officer of FirstCommand Financial Services. He also served as Senior Counsel for the United States Securities and Exchange Commission's Division of Enforcement where he investigated violations of the federal securities laws, as in-house counsel at the Vanguard Group, Inc., and as an attorney at Kilpatrick Stockton, LLP where he specialized in advising clients on regulatory matters involving securities laws, with an emphasis on mutual fund and investment adviser issues. Adán holds a J.D. degree from Rutgers School of Law, a B.S. degree from St. Peter's College, and completed French Civilization Studies at Universite de Grenoble.

Barbara Boehler

Wolters Kluwer Financial Services
Barbara joined Wolters Kluwer in 2015 with 15 years’ experience in the financial services sector, where she had developed, monitored and assessed both broker-dealer and investment advisor firms’ ethics and compliance programs. She formerly served as global chief compliance officer for Arete Research, a limited-purpose, FINRA-registered broker/dealer specializing in equity research. Boehler also held compliance roles at Fidelity Investments, JP Morgan Invest, Standish Mellon Asset Management, and Babson Capital Management. Boehler teaches

Michael Burns

Ameritas Investment Corporation
Michael D. Burns is Senior Vice President, Chief Compliance and Risk Management Officer for Ameritas Investment Corp. Michael joined the firm in 2014 and is responsible for guiding all regulatory compliance efforts, risk management, and establishing policies to address regulatory developments. Prior to joining Ameritas Investment Corp., he served as Chief Compliance Officer of Cetera Investment Services LLC. This came after serving in various executive-level compliance positions within bank, mutual fund, CPA and independent insurance channels, as well as consulting in regulatory matters. Michael is active in industry associations and has served on the FINRA District 4 Consultative Committee in addition to FINRA hearing panels. He earned a Bachelor of Science degree in Business Administration from The Ohio State University and subsequently received a certificate in Audit from The School for Bank Administration in Madison, Wis. He also completed the SIFMA Securities Industry Institute at the Wharton School. Michael is a Certified Public Accountant and Certified Anti-Money Laundering Specialist.

Dan Campbell

ACA Compliance Group
Dan Campbell joined ACA in May 2011 as a Senior Principal Consultant. Now a Managing Director, Dan provides advice to investment advisers, hedge fund managers, and private equity firms on compliance with federal securities laws. In this role, he manages and conducts compliance program reviews and mock SEC inspections of investment advisers and assists these firms in identifying and addressing their unique compliance and operational risks. Dan also helps clients write customized compliance manuals, reviews trading activity and disclosure documents, conducts forensic testing on various risk areas, and prepares investment advisers for registration with the Securities and Exchange Commission (“SEC”). In addition, he provides compliance consulting to municipal advisors, which includes assistance in developing supervisory and compliance programs. Besides his consulting work, Dan speaks at industry events, participates on industry expert panels, and writes articles on current compliance issues for widely read industry periodicals. Prior to joining ACA, Dan served as Assistant Regional Director at the SEC’s Atlanta Regional Office. While there, he supervised three branch offices conducting registered investment adviser, investment company, and broker-dealer examinations. During this period, Dan took part in strategic planning for investment adviser and investment company examinations, which included communicating Office of Compliance Inspections and Examinations goals to his managers and staff. Dan also trained and coached his managers and staff on examination techniques and regulatory initiatives and maintained regular communications with various SEC divisions and offices, investors, registrants, and other regulatory agencies. Dan earned his Bachelor of Business Administration degree from James Madison University. He received his MBA from Emory University’s Goizueta Business School. Dan is a Certified Fraud Examiner and has passed the Level I Exam of the Chartered Alternative Investment Analyst program.

Elin Cherry

Elinphant, LLC
Elin Cherry is the founder of Elinphant as well as a seasoned Compliance Executive. In her current role Elin ensures compliance officers who serve clients are skilled and knowledgeable in relation to the clients business and needs. Elin believes that clients are best served when knowledgeable professionals execute projects. Prior to founding Elinphant, Elin was Principal and Head of Capital Markets at Compliance Risk Concepts, (“CRC”). In that role Elin grew a book of business to ½ million revenue in the last year. Elin was charged with managed the relationship management and execution of client mandates as well as hiring and managing consultants. Elin marketed the firm through articles, blogs, speaking engagements. Elin is known for looking at compliance challenges as well as marketing and sales in an innovative and direct manner. Elin was also Director and Head of Business Unit Compliance, for CIT Group Inc. Elin was a member of the Compliance senior management team with responsibility for the US business compliance programs, BUCO’s, broker-dealer compliance, and CIT Bank team. Prior to CIT, Elin was at Societe Generale for six years, where she served as Managing Director, Head of Global Markets Compliance and Deputy Director to the Chief Compliance Officer. Elin also served in senior compliance roles at Deutsche Bank Securities Inc. and Banc of America Securities. She has deep experience in compliance programs, regulatory relations, testing and monitoring, compliance audits and capital markets, among others. Elin brings strong leadership skills and experience that benefit our Compliance team. She holds a J.D. from the University of Denver College of Law and received her B.A., cum laude, from the University of Colorado. Speaking Engagements | Publications | Video Productions THOMSON REUTERS: Annual Conferences 2016 and 2015 COMPLIANCE SCIENCE: Annual Conference 2016, Multiple Webinars ACTIANCE: Actiance Unleashed, 2016 SIFMA: Annual Compliance and Legal Seminar, 2012 CFA INSTITUTE: Corrupt or Collaborative? An Assessment of Regulatory Capture, August, 2016 CRC BLOG: Storm Clouds and Silver Linings: Surviving the New AML Reality, June 2016 TRADERS MAGAZINE NEWS: Decoding FINRA’s 2016 Regulatory and Examinations Letter, February 2016 COMPLIANCE SCIENCE: What to Do-and Not Do-at Your Next SEC Exam, February 2016 FORBES: 5 Workplace Changes We Need Right Now, November 2015 THE HUFFINGTON POST: Girl Scouts Today, Leaders Tomorrow, OCTOBER 2015 THE HUFFINGTON POST: 46 Hours of Tape | Goldman Sachs, The Fed & Carmen Segarra, October 2014 CRC-TV: https://www.youtube.com/user/complianceriskconcep, 2016

Chelsea Childs

Dechert LLP
Chelsea M. Childs is an associate in the financial services group. Ms. Childs advises U.S. registered investment companies and their investment advisers on a wide variety of regulatory, compliance and corporate matters, including the development and launch of new funds, fund reorganizations, regulatory and compliance matters relating to existing funds. Ms. Childs also advises clients in connection with examinations by and requests for exemptive relief from the Securities and Exchange Commission. Ms. Childs regularly advises boards of directors/trustees of U.S. registered investment companies on fund governance and fiduciary oversight matters, including director/trustee independence and regulatory examinations. Ms. Childs is Co-Chair of Dechert’s Firm-wide Associates Committee and a member of the Financial Services Group Associates Committee.

Beth Ann Coleman

Fairfield Residental Company, LLC
Beth Ann Coleman is Chief Compliance Officer of Fairfield Residential Company LLC a privately held multi-family owner, operator, developer of real estate projects and through its wholly-owned subsidiary Fairfield Realty Advisors LLC provides investment management services to sponsored funds. Ms. Coleman earned her M.B.A. in Financial Economics from Pace University, New York and her B.A. in Political Science with a concentration in International Relations from the State University of New York at Binghamton. Prior to joining Fairfield, she was Head of Employee Support Group for Deutsche Bank Securities Inc. in Jacksonville, FL and Deputy Chief Compliance Officer of Allianz Global Investors U.S. Holdings LLC in San Diego. She has over 20 years of compliance experience supporting investment advisers and financial service companies. Ms. Coleman is a member of the National Society of Compliance Professionals, Speaker’s Chair of the Southern California Compliance Group and previously served as the President of the Southern California Compliance Group in 2013.

Ann Oglanian

ReGroup, LLC
Ann E. Oglanian founded ReGroup in 2002 as an interdisciplinary consultancy dedicated to providing strategic and tactical guidance to investment advisers, boards of directors, hedge funds and private equity firms regarding all areas of business risk management, including regulatory management and the development and assessment of compliance programs. ReGroup also provides guidance regarding business planning and development, vendor selection processes, negotiations, cost management, as well as executive coaching and executive search services. Ann has over 25 years of professional experience in the financial services industry. Formerly, she was the Managing Director, General Counsel, and Chief Compliance Officer for San Francisco-based Montgomery Asset Management ($10B AUM). Prior thereto, she was a partner in the investment services practice group of the Chicago-based law firm, Vedder Price, where she represented a wide range of mutual funds, investment advisers, independent fund directors, and broker/dealers. Formerly, Ann served as in-house counsel to Strong Capital Management ($30B AUM) and Kemper Financial Services ($60B AUM). Ann earned a JD from the University of Iowa, College of Law and BA from Trinity University in San Antonio, TX. Ann is the author of many investment industry articles, and is a regular contributor to investment industry journals, including a series of interviews with thought leaders in the investment industry. Ann is an Editorial Board Member of Practical Compliance & Risk Management and is a sought after and engaging speaker on a wide variety of topics. Ann is a member of the Business Law Section of the American Bar Association, and the National Society of Compliance Professionals.

Manoj “Tito” Pombra

Matthews Asia
Mr. Pombra has over twenty eight years of experience in the global asset management industry, including nineteen plus years of experience in the Investment Company/Investment Adviser compliance area. Professional Experience Mr. Pombra currently serves as the Chief Compliance and Anti-Money Laundering Officer for Matthews International Capital Management, LLC (“Matthews Asia”) and Matthews International Funds (d/b/a Matthews Asia Funds). In his current role, he is responsible for managing the compliance programs of the Investment Company, Investment Adviser, off-shore funds (Luxembourg based UCITS Funds), and Matthews Global Investors, Hong Kong registered broker-dealer. In addition, he oversees the Matthews Asia Funds service provider’s compliance program under Rule 38a-1. Prior to joining Matthews in March 2005, Mr. Pombra was at Franklin Templeton Investments (“FTI”) as Senior Manager/Manager of Mutual Fund Compliance (April 2001-March 2005), an internet company as a Senior Financial Reporting Manager (June 2000- March 2001) and FTI for over 10 years, during which time he worked as a Manager, Supervisor and other various positions in the Fund Accounting and Legal Compliance departments. Mr. Pombra began his career in the mutual fund industry with Dreyfus Funds, as a fund accountant. Mr. Pombra graduated from Queens College, NY (1987) with bachelors in accounting and economics. Mr. Pombra’s major emphasis in the securities industry has been in the compliance and accounting areas. He is a member of the Board of Directors of the National Society of Compliance Professionals (NSCP), member of Investment Company Institute’s (ICI) CCO and Compliance Advisory Committee and co-chair of the San Francisco Bay Area CCO Committee. In 2008, Mr. Pombra was named as a Top 20 Rising Star for “Who’s Who” in Upcoming Compliance Professionals by Compliance Reporter magazine. Mr. Pombra frequently speaks at industry conferences (e.g. NSCP, ICI, IAA, IA Watch, PEI, etc.) on a wide variety of compliance related subjects.

Sara Priola

Figure
As Figure’s General Counsel, Sara leverages her extensive experience in structuring and negotiating complex real estate transactions, securities, compliance and corporate law. Prior to joining Figure, she was Chief Legal Officer at PeerStreet, an award-winning, Andreessen Horowitz-backed, platform focused on democratizing access to real estate debt. Before joining PeerStreet, Sara served as a real estate attorney with both Dechert LLP, where she advised banks and institutional lenders in large-loan originations, and Greenberg Traurig LLP, where she advised lenders, borrowers and developers in a wide variety of complex real estate transactions. Sara graduated from St. John’s College with a B.A. in liberal arts and from USC with a J.D. and a Masters in Business Taxation.

Kim Tomsen

Stamos Capital
Kim Tomsen is a Partner at Stamos Capital, where she serves as general counsel and chief compliance officer. Before joining Stamos Capital, she was a partner at a boutique investment management law practice, where she represented and advised family offices, private endowments and institutional asset managers on a wide range of investment management and securities law issues. She previously practiced investment management law at the firms of Morrison & Foerester LLP in San Francisco, and Debevoise & Plimpton LLP and Akin Gump Strauss Hauer & Feld LLP in New York. She received a BA from the University of California, Berkeley and an MA from Stanford University. She also received a JD from Columbia Law School. She is a member of the California State Bar Association and the New York State Bar Association.

Michael Townsend

Charles Schwab
As Vice President of the Office of Legislative and Regulatory Affairs, Michael T. Townsend handles a variety of policy issues for Charles Schwab & Co., Inc., and is also responsible for development and implementation of the firm’s public policy communications strategy. He speaks regularly at events around the country on how policy and politics affect investors. Townsend brings more than 23 years of Washington experience as he analyzes legislative and regulatory proposals to determine how they would affect individual investors, retirement plan participants and investment advisers. As an advocate for individual investors, he then develops and executes strategies to communicate their interests to lawmakers, the media, employees and clients. He specializes in tax issues, mutual funds, retirement savings, charitable giving issues, market structure and financial literacy. Townsend is a featured speaker at dozens of employee, client, adviser and industry events each year, where he discusses the impact of the political and policy environment in Washington on investors and the capital markets. He also contributes political analysis articles to a variety of company publications, including regular updates to the “Washington Watch” section of Insights & Ideas on Schwab’s public website at www.schwab.com/insights. He joined Schwab in April 2000 after nearly three years at Powell Tate, Inc., a Washington, D.C., public affairs firm, where he headed the Financial Services Legislative and Regulatory Issues group. He previously served as press secretary and legislative assistant to Senator Susan M. Collins (R-Maine), and was Collins’ spokesperson during her successful 1996 campaign for the Senate. From 1993-1996, Townsend was an aide to Senator William S. Cohen (R-Maine), serving as assistant press secretary and later as press secretary to the Senate Special Committee on Aging, which Cohen chaired. He earned his Bachelor of Arts degree in English from Bowdoin College in Brunswick, Maine, and a Master of Arts degree in English from George Mason University. He lives in Falls Church, Virginia, with his wife and three children. Charles Schwab & Co., Inc. (member SIPC, http://www.sipc.org) is a subsidiary of The Charles Schwab Corporation (NASDAQ: SCHW).

Craig Watanabe

DFPG Investments, Inc.
Mr. Watanabe has been a Financial Adviser and the Director of IA Compliance at DFPG Investments, Inc. (“DFPG”) since April 2018. Mr. Watanabe entered the securities industry in 1983 and has been a successful financial planner, Branch Manager, Operations Manager, Chief Compliance Officer and Chief Operating Officer. Mr. Watanabe has broker-dealer and investment adviser compliance experience covering retail brokerage, market making, research, investment banking. insurance, commodities, retail investment advisory and ERISA plans. In his current role as a financial adviser with DFPG, Mr. Watanabe works with clients to assist in growing and protecting their assets and planning to meet their financial objectives. DFPG is a registered broker-dealer and investments adviser. Mr. Watanabe is responsible for the investment adviser compliance program. Mr. Watanabe served on the FINRA District 2 Committee from 2008-11 and was Chairman of the Committee in 2011. He also served six years on the NSCP Board of Directors and was Chairman of the Board in 2013. Mr. Watanabe is a frequent speaker at conferences and has authored numerous articles and training modules for financial professionals. Securities and advisory services are offered through DFPG Investments, Inc., Member FINRA and SIPC.

NSCP Spring Conference in San Francisco

May 3, 2018

The Schwab Center

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