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Breakout Sessions for Day Two – Roundtable Discussions on Day Two Topics

October 27, 2021
4:45 PM - 5:45 PM EDT
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Breakout sessions for day two include:
1. Enforcement Proceedings
2. Ethics
3. DOL
4. Diminished Capacity
5. Cybersecurity
6. ESG
7. Use of Solicitors
8. Communication for Compliance Professionals

Drew A. Ahrens
Senior ConsultantNRS

Drew Ahrens’ responsibilities as a Senior Consultant with National Regulatory Services include on-site compliance reviews, risk assessments, policies and procedures drafting and review, as well as other compliance related analyses for investment advisers, private equity funds, hedge funds and investment companies.

Drew joined NRS in 2010 and has worked in the compliance field for the past 30 years. Prior to his current role, Drew has had extensive experience as Chief Compliance Officer with Atlantic Trust, FIM Group and Henderson Global Investors, and as CCO of their respective mutual fund companies. Drew had also formed his own regulatory consulting firm, Crosswinds Consulting.

Drew has also worked for firms including PPM America as VP of Compliance, Cova Investment Advisory Corp. as Director of Investment Advisory Compliance and Van Kampen Asset Management in various compliance roles.

Drew’s unique background gives him a strong understanding of a firm’s regulatory and CCO responsibilities. He has exceptional experience with the Investment Advisers Act of 1940 and the Investment Company Act of 1940. He has worked with various financial products, some of which include fixed income, hedge funds, REITS, annuities, options, open-end and closed-end funds, digital assets and private equity investments. Drew has also had experience with building successful compliance programs from the ground up.

Drew holds a Bachelor of Arts degree from Western Illinois University and has completed a mediation skills certificate program from Northwestern University.

Ismael (Ish) Manzanares
Senior Director of ConsultingNRS

Ish is currently Senior Director of Consulting with NRS. Prior to joining NRS, Ish was the President of Manzanares Compliance Solutions. Preceding his consulting career, Ish was Director of Compliance with Prudential Retirement. In addition, Ish was the President and CEO of Madison Avenue Securities, a dually-registered broker-dealer and advisor. Earlier in his career, Ish served as President of Foresters Equity Services. Prior to being appointed as President at Foresters, he served as Chief Compliance Officer. He has over 35 years of experience in the financial services industry, including a position with FINRA as a Senior Examiner in Los Angeles.

Annually, Ish conducts dozens of risk reviews, compliance program assessments, annual compliance reviews and mock SEC-examinations to assist investment advisors, broker-dealers, transfer agents and clearing firms in identifying regulatory deficiencies, internal control weaknesses, and effectively mitigate compliance and operational risks.

He served on the Western Region District Committee-District 2, has served as committee member of the National Association of Independent Broker/Dealers-NAIBD and the Southern California Compliance Group-SCCG. During his career, Ish has been a guest speaker at various industry events such as FINRA, LIMRA and NAIBD conferences and special programs and an instructor at the FINRA Institute for the Wharton Certificate Program.

Ish holds a B.A. from Columbia University and previously maintained his Series 4, 7, 24, 63 and 65.

John M. Van Der Wal
Senior ConsultantNRS

John M. Van Der Wal is a Senior Consultant based in the San Francisco Bay Area since 2014. John brings over 20 years of compliance and industry related experience to his position at NRS, delivering comprehensive compliance solutions and services to all types of investment management firms. Working closely with senior management and staff, John strives to identify regulatory obligations, compliance opportunities and solutions. He also assists firms in developing, implementing and testing comprehensive compliance programs tailored to the firm’s unique practice and business activities, considering resources and initiatives of the firm.

Prior to joining NRS, John was President of Compliance Advisory Services, LLC, providing compliance consulting services to SEC and State registered investment advisors and broker-dealers for 12 years. John also spent 3 years with FINRA, conducting reviews and oversight of member firms from the San Francisco District Office.

He has worked in a variety of securities and investment related environments, including financial services, asset management, brokerage and consulting. John’s industry experience provides a unique perspective offering clients compliance solutions that consider the big picture without ignoring attention to detail.

John earned his undergraduate degree from the University of California at Davis and received an MBA from the University of San Francisco. John is a lecturer, and current certificate holder of the Investment Adviser Certified Compliance Professional Program (IACCP) co-sponsored by NRS and the Investment Adviser Association (IAA), and regularly speaks at conferences and webinars.

Kevin Turton

Kevin is a Consultant with NRS based in New York City. Kevin delivers comprehensive compliance solutions to various types of investment management firms including separately managed account advisers, mutual fund advisers and private fund advisers, including hedge funds, private equity funds, venture capital funds and real estate funds.

Kevin earned his Juris Doctor degree from Brooklyn Law School in 2012 and is a member of the New York State Bar. After graduating from law school, Kevin served as Chief Operating Officer of another leading compliance consulting firm based in New York City. During his tenure there, Kevin hired, trained and oversaw the firm’s team of consultants while ensuring quality control and increasing operational efficiency. Kevin also performed consulting services for key clients.

Before attending law school, Kevin entered the financial services industry as a Financial Advisor and formerly held Series 7 and Series 66 licenses while he was with UBS Financial Services and MetLife Financial Services.

Marilyn Miles
Vice President, Consulting & Education, NRS

Marilyn joined NRS in 1994 as a Consultant. In 1999, Marilyn became a Senior Consultant; in 2007 was named VP of NRS Investment Adviser Services; and in 2015, Marilyn was named VP of NRS Consulting & Education departments. In this capacity, Marilyn manages the firm’s consulting services and education departments, overseeing the hiring, training and overall performance of the teams.

Marilyn is a frequent speaker at NRS and industry conferences. She is also an expert lecturer in the IA Certified Compliance Professional Program (IACCP) co-sponsored by NRS and the Investment Adviser Association (IAA). Marilyn contributes to and/or has been sought for comment and information by leading industry publications, including, among others, The Wall Street Journal and Financial Planning Magazine, on various compliance topics.

Marilyn received a Bachelor of Arts degree in English from Regis College, magna cum laude, and a Juris Doctor degree from New England School of Law. She is a member of the State Bar of Massachusetts, and is actively involved in volunteering for the Juvenile Diabetes Research Foundation.

Mederic Daigneault
Senior Director, Consulting, NRS

Mederic is an attorney by training and currently serves as the Senior Director of Consulting. He joined NRS in 2004 and is based in the firm’s Connecticut office. Mederic works closely with investment management firms and their officers and senior staff to identify regulatory obligations, unique conflicts of interest and other risks to assist in the development, implementation and testing of comprehensive compliance programs tailored to firm practices.

Before joining NRS in 2004, Mederic practiced law as a corporate and securities attorney with a securities law firm. As an attorney, Mederic provided guidance and legal counsel to regional, national and international business entities and financial institutions, including investment advisers, private funds, insurers and broker-dealers concerning compliance with the laws and regulations that govern these businesses. Before entering law school, Mederic worked as an Annuity Account Manager at the Travelers Life & Annuity Co. where he maintained a Series 6 license with the NASD.

Mederic conducts on-site mock SEC examinations and compliance reviews of advisers of various sizes from ultra-large investment managers with global operations or intricate hedge fund complexes to smaller yet sophisticated firms with a handful of staff. Areas reviewed include, as applicable, the latest developments and “hot topics” in compliance regulation: risk assessments, annual reviews, cybersecurity, code of ethics and personal trading, insider trading, third-party due diligence, valuation, soft dollars, best execution, side-by-side management issues, business continuity planning and other areas.

During his time at NRS, Mederic has drafted or revised Forms ADV for hundreds of investment adviser firms at both the state and federal level including dozens of hedge fund and private equity fund managers. Mederic is a frequent speaker at NRS and industry conferences as well as topical live and desktop seminars sponsored by Fidelity, Schwab, Pershing, Sungard Systems, Victor Park (Alternative Asset Summit), Infovest21, the Connecticut Department of Banking, the California Hedge Fund Association, Financial Research Associates, LLC, the Hedge Fund Business Operations Association and others.

He is also an expert lecturer in the IA Certified Compliance Professional Program (IACCP) cosponsored by NRS and the Investment Adviser Association (IAA). Mederic contributes to and/or has been sought for comment or insights by leading industry publications, including, among others, The Wall Street Journal, The Hedge Fund Law Report and Financial Planning Magazine, on various compliance topics. Mederic authored The Core, Practical Advisers Act Compliance for the Private Fund Adviser, an Amazon #1 New Book (Category: Securities Law), published in late 2015, and was a contributing author and Editorial Board Member for Modern Compliance, Best Practices for Securities & Finance, Vol. II, published in 2017 by Wolters Kluwer.

Mederic is admitted to the bar in the states of Connecticut and New York. He received his law degree from Boston College Law School and graduated Phi Beta Kappa from Wesleyan University in Middletown Connecticut.

Tom Coonan
Associate Consultant, NRS

Tom Coonan joined National Regulatory Services (NRS) in 2011 bringing with him 25 years of securities industry experience. During his 25 years in the industry Tom worked as a Compliance Officer and Supervising Principal for broker/dealers, Investment Advisers and Investment Companies. His experience both in the industry and since joining NRS has had Tom involved in many aspects of Compliance including FINRA Rule 3120 reviews, branch inspection programs, annual AML Audits, MSRB reviews, E-mail review, Advertising review and annual Investment Adviser reviews.

Tom is a Consultant in Investment Adviser and Broker Dealer Services. Tom provides consulting services on a wide variety of regulatory issues regarding the Investment Advisers Act, FINRA Rules, MSRB Rules and other federal and state regulations, as applicable, and conducts on-site client compliance reviews. Tom works with firms in the preparation and submission of amendments to Form ADV. He also regularly reviews both broker/dealer and investment adviser advertising to provide guidance based on FINRA & SEC rules.

During his years in the industry, Tom held a number of licenses and registrations including the Series 4, 7, 24, 53, 66 & California Life Insurance License.

Courtney Bowling

Courtney joined NRS in 2021 and is based in Austin, Texas. Courtney delivers comprehensive compliance solutions to all types of investment management firms. As a consultant, Courtney works closely with each firm’s officers and senior staff to identify regulatory obligations, unique conflicts of interest and other risks to assist in the development, implementation and testing of a comprehensive compliance program tailored to the firm’s practice.

Courtney has over 10 years of experience in the financial services industry serving on both the regulatory side and in the private sector. Early in her career Courtney worked for the Texas State Securities Board, first as a Financial Examiner conducting inspections of Texas-registered investment advisers and broker-dealers, and then as an attorney in the Inspections and Compliance Division. In 2014 Courtney moved to the private sector, accepting a position as the Chief Compliance Officer for a fixed-income broker-dealer. Since then, Courtney has served as the Chief Compliance Officer for investment advisers, including an adviser to private funds, registered investment companies, and a registered municipal adviser.

Courtney earned her Bachelor of Business Administration degree in Accounting from Texas Wesleyan University, her Juris Doctor degree from Texas Wesleyan University School of Law (now known as Texas A&M University School of Law) and is a member of the Texas state bar.

Nicole Del Rosario

Nicole Del Rosario has been in the financial services industry for over 15 years. She joined NRS as a Consultant and is based in Northern Virginia. As a Consultant she conducts examinations, audits and program reviews. Prior to joining NRS Nicole was a Director of Compliance and Anti-Money Laundering Officer at a broker dealer, investment advisor and insurance company. Nicole has a wide range of experience from operations to trading to Compliance.

Nicole has held her Series 7, 24, 4, 66 licenses as well as her Life and Health Insurance Licenses. Currently she holds the Investment Advisor Certified Compliance Professional designation (IACCP®) and the Certified Anti-Money Laundering Specialist designation (CAMS).

Nicole earned a Bachelor of Science degree in Political Science from Towson University.

For Whom: Designed to increase the professional competence of Investment Advisers and Broker-Dealers.

Suggested Skill Level: Intermediate