Keynote Speaker

Peter Driscoll
Director, Office of Compliance Inspections and Examinations | SEC

Peter Driscoll was named Director of the SEC’s Office of Compliance Inspections and Examinations in October 2017, after serving as Acting Director since January 2017. Before that, he served as OCIE’s first Chief Risk and Strategy Officer since March 2016, and was previously OCIE’s Managing Executive from 2013 through February 2016.

Peter joined the Agency in 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in OCIE’s Investment Adviser and Investment Company examination program.

Prior to the Agency, Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University. He is licensed as a certified public accountant and is a member of the Missouri Bar Association.

Speakers

Teresa Y. Bernstein
Chief Legal and Chief Compliance Officer | ACON Investments

Teresa Y. Bernstein is the Chief Legal Officer and Chief Compliance Officer of ACON Investments, a $5.5 billion private equity investment firm based in Washington, DC that invests in middle market companies across the United States, Canada and Latin America.

Prior to joining ACON in 2013, Ms. Bernstein was Chief Legal Officer and Chief Compliance Officer for Perseus, a Washington, DC-based middle market private equity firm. Ms. Bernstein joined Perseus in 2006 as Vice President for Legal Affairs. Prior to Perseus, Ms. Bernstein was an associate in the Corporate and Securities group of Pillsbury Winthrop Shaw Pittman’s Washington, DC office, focusing on M&A, private equity and regulatory matters relating to private and public pooled investment vehicles.

Before that, Ms. Bernstein was a Corporate Associate in the New York City office of Paul Weiss. There, Ms. Bernstein focused on private equity fund formation, private equity investments and M&A. Ms. Bernstein received a B.A., magna cum laude, in Comparative Literature from Cornell University and a J.D., magna cum laude, from American University Washington College of Law. Ms. Bernstein is admitted to practice law in the State of New York and the District of Columbia.

George Callas
Senior Tax Counsel | Office of the Speaker, U.S. House of Representatives

George has served as senior tax counsel to Speaker of the House, Paul Ryan, since 2015 and was a key architect of the tax reform bill. Prior to that George was the tax counsel to Ways and Means Committee from 2009 to 2015. He has also served on the staffs of Sen. George Voinovich and the house Budget Committee.

George started his career as a tax associate with KPMG. George has his BA, JD and LLM degrees from the University of Florida.

Norm Champ
Partner | Kirkland Ellis LLP

Norm Champ is a partner in the New York office of Kirkland & Ellis LLP. Norm is a member of the Investment Funds Group. Previously, Norm was the director of the Division of Investment Management at the U.S. Securities and Exchange Commission (SEC).

While at the SEC, Norm played a key role in the SEC’s completion of landmark reforms in 2014 to strengthen the $3 trillion money market fund industry, and led important structural and policy changes in the Division of Investment Management. He was the leader of interactions with the Financial Stability Oversight Council as the Council turned its attention to whether asset management firms are “systemically important.” He also worked on crisis management efforts at securities firms to protect customers of those firms. Norm also headed the creation of Guidance Updates and Senior Level Engagement initiatives, both of which were established to provide transparency to the industry about the priorities and goals of the SEC and to create a dialogue between policymakers and the senior management of asset management firms.

Norm is one of several members of the SEC’s Division of Investment Management who have recently joined Kirkland’s Investment Funds Group Regulatory Practice. Alpa Patel served as branch chief and Jamie Walter served as senior counsel in the Private Funds Branch of the Division’s Rulemaking Office. Aaron Schlaphoff was an attorney fellow in the Division’s Rulemaking Office. Marian Fowler served as senior counsel to the Division Director.

Stacey Dion
Managing Director, External Affairs | The Carlyle Group

Stacey advises Carlyle teams on the U.S. government’s legislative and regulatory activities. She speaks to the current political environments in Congress and in the Administration.

Stacey was most recently Vice President of Corporate Public Policy for The Boeing Company where she was responsible for developing and implementing the government relations strategy and tactics on corporate issues including tax, benefits, financial services, corporate governance, energy, environment, workforce training and education.

In her career in government, Stacey was Policy Advisor and Counsel in the Office of the Republican Leader, where she served as lead Republican staff for negotiating and drafting the Economic Stimulus Act of 2008 on behalf of the House Republican Leader Boehner. Prior to that, she served as Tax and Pension Policy Advisor in the Office of the Majority Leader and was responsible for drafting the Pension Protection Act of 2006 and managing the Tax Increase Prevention and Reconciliation Act of 2005. From 2002-2003, Ms. Dion worked in the Employee Benefits Security Administration in the United States Department of Labor, where she developed final regulations, rulings and advisory opinions on ERISA.

Eric Feldman
Chief Information Officer | The Riverside Company

Eric Feldman joined global private equity firm The Riverside Company in 2011. He is responsible for all aspects of the firm’s global technology strategies including application development, project management, information security and an IT infrastructure supporting 17 global offices. Eric was instrumental in creating Riverside’s Information Security Program which provides a risk-based approach for managing information security for Riverside’s 80+ companies.

Eric serves as co-chair of the Association for Corporate Growth’s (ACG) Private Equity Regulatory Taskforce (PERT) on its cybersecurity committee where he co-authored a suite of guidelines to help middle market private equity firms design their programs to meet both regulatory and fiduciary obligations. In addition, Eric has authored several security-focused articles and chapters focusing on cybersecurity and its impact on the M&A process. Eric is a frequent speaker at PEI and ACG events and has participated on numerous panels focusing on risks facing middle market private equity firms and their portfolio companies.

Miriam Krieger
Partner & Global Chief Compliance Officer | Ares Compliance Group

Ms. Krieger is a Partner and Global Chief Compliance Officer within the Ares Compliance Group. Ms. Krieger is the firm’s Global Anti-Money Laundering Officer and Global Anti-Corruption Officer and also serves as Chief Compliance Officer of several entities affiliated with Ares Management or of investment funds managed by Ares Management and its affiliates, including Ares Capital Corporation ("ARCC"), American Capital Senior Floating, Ltd. (NASDAQ:ACSF) and Ivy Hill Asset Management, L.P. ("IHAM").

From March 2008 until joining Ares in April 2010, Ms. Krieger was Chief Compliance Officer and Corporate Secretary of Allied Capital Corporation, where she served as Executive Vice President from August 2008 until April 2010 and as Senior Vice President from March 2008 to August 2008. Ms. Krieger also served as Senior Vice President and Chief Compliance Officer at MCG Capital Corporation, a publicly traded business development company, from 2006 to 2008 and Vice President and Assistant General Counsel from 2004 to 2006. From 2001 to 2004, Ms. Krieger was an associate in the Financial Services Group of the law firm of Sutherland Asbill & Brennan LLP.

Ms. Krieger graduated with a B.A. in Economics and Political Science from Wellesley College and received a J.D. and an M.A. in Economics from Duke University.

Jamie Lynn Walter
Partner | Kirkland & Ellis LLP

Jamie Lynn Walter is a partner in the Investment Funds Group in the Washington, D.C. office of Kirkland & Ellis LLP. Prior to joining Kirkland, Jamie was Senior Counsel in the Private Funds Branch of the U.S. Securities and Exchange Commission’s Division of Investment Management.

Prior to joining the SEC, Jamie was in private practice where she advised clients on a variety of legal matters related to the structure, management and operation of private funds. Before entering private practice, she served as law clerk to Judge Jacques L. Wiener, Jr. of the United States Court of Appeals for the Fifth Circuit.

Jamie is one of several members of the SEC’s Division of Investment Management who have recently joined Kirkland’s Investment Funds Group Regulatory Practice. Aaron Schlaphoff was an attorney fellow in the Division’s Rulemaking Office. Norm Champ was the director of the Division of Investment Management.

Jeffrey McMillen
Partner | Akin Gump

Before joining Akin Gump, Jeff was the staff director of the House Ways and Means Committee’s Subcommittee on Select Revenue Measures, where he served under Committee Chairman Bill Thomas (R-CA) and Subcommittee Chairman Jim McCrery (R-LA). During the course of his tenure with the Committee, Mr. McMillen assisted in drafting the Energy Tax Policy Act of 2003, developing the Jobs and Growth Tax Relief and Reconciliation Act of 2003, and crafting the American Competitiveness Act of 2002 and the Community Solutions Act of 2001. Previously, he served on the staff of the Committee’s Subcommittee on Oversight. Before joining the government, Jeff was the tax counselor for the 3,000-member American Electronics Association.

Jeff received his J.D. in 1994 from the Washington University School of Law, where he was the articles editor of the Washington University Law Quarterly, and his LL.M. in taxation from the Georgetown University Law Center in 2000

Jason Mulvihill
General Counsel | American Investment Council

Jason Mulvihill currently serves as General Counsel for the American Investment Council (AIC). As General Counsel, Mulvihill has responsibility for legislative, regulatory, and international matters considered by the AIC. He oversees the AIC’s Regulatory Committee, Tax Committee, General Counsels Committee and the Chief Compliance Officers Working Group.

Before joining the AIC, Mulvihill served as Legislative Director and Chief Counsel for Senator John Ensign (R-NV). In this capacity, Mulvihill was responsible for tax and trade issues before the Senate Finance Committee. He was one of the principal Republican staff who crafted the bipartisan renewable energy tax credit legislation that was signed into law in 2008. In early 2009, he developed and secured enactment of cancellation of debt income legislation. Mulvihill also helped to prevent changes in the tax treatment of carried interest, publicly traded partnerships, and deferral.

Mulvihill graduated summa cum laude and Phi Beta Kappa from Georgetown University, and received his law degree from Columbia University Law School. He is a member of the New York State and District of Columbia Bars.

Giulianna Ruiz
General Counsel & Chief Compliance Officer | Trilantic North America

Giulianna K. Ruiz is the Chief Compliance Officer & Counsel of Trilantic Capital Management L.P. (“Trilantic North America”), a private equity firm focused on control and significant minority investments in North America. Prior to joining Trilantic North America in 2012, Giulianna was an associate of the Private Funds Group of Paul, Weiss, Rifkind, Wharton & Garrison LLP from 2006 to 2012, where she advised a variety of investment funds, including buyout funds, hedge funds, seed capital funds, real assets funds and fund of funds, as well as advising on investment management M&A transactions. Giulianna holds a J.D., summa cum laude, from Seton Hall University School of Law and a B.A. from Columbia College, Columbia University.

Greg Smith
Director, Information Security | The Baupost Group

Greg Smith is the Director of Information Security for The Baupost Group, a Boston-based investment management firm. He is responsible for managing the information security program and ensuring the confidentiality, integrity, and availability of Baupost data, systems, and networks. Greg has 20 years of experience in the information security industry. Previously, he was the Chief Security Officer at MFS Investment Management. Greg holds a master’s degree in mathematical sciences from Villanova University.

Erica Williams
Partner | Kirkland & Ellis

Erica Williams is a partner in the Government, Regulatory & Investigations Group of Kirkland & Ellis LLP.

Erica was previously a Special Assistant and Associate Counsel to President Barack Obama, where she advised the president and his senior advisors on legal and constitutional issues involving economic policy, financial regulation and reform, financial technology, trade, intellectual property and data protection and privacy. Before that, Erica spent 11 years at the U.S. Securities & Exchange Commission, serving as Deputy Chief of Staff under Chairs Mary Jo White, Elisse Walter and Mary Schapiro, and Enforcement Counsel to Chair Schapiro. Earlier in her career, Erica served as Assistant Chief Litigation Counsel in the SEC’s Division of Enforcement Trial Unit where she led a number of successful prosecutions, including cases involving insider trading, accounting fraud, violations of the Foreign Corrupt Practices Act and financial reporting.

Adam Zoia
Chief Executive Officer | ComplQ, Inc.

Mr. Adam Zoia serves as the Chief Executive Officer at CompIQ, Inc. He serves as Co-Founder at Stella.ai, Inc. since September 2015. He is the Founder and Chief Executive Officer of Glocap Holdings. Mr. Zoia is Co-founder and Managing Partner of Glocap Search LLC. He currently runs Glocap Search's Hedge Fund Practice and its On-Cycle Analyst Product. He oversees the growth and substantial profitability of each of Glocap's businesses, including the daily management of Glocap Search. Through that process he has developed an intimate understanding of the financial service and early-stage Internet/technology company communities and has built an extensive network of personal contacts within those communities.

He graduated with a B.S. in Economics from the Wharton School with a concentration in finance (summa cum laude; Joseph Wharton Scholar), a B.A. in History from the University of Pennsylvania (summa cum laude; Benjamin Franklin Scholar), an Honors B.A. and a Masters in Politics, Philosophy & Economics from Oxford University (Balliol College) in England (first on all papers and on his thesis) and a JD from Harvard Law School (magna cum laude).

FORUM DETAILS
When:
Thursday, February 15, 2018
Registration begins at 9:00 am.
Where:
The Willard InterContinental,
Washington, DC

1401 Pennsylvania Avenue, NW
Washington, DC
Who Should Attend:
  • Private Equity Chief Financial Officers
  • Private Equity Chief Compliance Officers
  • Private Equity General Counsels
  • Private Equity Chief Administrative Officers
  • Attorneys Representing Private Equity Clients
  • Accounting and Tax Advisors to Private Equity Firms
  • Compliance Consultants
What's Included:
  • A day of top-level private and public sector insight into the challenges facing private equity compliance professionals
  • Opportunities to discuss the latest trends with industry leaders and key decision makers from the SEC
  • Networking opportunities with industry leaders
  • A one-year subscription to Thompson Finance's Guide to Private Equity Regulatory Compliance
Registration:
Early Bird Rate (through 1/31/2018):
$899.00
Standard Rate:
$1099.00

Questions or Need Info on Group Pricing?
Contact Thompson Grants

1-800-677-3789 | service@thompson.com | finance.thompson.com

Hosted by:
Thank you to our sponsor: