SESSION 1: Compliance Technology SESSION 2: SEC Advertising Rule

Registration Type	Price for 2 sessions
NSCP Members	$100
Non-Members	$200

Jena Bjornson

Kennedy Capital Management, Inc.
Ms. Bjornson is the Chief Compliance Officer of Kennedy Capital Management Inc. Prior to Kennedy, Ms. Bjornson was Deputy Chief Compliance Officer of Hudson Advisors, L.P. and Lone Star Global Acquisitions, Ltd., and the Chief Compliance Officer of Hudson Americas, L.P. and Lone Star North America Acquisitions, L.P. Ms. Bjornson has over 20 years of experience in securities compliance and regulation. Prior to joining Hudson, Ms. Bjornson served as Chief Compliance Officer for Walker Smith Capital Management, L.P., a U.S. long-short equity hedge fund manager in Dallas. Prior to Walker Smith Ms. Bjornson worked with a compliance consulting firm in Dallas as a Managing Director providing compliance oversight to asset managers and private fund managers. Ms. Bjornson has also previously worked with two alternative asset managers in the Dallas area with assets under management of over $20 billion. She holds a Bachelor of Science degree from Oklahoma State University and an M.S. in Jurisprudence from Seton Hall University School of Law.

Matthew (Matt) Boos

Fredrikson & Byron, P.A.
Matt is an experienced investment management lawyer and business litigator and who regularly represents clients in regulatory proceedings by the SEC, FINRA and other regulators, and in complex business disputes. He has guided RIA clients through several recent SEC exams. Matt has over 25 years of experience litigating in federal, state and administrative forums around the country. He is head of Fredrikson & Byron’s Investment Management Group. Matt serves as outside general counsel to many RIA firms advising clients on a wide array of regulatory and compliance matters, including those arising under the Investment Advisers Act of 1940 (e.g., fiduciary duties, disclosure, custody, solicitation arrangements, client agreements, vendor agreements, cybersecurity, advertising, industry transitions, non-solicitation agreements, and more). Matt's clients include wealth management firms, investment adviser representatives, financial planners, broker-dealers, investment companies, insurance companies, public and private companies and individuals and firms, including those being examined, investigated or sued by the SEC, FINRA or other state and federal regulators.

Nikki Brinkerhoff

Beacon Capital Management
Nikki has over 20 years of expertise in Financial Services including the technology and operational controls required to achieve compliance and service delivery strategy. She has extensive experience in Retail and Institutional broker dealers, Dual registrant BD/RIA, investment banking, bank holding companies and international registrations for U.S. firms. She has been an active participant in industry compliance and operations associations and committees including SIFMA, BISA, IIA and ISACA.

Jaqueline (Jaqi) Hummel

Hardin Compliance
Jaqueline M. Hummel, Esq., IACCP®, is a Partner and Managing Director at Hardin Compliance Consulting LLC. She is a securities attorney and regulatory compliance consultant with extensive experience as an in-house attorney working in the areas of investment adviser, broker-dealer, and investment company regulation and compliance. Ms. Hummel counsels clients on a wide variety of investment management issues, including risk management, compliance with SEC regulations, and evaluation of compliance programs. She also provides advice to registered investment advisers regarding SEC examinations. Ms. Hummel performs due diligence, compliance reviews, and mock SEC examinations for registered investment advisers, private funds and registered investment companies. Prior to joining Hardin Compliance Consulting LLC, Ms. Hummel held the position of Chief Compliance Officer for PNC Capital Advisors and PNC Realty Investors, investment adviser affiliates of PNC Financial Services Group, Inc. She also served as in-house counsel for National City Corporation’s investment adviser and broker-dealer affiliates where her responsibilities included being the CCO for Allegiant Asset Management Company. Her prior experience also includes thirteen years as in-house counsel in the financial services industry. Ms. Hummel served many years as in-house counsel for MassMutual Financial Group, a diversified financial services organization, where she advised the investment management division including affiliated registered investment advisers and registered investment companies. Ms. Hummel is licensed to practice law in Ohio and Massachusetts. She holds the designation of Investment Adviser Certified Compliance Professional from National Regulatory Services, Inc. She received a bachelor of arts from the University of Wisconsin-Madison in 1986 and a juris doctor from Emory University School of Law in 1989.

Joe Klocke

Edward Jones
Edward Jones Principal Joe Klocke leads Compliance Planning, Programs and Service. In this capacity, he oversees the performance of technology solutions, trading and market surveillance, service, training, communications and the project management office. His area is responsible for planning and delivering strategic efforts, including deploying technology solutions, monitoring firm trade activity for potential market abuse, fulfilling the service needs of branch and home-office teams, and supporting the firm's culture of compliance through the delivery of compliance training programs. Joe joined the Edward Jones Service division in 1996. Three years later, he moved to the Compliance division as a Field Supervision director. Over the next 14 years, he held supervision leadership roles in a number of areas, including Advisory Supervision, Heightened Supervision and numerous Primary Supervision teams. Joe also had significant responsibility for creating and enhancing automated supervisory systems and processes. He was named a principal with the firm in 2014. Joe earned a bachelor's degree in business administration from Maryville University and a master's degree in management and leadership from Webster University.

Kurt Wachholz

National Regulatory Services, Inc.
Kurt Wachholz has been in the financial services industry for almost three decades. As an executive consultant for National Regulatory Services (NRS), Kurt counsels firms on code of ethics and compliance program administration. As director of education, Kurt oversees the design and operation of two compliance professional development programs: the Investment Adviser Core Compliance certificate program and the Investment Adviser Certified Compliance Professional® designation. Both professional development programs are co-sponsored with the Investment Adviser Association. Kurt has served on several industry organizations, including NSCP, in various capacities through the years. He has developed and taught “Ethics in Leadership”, a MBA program module for the Goizueta Business School at Emory University. He has developed and taught “Regulatory Jeopardy”, an elective course for the Securities Industry Institute® in partnership with SIFMA and the Wharton School at the University of Pennsylvania. He is a contributing author and member of the editorial board for Modern Compliance: Best Practices in Securities and Finance and an editorial board member for the Journal of Financial Compliance. Kurt earned his BA from the University of Wisconsin and his Investment Adviser Certified Compliance Professional designation from the Center for Compliance Professionals. Kurt has also been a CTO, COO, CCO, OSJ/registered principal, investment adviser representative, and licensed insurance agent.

SESSION 1: Compliance Technology
SESSION 2: SEC Advertising Rule

Event description

Purchase Recorded Sessions

Agenda

Speakers

Join the NSCP Mailing List