March 18th Seminars: Conflicts of Interest / Hot Topics in Compliance

Registration Type	Price
NSCP Members	$100
Non-Members	$200

Elton Chan

Thrivent Investment Management, Inc.
Elton Chan, Senior Compliance Analyst, Thrivent. Mr. Chan is a Senior Compliance Analyst at Thrivent - primarily supporting Thrivent Investment Management, Inc. - and is based in Minneapolis, Minnesota. He currently works as part of the team that maintains the firm’s compliance policies and supervisory procedures and conducts oversight of various functions. Additionally, Mr. Chan consults with internal business partners on a variety of initiatives. While he has experience with both broker dealer and investment advisory matters, he focuses on advisory topics. Additionally, he serves on the steering committee for the Twin Cities RIA Compliance Roundtable. Prior to joining Thrivent, Mr. Chan was at U.S. Bancorp Investments, Inc. where he started in their registrations department before becoming the firm’s primary advertising compliance principal and eventually being named an officer of the company and supervisor of the advertising compliance department. Mr. Chan holds a B.S. degree in Economics and is also certified in Economic Theory and Quantitative Methods from the University of Washington. He currently holds the following securities registrations: S4, S7, S24, S53, S66.

Barry Greenberg

Cushing Asset Management
Barry Y. Greenberg serves as General Counsel and Chief Compliance Officer of Cushing Asset Management, LP, a subsidiary of Swank Capital, LLC. Mr Greenberg also serves as Chief Compliance Officer of The Cushing® Funds. Cushing serves as investment adviser to affiliated funds and managed accounts providing active management in markets where inefficiencies exist. Mr. Greenberg’s responsibilities include managing the firm’s comprehensive compliance program and advising senior management regarding legal issues and regulatory developments. As a member of the firm’s executive team, Mr. Greenberg works closely with leadership to implement firm strategic business initiatives, including the structuring of new products and services. Prior to joining the firm, Mr. Greenberg served as a partner in the investment funds group of Akin Gump Strauss Hauer & Feld in Dallas for five years. In this role, he advised private and offshore funds, mutual funds and investment advisers on a wide range of issues, including entity formation, governance and regulatory compliance matters. He previously served as vice president, legal, compliance and administration of American Beacon Advisors, Inc., a registered investment adviser and mutual fund sponsor. Mr. Greenberg began his legal career in the Fort Worth Regional Office of the Securities and Exchange Commission where he in the Enforcement Division as an enforcement attorney and branch chief, managing investigations of matters involving violations of investment adviser, investment company, broker-dealer and general corporate securities regulations. Mr. Greenberg received his J.D. cum laude from Tulane Law School and his B.A. from Emory University. He is a member of the State Bar of Texas.

Elizabeth (Beth) Hansen

Waddell & Reed
Elizabeth Hansen is responsible for the leadership of Waddell & Reed Financial, Inc. subsidiaries Waddell & Reed, Inc. (W&R) and Ivy Distributors, Inc. (IDI) compliance functions. She oversees compliance process and procedures for W&R as well as IDI’s sales activities. She is involved at a senior level in compliance surveillance and the interpretation and application of regulatory statutes and rules on a federal and state level. She also provides recommendations with regard to the design and implementation of compliance and risk management programs. She joined Waddell & Reed in 2018. Ms. Hansen most recently was with Ameriprise Financial, where she spent 18 years. She served for nearly seven years as Vice President and Chief Compliance Officer for American Enterprise Investment Services (the clearing broker-dealer for Ameriprise) before being appointed Vice President and Chief Compliance Officer for Ameriprise Financial Services, Inc., where she was charged with overall responsibility for the compliance program of the broker-dealer and investment adviser. Ms. Hansen graduated with a B.A. from Kansas State University in 1991 and earned an M.A. in Management from Webster University in 1995. She is a member of SIFMA, FSI and serves on FSI Compliance Council, FINRA CE Council and FINRA Midwest Regional Committee.

James Lundy

Faegre Drinker Biddle & Reath
Jim co-leads his firm's White Collar Defense and Investigations Practice and Co-Founded the Best Interest Compliance Team. In his practice, Jim partners with investment advisory firms, broker-dealers, hedge funds, futures trading firms, public and private companies, and their boards, committees, and management to overcome enforcement investigations and regulatory examinations. He also leads internal investigations, serves as an independent monitor, provides counsel on governance, compliance, and policy issues, defends complex financial services litigation, and handles cybersecurity regulatory investigations. With these deep financial regulatory enforcement experiences, he is also called upon by peers to serve as an expert witness and consulting witness regarding SEC and CFTC practices.

Valerie Mirko

Baker & McKenzie LLP
A. Valerie Mirko is a partner in Baker McKenzie’s Financial Regulation and Enforcement Practice Group in North America. Valerie has substantial experience in federal and state securities laws and regulations affecting the financial services industry, with a focus on the investment adviser and brokerage industries. Valerie has a background in both regulatory advice and enforcement counseling. Immediately prior to joining the Firm, Valerie was General Counsel of the North American Securities Administrators Association (NASAA). As General Counsel, Valerie advised NASAA’s Board of Directors on developments in the federal securities laws and their impact on state securities regulations. Valerie provided advice on, among other areas, the SEC Regulation Best Interest rule set, fiduciary duty/standards of care, preemption, retail enforcement issues, investment adviser oversight, and data privacy. She also supervised all of NASAA's securities-related legal work and was a resource on multistate enforcement investigations and settlements. Valerie also provided governance support on key NASAA Regtech projects and regulatory coordination initiatives between state and federal regulators. Valerie was a frequent speaker at regulator-only roundtables and training events. Earlier in her career, Valerie advised broker-dealers and investment advisers on regulatory matters and enforcement investigations as an associate at a Washington law firm and held legal and compliance roles at Oppenheimer & Co., Inc., and Merrill Lynch (now BofA Securities). Valerie is currently a member of the adjunct faculty at the George Washington University Law School and a subcommittee chair within the DC Bar Corporation, Finance, and Securities Law Community.

Ann Robinson

Farmers Insurance
With over 15 years’ experience as a senior compliance professional, Ann has deep expertise in financial services operations, compliance, and compliance technology. In 2018 Ann joined Farmers Financial Solutions, LLC as the Director of Operations. In previous roles, Ann made significant contributions to the compliance tech industry during her employment at RegEd from Business Development to Product Management. Prior to joining RegEd in 2012, Ann was the Director of Compliance Training and Continuing Education Compliance Technology Liaison for Morgan Keegan & Company, Inc. where she was responsible for the implementation of firm element, continuing education, and associated learning programs and managed the Licensing and Registration department. Ann also served as a senior Compliance Officer and had a key role in implementing technology to automate various compliance functions including the firm's conflicts of interest program. Ann holds a Bachelor of Science degree from Samford University in Birmingham, Alabama and Masters of Business Administration degree from the University of Alabama in Birmingham, AL. She also holds Series 7, 66, 24, 14 licenses and a North Carolina Insurance License. Ann holds the Securities & Insurance Licensing Association Fellow (SILA-F) and Certified Regulatory Compliance Manager (CRCM) designations.

March 18th Seminars:
Conflicts of Interest / Hot Topics in Compliance

Fees & Registration

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