| David Lui Past Chairman of the National Society of Compliance Professionals and Co-Editor Modern Compliance | |
| Robert Busch CPA Audit Partner The MFA Companies With over 20 years of experience in audit and consulting services, Mr. Busch’s formidable approach and methodical aptitude allows him to consistently deliver innovative, value-added solutions to his clients, particularly those in the financial services, high technology, service, construction, manufacturing and distribution industries. At MFA, Rob prepares and reviews client financial statements and reports and is responsible for monitoring the entire engagement process as well as the performance of engagement team members. He is well-versed in performing U.S. GAAP and IFRS financial statement audits as well as buy/sell due diligence, capital deal structures, quality of earnings analysis, purchase allocations, post deal considerations and litigation support for transactions. Rob also serves as the Lead Partner for audit and consulting services to the financial services industry, particularly private equity and venture-backed investment funds ranging in size from $200K to $500M. This includes a variety of fund structures, ranging from start-up funds to funds of funds and private equity/venture capital partnerships. Rob has extensive experience addressing accounting and financial reporting issues related to derivative instruments (futures, options, swaps and swaptions), complex investments and alternative investments. | |
| Theodore Grannatt Partner McCarter & English, LLP Mr. Grannatt is Practice Group Leader of the Corporate, Securities and Business Transactions practice. He primarily focuses on federal and state securities regulation as implicated in public and private financings, as well as counseling broker-dealers and investment advisors in compliance and transactional matters. Most recently, Mr. Grannatt has been the U.S. securities counselor for a number of non-U.S. issuers privately placing securities into the United States for financing or strategic acquisition purposes. He has also been advising domestic and non-U.S. broker dealers as to their U.S. obligations when taking part in transactions that concern the United States. Prior to joining McCarter & English, LLP, he worked for a prominent Boston-based law firm in their corporate division and previous to that, a boutique corporate and securities law practice in Salt Lake City, UT. | |
| Eric Hess Managing Director HLC LLC Eric Hess founded HLC in 2014 to focus on systems compliance and information security consulting. Today, it provides cybersecurity assessment and cybersecurity management services to small to medium sized financial services firms. In 2018, HLC acquired security auditing provider Control Catalyst and merged it into Helical, Inc. to continue its focus on developing security solutions. Eric has over twenty years of experience acting as senior-level counsel and management for top tier exchanges, broker-dealers and financial services technology providers, where he focused on regulation and the development, licensing and security of highly sensitive data, as well as managing the automation of trading regulation. As General Counsel for one of the country’s largest equity exchanges (now the BATS Exchange), Eric led an overhaul of their information security infrastructure that met the most stringent SEC-mandated exchange and Department of Homeland Security (DHS) standards. Eric is the founder of Hess Legal Counsel and is an advisory partner of Upper90 Partners, a private equity firm. Eric hold Series 7 and 24 licenses, is admitted to practice in the States of New York and New Jersey; and holds a CTPRP information security certification. | |
| Kevin Kelcourse Associate Director for OCIE Boston Regional Office, Securities and Exchange Commission Kevin M. Kelcourse is the Associate Director for the Office of Compliance Inspections and Examinations (“OCIE”) at the U.S. Securities & Exchange Commission's Boston Regional Office, where he leads a staff of over 70 who conduct inspections and examinations of investment advisers, investment companies, broker-dealers, and other registered entities in New England. Before becoming Associate Director, Kevin worked for the Commission’s Division of Enforcement for over 15 years, the last four and a half as an Assistant Director in the Division’s Asset Management Unit, where he investigated and litigated various matters involving violations or potential violations of federal securities laws. During his 17+ years at the SEC, he has worked on a wide variety of matters, including hedge funds, mutual funds, investment advisers, insider trading, financial fraud, and municipal securities. Prior to joining the SEC, Kevin was a federal prosecutor with the Justice Department in Washington, DC. Prior to that, he spent five years working for the law firm O'Melveny & Myers as an associate in Washington, DC. Mr. Kelcourse is a graduate of Georgetown University Law Center and Georgetown University. | |
| Paul G. Levenson Director Boston Regional Office, Securities and Exchange Commission Paul G. Levenson is the Director of the Boston Regional Office of the Securities and Exchange Commission. In that role, he leads a staff of over 160 lawyers, accountants, business experts and other professionals who are responsible for enforcing the federal securities laws in New England. The Boston Regional Office includes an Enforcement Division, which investigates allegations of securities law violations, and an Examination Division, which examines financial firms registered with the SEC. Prior to joining the SEC in October 2013 he served for over 23 years as an Assistant United States Attorney in the District of Massachusetts. During the last seven of those years he was Chief of the U.S. Attorney’s Economic Crimes Unit. As an Assistant U.S. Attorney he prosecuted a variety of white collar crimes, including securities fraud, bank fraud, bribery and kickback schemes, public employee fraud, insurance fraud, tax fraud, environmental violations, foreign corrupt practices, intellectual property crimes, procurement fraud, embezzlement, telemarketing fraud and money laundering. Before joining the U.S. Attorney’s Office Mr. Levenson was in private practice in Washington, D.C. and in New York. Mr. Levenson is a magna cum laude graduate of Harvard College and of Harvard Law School, where he served as an editor of the Harvard Law Review. | |
| Gary Miliefsky Author, Cybersecurity Expert, Publisher Cyber Defense Magazine Gary is a globally recognized cybersecurity expert, speaker and keynote, investor, advisor and consultant. He is the inventor and founder of technologies and corporations sold and/or licensed to Hexis Cyber, WatchGuard, Intel/McAfee, IBM, Computer Associates and BlackBox Corporation. He is currently the CEO of Cyber Defense Media Group (CDMG), which is the Publisher of Cyber Defense Magazine and Cyber Defense TV, is a frequent invited guest on national and international media commenting on mobile privacy, cyber security, cybercrime and cyber terrorism, also covered in Inc, Forbes and Fortune Magazines. Miliefsky is a Founding Member of the US Department of Homeland Security (http://www.DHS.gov), the National Information Security Group (http://www.NAISG.org) and the OVAL advisory board of MITRE responsible for the CVE Program (http://CVE.mitre.org). He also assisted the National Infrastructure Advisory Council (NIAC), which operates within the U.S. Department of Homeland Security, in their development of The National Strategy to Secure Cyberspace as well as the Center for the Study of Counter-Terrorism and Cyber Crime at Norwich University. Gary is a member of ISC2.org and is a CISSP®. | |
| Craig Moreshead Vice President NCS Regulatory Compliance
Mr. Moreshead manages compliance services for investment adviser clients including registrations, policies and procedures, and examinations. As an attorney with in-depth knowledge of federal securities regulations, Mr. Moreshead specializes in regulatory issues related to hedge fund and private equity managers. Previously, he worked for a large financial services company, where he provided compliance counsel to the registered investment adviser and fund family, broker-dealer, and business executives regarding compliance with federal and state regulatory requirements.
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| Elizabeth Ward CPA / CFE Boston Regional Office, Securities and Exchange Commission Elizabeth Ward has been with the exam program of the SEC’s Boston Regional Office since 2009 and previously spent over three years with the exam program in the Chicago Regional Office. Prior to joining the Commission staff, Elizabeth worked for Ernst and Young LLP and FMC Technologies, Inc. Elizabeth is a CPA and CFE and obtained her bachelor’s degree from DePaul University, where she majored in accounting. | |
| Lori Weston Vice President NCS Regulatory Compliance Lori Weston joined NCS Regulatory Compliance in March of 2012 and currently serves as a Vice President for the investment adviser services team. She handles the compliance consulting needs of the firm’s investment adviser clients, including registrations and examinations, SEC and state regulatory interpretations, and the provision of services through the firm’s PartnerProgram. In addition, she is also responsible for business development and serves as an investment adviser resource for conferences, webinars, newsletter articles and other firm-sponsored and third-party events and publications. She has over fifteen years’ experience in the financial services and securities industry working with investment advisers and broker-dealers. Prior to joining NCS Regulatory Compliance, Ms. Weston was employed by Lincoln Financial Group. During her tenure with Lincoln, she held numerous positions, working in the areas of advisory services and compliance. As a manager of RIA compliance, she was responsible for all compliance-related aspects of four corporate registered investment advisers with combined assets under management of over $8.5 billion, and also provided compliance consulting and support to over 60 independent SEC and state-registered RIAs. Her principal responsibilities included enacting and enforcing the policies of the corporate RIA. Ms. Weston graduated from the University of Maryland with a B.S in Accounting.
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