Description
Want to enhance your firm's research process while also protecting it from potential MNPI and ever-expanding restricted lists? In this session, legal and compliance experts share how modern compliance programs use technology to both expand the universe of accessible investment research and make their research process safer — especially when it comes to expert calls and transcripts. Get practice pointers to help your compliance team facilitate your firm's research with safe, rich, and actionable insights.
Speakers
Jason Howard is the General Counsel and Chief Compliance Officer of Tegus, Inc., a leading provider of investment research products and services. Tegus customers have access to an end-to-end, modern investment research platform that has industry-leading compliance built in. Prior to joining Tegus, Jason spent 13+ years in the SEC’s Division of Enforcement, where he investigated and litigated violations of the federal securities laws, including three years as a part of the Public Finance Abuse Unit, during which he worked on nationwide public corruption initiatives with the Department of Justice, U.S. Attorneys Offices, and the FBI. Jason lives in Michigan with his wife, Alexis, and their two children, Ella (11) and Lila (7).
Kelly Koscuiszka serves as co-chair of the Investment Management Regulatory & Compliance Group, where she advises private funds on regulatory and compliance matters, particularly the Investment Advisers Act of 1940. Kelly supports clients undergoing SEC examinations, including by handling deficiency letters and enforcement referrals and also uses that experience to assist clients with exam preparedness. Kelly specializes in the intersection of regulation and emerging technologies, including artificial intelligence, alternative data, web scraping and electronic communications. She also advises clients on data privacy and cybersecurity. Kelly regularly conducts client training sessions and is a sought-after presenter at leading industry conferences. Kelly is admitted to the Bar in New York and has Court Admissions in the US Supreme Court; the US District Court of New Jersey; and the US District Courts in Eastern and Southern Districts of New York.
Emilie joined Iron Road Partners from the Securities and Exchange Commission (SEC), where she spent over 8 years in the Division of Examinations. Emilie held several roles at the SEC, most recently in a leadership position as Branch Chief for the Division’s rapid response team, the Event and Emerging Risks Examination Team (EERT), a group that she helped form which focuses on conducting sophisticated examinations triggered by a wide range of emerging risks and significant market events. Prior to EERT, Emilie served as an SEC examiner where she conducted complex examinations of private funds, investment advisers, and investment companies.
