Date: Wednesday, June 27, 2012
Time: 12:00 pm - 1:30 pm
Location: Pepper Hamilton LLP, 600 14th Street, NW, Washington, DC 20005 Penthouse
Directions: Metro Center (Blue/Orange/Red)

Free – WHF Members Only

Speaker:

• Ivan Knauer, Partner, Pepper Hamilton LLP
• Ann Griffith, Associate Director, Oyster Consulting, LLC

Program Description:  Ivan and Ann will discuss current trends in securities enforcement and compliance and the impact they may have on public companies and regulated entities.

Speaker Bios: Ivan Knauer is co-chair of the Securities and Financial Services Enforcement Group and a partner in the Commercial Litigation Practice Group of Pepper Hamilton LLP, resident in the Washington office.  He also is a member of the firm’s White Collar and Corporate Investigations Practice Group.  Previously, Ivan was a senior member of the enforcement department at the Financial Industry Regulatory Authority (or FINRA) and the NASD.  He also served as senior counsel in the SEC’s Enforcement Division.  Ivan represents public companies, broker-dealers, investment companies, investment advisers and individuals in class actions and arbitrations, and in enforcement matters brought by the SEC, FINRA and other regulatory bodies. He also counsels financial institutions on regulatory compliance matters.

Ann Griffith  has over 20 years of expertise in senior regulatory, compliance and legal counsel roles in the financial services industry. She brings extensive experience in Investment Adviser, Broker/Dealer, Capital Markets, and international regulatory and compliance matters.  In addition to her senior roles with the World Bank, FBR Capital Markets and Credit Suisse First Boston, Ann’s broad experience includes acting as counsel in various positions with FINRA and the Securities and Exchange Commission.   Ann’s experience with Oyster includes working with Broker/Dealers and Investment Advisers to develop and implement compliance programs and providing advice on supervisory and registration issues, as well as drafting policies and procedures.

For questions on the program content, please contact Diana Preston: (202) 663-5353 or dpreston@aba.com.  Please call the WHF office with any other questions.

Cost: Complimentary, WHF Members Only.  Not a member? Call WHF at 703-683-4742 and we would be happy to assist in getting you signed up for membership.

RSVP: Please RSVP no later than 12:00 pm, Tuesday, June 26, 2012.