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Webinar: Best Practices to Implement the New Advertising and Cash Solicitation Rules
July 21, 2021 @ 1:00 pm - 2:30 pm PDT
Greyline will be hosting a panel discussion on the new marketing rule and considerations for implementation from a consultant, legal and CCO perspective. The webinar will be presented to the Bay Area CCO Committee group, and it is open to the entire financial services community.
Speakers
Annie Kong, Senior Vice President, Greyline
Annie Kong, Senior Vice President, GreylineAnnie Kong is a Senior Vice President at Greyline. She provides ongoing compliance consulting to investment advisers and assists in the management of client relationships. Prior to joining Greyline, Annie was part of compliance and operations at a long-only manager-of-managers that advised pension fund clients. While there, she conducted compliance and operational due diligence on SEC-registered investment advisers on the platform. She also oversaw and counseled on various legal matters across the firm. Annie has a B.A. in Economics from the University of California, San Diego, and a J.D. from the University of San Diego School of Law. She is an active member of the State Bar of California.
Christina Hamilton, Partner, Shartsis Friese
Christina Hamilton, Partner, Shartsis FrieseChristina is a Partner at Shartsis Friese in the corporate department. She specializes in representing investment advisers, including advisers to hedge funds and other private investment funds, and traditional advisers to separately-managed accounts. Her services include organizing and structuring investment management firms and U.S. and offshore private investment funds, negotiating and documenting investment advisory agreements with institutional investors, counseling on federal and state regulatory issues, and assisting with regulatory examinations and ongoing compliance matters. Christina also provides advice on general business matters that arise for investment advisers, including employment, consulting, compensation, strategic planning and marketing arrangements. Before joining the Shartsis Friese, Christina was a vice-president at Banc of America Securities LLC, serving initially in the compliance department and later in trading supervision.
Sean Kreiger, Chief Compliance Officer, Jackson Square Partners
Sean Kreiger, Chief Compliance Officer, Jackson Square PartnersSean serves as Chief Compliance Officer for Jackson Square Partners, an investment adviser registered with the U.S. Securities and Exchange Commission managing approximately $28 billion of assets under management. Sean started his professional career as an attorney with the Division of Enforcement of the U.S. Securities and Exchange Commission, followed by several years in private practice in the New York office of the law firm of K&L Gates. He then used this background to transition his career into a variety of legal and compliance roles in the asset management industry. This experience included roles as the CCO of a multi-strategy hedge fund manager in New York and in legal and compliance roles at AIG Investments and Babson Capital Management in Boston. Prior to joining Jackson Square, Sean spent three years as general counsel and chief compliance officer of a multi-billion-dollar, San Francisco-based asset manager.
For more information, please contact Jessica Larbie at jlarbie@greyline.co.
Darren Mooney
Partner and Co-Head of Business Development
Darren Mooney is a Partner and the Co-Head of Business Development at Greyline. Before joining Greyline, Darren served as deputy chief compliance officer of Partner Fund Management where he held primary responsibility for the compliance program of the second-largest hedge fund in the Bay Area. Prior to that, Darren spent five years providing compliance consulting services at Cordium and then ACA Compliance Group, where he led the company’s San Francisco office and west coast operations. In addition to providing ongoing consulting services to a variety of investment managers, including hedge fund, private equity, venture capital, real estate, quantitative and other wealth managers, Darren also regularly guided clients through the SEC registration process, implemented tailored compliance programs, supported clients’ live SEC exams, and served as an SEC-mandated independent compliance consultant following an SEC enforcement action. Darren’s other experience includes serving as deputy chief compliance officer and associate counsel at F-Squared Investments where he directly supported the compliance program during the investigation and subsequent enforcement regarding historical advertising practices. Darren has a B.S. in Economics from the University of Delaware and a J.D. from Suffolk University Law School. He is a member of the Massachusetts bar.
Annie Kong
Partner and Head of Venture Capital
Annie Kong is a Partner and Head of the Venture Capital Division at Greyline. She provides ongoing compliance consulting to investment advisers and manages client relationships. Prior to joining Greyline, Annie was part of compliance and operations at a long-only manager-of-managers that advised pension fund clients. While there, she conducted compliance and operational due diligence on SEC-registered investment advisers on the platform. She also oversaw and counseled on various legal matters across the firm. Annie has a B.A. in Economics from the University of California, San Diego, and a J.D. from the University of San Diego School of Law. She is an active member of the State Bar of California.