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Webinar: Overview of the New Prudential Regime for Investment Firms (IFPR)
July 29, 2021 @ 12:00 pm - 1:00 pm EDT
With the implementation of the new prudential regime for investment firms (IFPR) on the horizon, Mike Chambers and the prudential team at Wheelhouse Advisors have conducted a number of IFPR impact assessment projects across a variety of investment firm types and sizes. In this session, Mike will discuss the changes brought about by the new regime, and share some significant findings from the impact assessment work conducted thus far.
Speakers
Mike Chambers, Head of Prudential, Wheelhouse Advisors
Mike Chambers is a qualified chartered accountant and Head of Prudential with Wheelhouse Advisors. He specializes in the design and delivery of solutions to minimize clients’ reporting and prudential burdens and his technical expertise on regulatory capital, prudential governance and reporting make him a valued member of the Investment Association’s prudential committee.
Sean Wilke, Partner, Head of Strategic Growth, Greyline
Sean Wilke is a Partner and Head of Strategic Growth at Greyline. He has extensive experience advising various types of asset managers, including private equity funds, hedge funds, traditional investment advisers, registered investment companies, institutional allocators and family offices, on a range of regulatory, compliance, operational and business matters. This includes areas such as regulatory reporting, curation of testing programs, best execution, investment allocation, risk management, supervision, policy development and management of regulatory examinations. Before joining Greyline, Sean was a director within the governance, risk, investigations and disputes group at Duff & Phelps where he focused on compliance and regulatory consulting. Prior to that, he was the general counsel and chief compliance officer of Bramshill Investments, a fixed income-oriented investment manager where he oversaw and administered all legal and compliance affairs.
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.