Greyline Partners, LLC

Webinar: Overview of the New Prudential Regime for Investment Firms (IFPR)
2021-07-29 12:00 - 13:00 (America/New_York)
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.

Webinar: Best Practices to Implement the New Advertising and Cash Solicitation Rules
2021-07-21 13:00 - 14:30 (America/Los_Angeles)
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 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 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 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.
