Under Chairwoman Mary Schapiro, the SEC has announced a number of initiatives to improve the Commission’s regulation and oversight of investment advisers. The SEC has also been actively investigating alleged fraudulent activity by investment advisers, resulting in a number of recent high-profile civil cases.
Join us for a roundtable discussion about these recent developments and the SEC’s current enforcement priorities. A panel of prominent market participants and regulators, including Jina Choi and Robert Leach, Assistant Regional Directors in the Asset Management and Market Abuse sections of the Enforcement Division, will explore issues relating to fraud and insider trading detection and prosecution, as well as the Enforcement Division’s new tools to facilitate and reward cooperation.
Jina L. Choi, Assistant Regional Director for Enforcement, SEC
Jina Choi is an Assistant Regional Director for Enforcement in the SEC’s San Francisco Regional Office, where, among other responsibilities, she serves as an Assistant Director in the Division of Enforcement’s Market Abuse Unit. Prior to joining the SEC, Ms. Choi had been an associate at Davis Polk & Wardwell in New York and served as a Trial Attorney in the Civil Rights Division at the U.S. Department of Justice in Washington, DC. Ms. Choi also served as an Assistant United States Attorney in the Northern District of Texas. She received her B.A. from Oberlin College and her J.D. from Yale Law School.
Catherine Hutt, Partner, Sidley Austin LLP
Catherine E. Hutt is a partner in Sidley Austin’s Los Angeles Corporate and Finance Group. Ms. Hutt’s practice focuses on investment funds and investment advisers, including the formation and structuring of private open-end and closed-end funds. She advises both foreign and domestic clients in connection with domestic and international offerings of hedge funds as well as the organization and operation of investment advisers, including federal and state investment adviser regulation and compliance.
Robert Leach, Assistant Regional Director for Enforcement, SEC
Robert Leach is an Assistant Regional Director for Enforcement in the SEC’s San Francisco Regional Office. As an Assistant Director, Mr. Leach manages investigations into possible violations of the federal securities laws. He is a member of the Division’s Asset Management Unit. Before joining the SEC in 2003, Mr. Leach was an associate with Latham & Watkins LLP in its San Francisco and Los Angeles offices. He also served as a law clerk to United States District Judge John G. Davies in Los Angeles. Mr. Leach earned a J.D. from UCLA School of Law and B.A. in History from Yale University.
Ann Oglanian, President, ReGroup, LLC
Ann Oglanian is the President and CEO of ReGroup, LLC, a San Francisco-based consulting firm providing strategic and tactical business guidance to investment management firms. Formerly, she was the Managing Director, General Counsel and Chief Compliance Officer for San Francisco-based Montgomery Asset Management. Prior thereto, she was a partner in the investment services practice group of the Chicago-based law firm Vedder Price, where she represented a wide range of mutual funds, investment advisers, independent fund directors and broker/dealers. Formerly, Ann served as in-house counsel to Strong Capital Management and Kemper Financial Services.
Carol Lynn Thompson, Partner, Sidley Austin LLP
Carol Lynn Thompson is a partner in Sidley Austin’s San Francisco Litigation Group. She practices complex commercial litigation with an emphasis in securities litigation. Ms. Thompson’s practice focuses on defending issuers, officers, directors, and accounting firms in shareholder class actions and derivative lawsuits. She also represents companies and individuals in proceedings before the SEC, and counsels clients in connection with internal investigations.