312-251-1301 info@cfachicago.org

Event Detail

Putting Investors First (Ended)


A Discussion on the Current Investment Regulatory and Ethical Environment

Date, Time, and Location:
Wednesday, May 18, 2016 (add this event to your Outlook Calendar)
3:30 pm - 5:30 pm
Residence Inn, 11 S. LaSalle Street, Chicago, IL  60603   (Driving Directions)

Program Description:
As part of this year's "Putting Investors First" initiative, CFA Society Chicago invites you to join us for a panel discussion focusing on regulatory issues and ethical mandates. This event will cover topics including regulatory trends, fraud prevention, ethical practices, determining ethical criteria and the relationship between ethics and investment choices.

Moderator:
Darin Goodwiler: Chief Compliance, Risk and Ethics Officer, CFA Institute

Panelists:
Jonathan A. Boersma, CFA: Head Professional Standards, CFA Institute
David A. Hershey, CFA: U.S. Securities and Exchange Commission
Brian A. Thompson: Founder, Black & Essington Capital, LLC and Black & Essington Solutions, LLC

Fee*:
Members - FREE
Student Members - FREE
Non-Members - $20
(member pricing underwritten by CFA Chicago)

CFA Institute Qualified Activity: Eligible for 1.5 credit hours

Attire: Business Casual

Menu: Refreshments and light appetizers

Registration: Online

Agenda:
3:30 pm - 4:00 pm Registration & Networking
4:00 pm - 5:30 pm Welcome/Program and Q&A

Hosted by: Education Advisory Group

Moderator:

D. Goodwiler Darin Goodwiler is responsible for providing a comprehensive, global compliance, ethics, and risk management framework and strategy for CFA Institute, its member societies, and affiliations. He will also be responsible for moving the organization's compliance culture and programs forward, as well as risk management planning. He joined CFA Institute in September 2015 following a diverse career in high-level government security, international business, executive leadership, and global compliance and risk management operations. Goodwiler has served in executive roles for Giant Eagle, Briggs & Stratton, and the U.S. Department of Homeland Security. Earlier in his career, Goodwiler served in the U.S. Secret Service and the U.S. Marine Corps. He reports dually to the President and CEO and to the Committee Chair of the Audit and Risk Committee of the Board. Goodwiler earned a BS in Security Management from Bellevue University and a MBA from Concordia University Wisconsin.

Panelists:

J. Boersma Jonathan A. Boersma, CFA is head of Professional Standards and Executive Director of the Global Investment Performance Standards at CFA Institute. He is responsible for developing, maintaining, and promoting the GIPS standards, Code of Ethics and Standards of Professional Conduct, and other CFA Institute standards of practice. This includes coordinating and supporting related educational and public awareness activities. Prior to joining CFA Institute, Boersma worked in the investment management industry in various positions including assistant portfolio manager, trader, and performance specialist. He has experience in asset allocation, fundamental and quantitative research, risk and performance measurement, investment policy and portfolio strategy development, and investment manager selection. Boersma is a frequent speaker on ethics in the investment industry and the 2014 winner of the Portfolio Institutionell Reader's Choice Award for Industry Achievement. Boersma is a member of the Certificate in Investment Performance Measurement (CIPM) Association advisory council, the advisory board of Investorside Research Association, and the CFA Magazine editorial advisory team. Boersma is also a member of NYSSA and was awarded his CFA designation in 2003.

D. Hershey David A. Hershey, CFA works for the U.S. Securities and Exchange Commission. Hershey joined the SEC in October 2012 as a Senior Specialist Examiner focused on Fixed Income Markets. He has been involved in the bond market his entire career, 23 years of which were spent working at the buy-side firm Lotsoff Capital Management in Chicago. At Lotsoff, Hershey was a fixed income Portfolio Manager and a Director of Research. Before Lotsoff, he worked for six years in the banking industry: first, as a Federal Bank Examiner; and then as a Bank Treasurer managing mortgage and liquidity portfolios. Hershey earned a B.S. in Finance from Southern Illinois University and a M.B.A. from Arizona State University. He has been a Charter Financial Analyst since 1992.

B. Thompson Brian A. Thompson is the founder of Black & Essington Capital, LLC and Black & Essington Solutions, LLC. Thompson has extensive consulting and investment management experience. He has particular expertise in business strategy development and operations performance improvement. Thompson's experience includes working with new and existing businesses to grow and improve their overall performance through training and development initiatives. His research and areas of study primarily focus on decision-making under uncertainty with an emphasis on cognitive biases and emotional constraints. Prior to founding Black & Essington Solutions, he managed a family real estate business and co-founded a multi-location martial arts instruction and promotions company. Thompson was previously a securities trader and analyst for Bluewater Arbitrage and Reverb Trading in Chicago. Thompson is an adjunct faculty member at DePaul University and the University of St. Francis teaching undergraduate and graduate courses in economics and finance. He holds a Bachelor's degree in Business Administration from Governors State University, a Master of Science in Finance from the Illinois Institute of Technology, and an MBA in Business Strategy and Finance from DePaul University.

*Special Notes Regarding Fees:
Credit card is required to guarantee ALL reservations. Day-of-event registrations accepted on-site only if applicable and space available. There is a $5 surcharge for walk-ins. Visa, MasterCard, American Express, Discover and Diners Club are accepted. Cancellations accepted until 5:00 pm, May 12. If guests fail to cancel before the deadline and/or fail to attend the event they will be charged a $20 fee.

Passport Program
Members of any CFA society may attend at the CFA Chicago member rate. If you are only a member of CFA Institute, you do not qualify for the society member rate.

Content shared during CFA Society Chicago programs is not, and nothing in it should be construed as, an offer, invitation or recommendation of any specific financial services company or professional, or an offer, invitation or recommendation to sell, or a solicitation of an offer to buy, any securities in any jurisdiction. By registering for and attending this event, you acknowledge that any photographs that may be taken are the property of CFA Society Chicago and give your consent to their use in CFA Society Chicago's online and print business communications and marketing.