Invest in Yourself

Participate in qualifying PL activities designed to contribute to your knowledge as an investment professional and lifelong learner. The CFAInstitute recommends 20 credits including 2 Standards, Ethics, and Regulations (SER) credits each year.  
At this event you will earn (2) PL credits that will count as the 2 credits needed for the SER requirement. 

What you will learn: 
Applicable Laws and Regulations
Professional Standards of Practice 
Ethical Practices and Guidelines

Moderator: Deborah Bielicke Eades, CFA

Deborah Bielicke Eades is Co-Chair of the Women’s Network Advisory Group of the CFA Society Chicago and a member of the Diversity and Inclusion Committee of the CFA Society Chicago. Debby has been a shareholder in the Investment Services Group of Vedder Price P.C. since 1999.  Prior to joining Vedder Price P.C., Ms. Eades served as in house counsel at Janus Capital (now known as Janus Henderson). Ms. Eades has over 30 years’ experience in the financial services industry representing closed-end funds, open-end funds, and asset management firms with a particular focus on complex fund and adviser transactions, product development and design, and regulatory and compliance matters. Ms. Eades is a CFA and has earned the Certificate in ESG Investing.

1st Session / Regulation Conversation 4:00 - 5:00PM
Panelists include:
Allyson Buckels, CFA, Director at Grandview Analytics
Lindsey Simon, Founder and CEO of Simon Compliance

Alysson Buckels, CFA

Allyson Buckles, CFA, CPA, CIPM is Director at Grandview Analytics where she leads clients through new system implementations, enhanced data reconciliation, process flows, and research projects. With nearly 20 years of experience in the financial industry, Allyson is an expert in performance measurement, attribution, appraisal, and compliance with the Global Investment Performance Standards (GIPS®). Prior to joining Grandview, Allyson spent 8 years as Director at Ashland Partners / ACA Performance Services guiding fixed-income and private credit firms through their initial adoption and subsequent claim of compliance with the GIPS Standards. Prior to that, she was responsible for performance calculation, client reporting, and GIPS compliance at Guggenheim Partners. She has also spent time as a fund accountant and external auditor. Allyson earned her MBA from Drake University and her BS in Accounting from Minnesota State University, Mankato. She is a CFA charterholder, a licensed CPA in the state of Illinois, and a CIPM certificate holder. She is also a certified yoga instructor. Allyson enjoys cold weather, live music, and film noir. She lives in Chicago with her cats, Natasha and Greta.

Lindsey Simon, Founder and CEO of Simon Compliance

When Lindsey Simon started Simon Compliance in 2010, her mission was to provide investment advisers with the kind of customized services needed to comply with the ever-changing laws and regulations in the securities industry.  Today Simon Compliance serves more than 100 clients, partnering with private equity funds, real estate funds and venture capital funds to ensure a culture of compliance. Lindsey has more than 25 years of experience as a securities professional.  She served as a Senior Attorney with the United States Securities and Exchange Commission in the Division of Enforcement and as General Counsel and Chief Compliance Officer at Carpe Diem Capital Management, a Chicago-based hedge fund, and was an Associate in the litigation department of the Chicago office of Winston & Strawn.

ESG and Sustainability Conversation 5:00 - 6:00PM
Panelists include:
Lisa Sachs, Director at Columbia Center of Sustainable Investment
Blake Pontius, CFA, Director of Sustainable Investments, William Blair
Uwe Schillhorn, CFA, Senior Investment Professional and Asset Manager 

Lisa Sachs is the Director of the Columbia Center on Sustainable Investment. Since joining CCSI in 2008, she established and oversees CCSI’s robust and interdisciplinary research portfolio and advisory work on the alignment of investment law, investment practice, and investment policy with the sustainable development goals. She is a globally recognized expert in the ways that laws, policies and business practices shape global investment flows and affect sustainable development. She works with governments around the world, regional and international development organizations, financial institutions, companies, civil society organizations and academic centers to understand the inter-relations of investment flows and sustainable development, and to influence investment policies and practices to promote the SDGs and the Paris Agreement. She has served on World Economic Forum Global Future Councils and on several advisory boards, including of the Investor Alliance for Human Rights and the SDG Academy. Before joining CCSI, she worked at the Interfaith Center on Corporate Responsibility and at Amnesty USA, in both cases on shareholder engagement. She received a Bachelor of Arts in Economics from Harvard University, a Master’s degree in International Affairs from Columbia’s School of International and Public Affairs, and a Juris Doctor degree from Columbia Law School, where she was a James Kent Scholar and recipient of the Parker School Certificate in International and Comparative Law.

Blake Pontius, CFA, is director of sustainable investing. In this role, he coordinates the firm’s integration of environmental, social and governance (ESG) factors in its investment processes and provides ESG research support to the global equity team. Pontius also leads the firm’s ESG Leadership Team. Previously at William Blair, Pontius was a global portfolio specialist and institutional client relationship manager. Before joining William Blair in 2005, Pontius worked at UBS Asset Management and Mercer. He is a board member of Easterseals DuPage & Fox Valley, and a member of the CFA Institute and the CFA Society Chicago. In addition, he holds the SASB Fundamentals of Sustainability Accounting (FSA) credential and the CFA Certificate in ESG Investing. Pontius received a B.A. in economics, with honors, from Michigan State University and an M.B.A. in finance, with distinction, from DePaul University.

Uwe Schillhorn, CFA, Investment Officer
Uwe has been in investment leadership roles for over 20 years covering a broad range of asset classes in public and private markets. Uwe joined the Cook County Pension Fund as Chief Investment Officer in June 2023. Prior to that, he served as CIO in Principal Financial Group’s international business, managing over $ 130 bn in pension, mutual funds and insurance assets. Before that, he was Head of Emerging Markets Debt at UBS Global Asset Management. He contributed to various investment management textbooks, has been involved in children’s and financial education throughout his career and is currently a member of the Education Advisory Committee of the CFA Society Chicago.

What you will learn: 
Applicable Laws and Regulations
Professional Standards of Practice 
Ethical Practices and Guidelines

Cost: 
COMPLIMENTARY 

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

CFA Institute CE Qualified Activity
This program qualifies for (2) credits under the guidelines for the CFA Institute Professional Development Program.