Tom also worked for seven years as a Chief Compliance Officer for a global asset management organization.

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1 Thomas A. Biolsi Principal, Financial Services Regulatory Group PwC Phone: (646) Tom Biolsi is a Principal in the Financial Services Regulatory Practice and has 30 years of industry experience. He is a subject matter specialist on regulatory issues and serves PwC's financial services industry clients helping asset managers manage risk with increased confidence and clarity. Tom recently rejoined PwC after completing three years in the New York Regional Office of the Securities and Exchange Commission as the Associate Regional Director. At the SEC, Tom was responsible for the Investment Management Inspection Program, overseeing more than 2,000 registrants with over $10 trillion in assets under management. Tom also led training programs for foreign regulators in Asia, Europe and Central America. Prior to serving as the Associate Regional Director at the SEC, Tom served as a Managing Director in PwC s Regulatory Consulting Practice for ten years. He developed a mock SEC audit inspection program and numerous other initiatives related to developing protocols and risk controls for the asset management industry. His expertise is frequently requested from law firms on behalf of asset management firms and from regulators. Tom also worked for seven years as a Chief Compliance Officer for a global asset management organization. Tom is a Cum Laude graduate of Chapman College. He is a frequent speaker for organizations such as the Practicing Law Institute, the New York City Bar Association, Harvard Law School, New York University Law School, and many other industry and academic conferences. 1 of 6

He is a subject matter specialist on regulatory issues and serves PwC's financial services industry clients helping asset managers manage risk with increased confidence and clarity.

2 Bonnie B. Jonas Assistant United States Attorney Southern District of New York Bonnie B. Jonas is an Assistant United States Attorney in the Southern District of New York. In September 2009, Ms. JONAS was promoted to Senior Litigation Counsel in the Securities and Commodities Fraud Task Force. In March 2010, Ms. JONAS was designated the Office's Financial Fraud Coordinator for President Obama s Financial Fraud Enforcement Task Force. Ms. JONAS joined the United States Attorney s Office for the Southern District of New York in 1997 and has served as a Chief of the General Crimes Unit and before that as a member of the Securities and Commodities Fraud Task Force. Ms. JONAS is a 1991 graduate of the Wharton School at the University of Pennsylvania and a 1995 graduate of Columbia University School of Law. After law school, Ms. JONAS clerked for the Honorable REENA RAGGI of the United States District Court for the Eastern District of New York and was an associate at Paul, Weiss, Rifkind, Wharton & Garrison in New York. 2 of 6

JONAS was designated the Office's Financial Fraud Coordinator for President Obama s Financial Fraud Enforcement Task Force. Ms.

3 Robert Khuzami Director of the Division of Enforcement SEC On March 30, 2009, Rob was appointed Director of the Division of Enforcement of the Securities and Exchange Commission. As Director, Rob oversees more than 1100 enforcement staff throughout the SEC s 12 offices and is responsible for the overall operation and direction of the enforcement program. From 2002 through 2009, Rob served as General Counsel for the Americas for Deutsche Bank AG, and before that as its Global Head of Litigation and Regulatory Investigations. From 1990 through 2002, Rob was a federal prosecutor with the United States Attorney s Office for the Southern District of New York. During his service, Rob held the position of Chief of the Securities and Commodities Fraud Task Force, a unit responsible for the prosecution of a wide range of securities fraud and related crimes, including accounting and financial statement fraud, insider trading, market manipulation and offering fraud. Prior to that, Rob served in that Office s Counterterrorism Unit, where he was a member of the prosecution team in United States v. Rahman, et al. The trial led to the conviction of Blind Sheik, Omar Ahmed Ali Abdel Rahman, and nine co-defendants for operating an international terrorist organization responsible for, among other things, the 1993 bombing of the World Trade Center and for planning the virtually simultaneous bombing attacks on the FBI s New York Headquarters, the Lincoln and Holland Tunnels and the United Nations Headquarters. Rob has received the Attorney General s Exceptional Service Award (1996), the Federal Law Enforcement Foundation s Federal Prosecutor Award (1997), and the Henry L. Stimson Award for Outstanding Public Service (2001). Rob served as a law clerk for the Honorable John R. Gibson of the United States Court of Appeals for the Eighth Circuit. He received his J.D. from the Boston University School of Law and received his B.A. from the University of Rochester. 3 of 6

From 2002 through 2009, Rob served as General Counsel for the Americas for Deutsche Bank AG, and before that as its Global Head of Litigation and Regulatory Investigations.

4 David A. Markowitz Special Deputy Attorney General for Investor Protection Office of the Attorney General Andrew M. Cuomo In April of 2008, David A. Markowitz was appointed to serve as Chief of the Attorney General s Investor Protection Bureau. In January 2010, Mr. Markowitz was promoted to the Attorney General s executive staff as Special Deputy Attorney General for Investor Protection. Mr. Markowitz supervises a staff of over 60 attorneys, accountants, paralegals, and other securities professionals protecting investor interests in the nation s financial capital. Mr. Markowitz oversees the Office s administration of New York s Martin Act. Since joining the Office, Mr. Markowitz has led investigations of national significance, including those concerning auction rate securities, Madoff feeder-funds, credit-rating agencies, and the Bank of America/Merrill Lynch merger. Prior to joining the Attorney General s Office, Mr. Markowitz served on the staff of the New York office of the US Securities and Exchange Commission for eight years. At the SEC, Mr. Markowitz held positions of increasing responsibility, last holding the position of Assistant Regional Director. While at the SEC, Mr. Markowitz led several landmark investigations, including several high profile insider-trading cases, investigations into the PIPES market, industry-wide investigations of unlawful specialist trading, and one of the first Regulation FD enforcement actions. Mr. Markowitz regularly speaks about the federal and state securities laws, as well as securities regulation and enforcement. Prior to joining the SEC, Mr. Markowitz was a litigator at the law firm of Stroock & Stroock & Lavan LLP in New York. Mr. Markowitz received a J.D. from the New York University School of Law and a BA from Lafayette College. 4 of 6

Markowitz was promoted to the Attorney General s executive staff as Special Deputy Attorney General for Investor Protection. Mr.

5 Denis McInerney Chief of the Fraud Section in the Criminal Division United States Department of Justice Denis McInerney is the Chief of the Fraud Section of the Criminal Division, United States Department of Justice, a position he has held since January Mr. McInerney is a graduate of Fordham Law School and served as an Assistant US Attorney for the Southern District of New York from 1989 to 1994, and as a Deputy Chief of the Criminal Division from 1993 to In 1994, he served as an Associate Independent Counsel in the Whitewater Investigation under Independent Counsel Robert B. Fiske, Jr. Mr. McInerney then worked in the Litigation Department of Davis Polk & Wardwell LLP, becoming a partner of the firm in 1997, where he represented corporate and individual clients in grand jury and regulatory investigations, criminal and civil trials, internal investigations and general civil litigation. 5 of 6

McInerney is a graduate of Fordham Law School and served as an Assistant US Attorney for the Southern District of New York from 1989 to 1994, and as a Deputy Chief of the Criminal Division from 1993

6 James S. Shorris Executive Vice President, Enforcement FINRA James S. Shorris is the Executive Vice President and Executive Director of Enforcement at FINRA. Mr. Shorris is responsible for the day-to-day operational management of the Enforcement Department. He was the Executive Vice President and Head of Enforcement at NASD, which consolidated with NYSE Member Regulation to form FINRA in Mr. Shorris joined NASD in November 2003 as Senior Vice President and Deputy Director of Enforcement. Prior to joining NASD, Mr. Shorris practiced securities law at Bingham McCutchen LLP and Choate, Hall & Stewart in Boston, and at Morgan, Lewis & Bockius in New York. He has worked for two securities firms as Vice President, Counsel and Chief Compliance Officer for Allmerica Financial Corporation in Worcester, MA, and for nearly five years as Senior Vice President and Deputy General Counsel for Tucker Anthony Incorporated in Boston. Mr. Shorris began his career as an Assistant District Attorney in the Manhattan District Attorney's Office, where he spent five years. Mr. Shorris received a B.A., cum laude, in 1982 from Macalester College in St. Paul, Minnesota, where he graduated with honors in political science. He received his J.D. from Case Western Reserve University School of Law in Cleveland, OH, in 1985, where he also served as a staff member for the Case Western Reserve Journal of International Law and as a board member of the Moot Court Board. 6 of 6

He was the Executive Vice President and Head of Enforcement at NASD, which consolidated with NYSE Member Regulation to form FINRA in 2007. Mr.

2013 Compliance Outreach Program Boston Regional Office - May 16, 2013

2013 Compliance Outreach Program Boston Regional Office - May 16, 2013 2013 Compliance Outreach Boston Regional Office - May 16, 2013 BIOGRAPHIES Melissa Clough Assistant Regional Director, Investment Adviser/ Investment Company Examination () Melissa Clough is an Assistant