| Title | Company |
|---|---|
| Financial and Operations Principal and Chief Compliance Officer | Capital One |
| Vice President, Chief Compliance Officer, Operations | John Hancock |
| Senior Vice President, Enterprise Operations, Chief Compliance Officer | Northwestern Mutual |
| Chief Operating Officer and Chief Compliance Officer | UTEK Corporation |
| Managing Director, Finance, Regulation and Operations, Chief Compliance Officer and Treasurer | Greenhill & Co. , Inc. |
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