Agenda

  • April 11, 2022

8:00am–9:00am

Breakfast & Registration

9:00am–9:10am

Welcome Remarks

D. Brooke Harlow, Chief Commercial Officer, Managed Funds Association

Brooke Harlow is the Managed Funds Association’s Chief Commercial Officer. Brooke is responsible for strategy and execution of the Association’s business development and revenue focused initiatives as well as the Association’s relationships with the institutional investor and fund manager communities. Brooke works directly with MFA’s President & CEO on the Association’s membership, content and investor relations priorities and also leads the Association’s global Conferences and Events team. Previously she headed MFA’s Communications team and ran Membership Development for the Association. Brooke also serves as Executive Director of the Center For Alternative Investment Education, a private foundation dedicated to enhancing the knowledge and understanding of alternative investments and the alternative investment industry.

In 2021, Brooke was recognized as one of “50 Leading Women in Hedge Funds” by the Hedge Fund Journal. She also serves on the Global Advisory Board of Girls Who Invest, a non-profit organization dedicated to increasing the number of women in portfolio management and executive leadership in the asset management industry. She is also a Global Angel member of 100 Women in Finance, a global 15,000 member non-for-profit organization focused on empowering women in the finance and alternative investment industries.

Brooke joined MFA from Highbridge Capital Management where she served as Managing Director of Communications and Public Affairs. In that capacity, Brooke was responsible for the corporate communications, marketing, branding, events and public affairs operations at the firm reporting directly to the Founder and served as its spokesperson.

Prior to joining Highbridge, Brooke was a Vice President of Investment Bank Marketing and Communications at JPMorgan where she managed media relations for the global credit, emerging markets and private equity businesses at the bank, served as head of marketing and communications for Latin America and as a member of the Latin American Investment Bank management committee; managed crisis communications for the investment bank; and worked closely with members of the bank’s Operating Committee. Brooke began her career as a field producer/reporter for CNN in the Washington, D.C. and Mexico City bureaus of the news organization.

Brooke graduated from Yale University with a B.A. in American Studies and was selected as a Rotary Scholar and studied at El Colegio de Mexico in Mexico City, Mexico as part of their Masters in International Relations program.

Ms. Harlow is a life member of the Council on Foreign Relations, a Trustee of The Hotchkiss School, an Executive Committee member of the Women’s Board of the Boys Club of New York.

9:10am–9:30am

Presentation

ESG Investor Flows and Investment Trends

Soojin Kim, AVP, ESG Research, Preqin

Soojin currently heads the global ESG research collection efforts at Preqin, the leading data provider for all Alternatives Data, providing insight and analysis on firms across every asset class for fundraising, performance, and deal information.  At Preqin, Soojin also participates on the Corporate Responsibility (CR) team as well as the Inclusion, Diversity, Equity, and Awareness (IDEA) Committee, where she promotes conversation around mental health, diversity, carbon reduction, and internal governance initiatives.

9:30am–9:55am

Keynote

TBA

9:55am–10:20am

Keynote

The UK’s Priorities for Sustainable Finance and the Global Regulatory Landscape

John Glen MP, Economic Secretary to the Treasury, UK

Promoted to Minister of State in the September 2021 reshuffle, John Glen has been Economic Secretary to the Treasury and City Minister since January 2018, and Member of Parliament for Salisbury and South Wiltshire since 2010. In his current position, John is responsible for government policy in banking and financial services.

Early Life

John Glen was born in Bath in 1974 and was brought up into a small family horticultural business in rural Wiltshire. His mother and uncle were born in Salisbury and his grandfather and great-grandfather lived and worked in the city during the Blitz. John has two step children: William and Emily.

He attended King Edward’s School, Bath where he was Head Boy. He took a year out after his A Levels to work, and he studied Politics A Level in the evenings at Wiltshire College. He then won a place at Oxford University where he read Modern History.

Career

After university, John worked for two government ministers in the last year of the Conservative administration (1996-97). This experience helped him to understand the hard work involved in being a Member of Parliament and the challenges of constituency work which he had extensive exposure to during his year as a parliamentary researcher. After campaigning in Middlesbrough South and East Cleveland for Michael (now Lord) Bates in the 1997 General Election, John joined the strategy practice of a large management consultancy firm.

Following three years in consulting, John worked an 8-month spell for William Hague MP’s team. John helped prepare William for Prime Minister’s Question Time and briefed the Shadow Cabinet for media appearances in his role as Head of the Political Section of the Conservative Research Department. After this secondment and standing for Parliament himself, as one of the youngest candidates, in Plymouth Devonport at the 2001 General Election, John wanted to gain further experience outside politics.

John gained an MBA from Cambridge University in 2003 and briefly returned to Accenture, before being asked in early 2004 to work as Deputy Director of the Conservative Research Department, looking after the day to day management of twenty researchers in the run up to the 2005 General Election. He then became Director of the Department and set up the secretariat for the Policy Review that was established after David Cameron became Leader.

Between 2006 and 2010, John returned to Accenture to manage the company’s relationship with the World Economic Forum. He attended the annual meeting in Davos in 2007, 2008 and 2009.

He was selected to fight the Salisbury seat at an Open Primary attended by over 450 people at Salisbury Playhouse on 31 January 2010.

John was a magistrate (JP) at Horseferry Road, Westminster from 2006 to 2012 and retains a strong interest in the law and justice. He has worked as a mentor to students at City University; he has been a Trustee of a National Youth Charity and a Governor of an inner city comprehensive school.

10:20am–11:00am

Investors and Managers Townhall: Investor Expectations and Manager Accountability

Panelists:

Nicole Carter, Executive Director, Deputy Head of ESG and Head of Benelux, AQR Capital Management, LLC

Nicole Carter is the Deputy Head of ESG Strategy and an Executive Director at AQR Capital Management. She has been a member of AQR’s ESG Working Group since 2016 and chairs the ESG Reporting and Communication committee. Nicole is an active member of the sustainability investment community and has served on ESG working groups of the Managed Funds Association and CFA UK. In addition to her ESG role, Nicole is AQR’s Head of Benelux, responsible for relationships with clients and prospects in the region. Prior to AQR, Nicole worked in telecommunications and for a technology start-up. Nicole received her B.A. in Philosophy, Politics, and Economics from the University of Oxford, where she was the president of Oxford Women in Politics, and is a CAIA charterholder. She is pursuing a Master of Liberal Arts in Extension Studies: Sustainability at Harvard University.

Shannon O'Leary, Chief Investment Officer, Saint Paul & Minnesota Foundation

Shannon O’Leary is the CIO at the Saint Paul and Minnesota Foundation. She is an experienced leader with depth and breadth in building and managing investment teams, processes and procedures. Shannon came to the Foundation from The Advocate Group, a Minnesota-based wealth management firm, where she held the CIO role and was a member of the firm’s Governing Board. During her time there, she led the creation and oversight of the firm’s investment department while managing client assets across all asset categories. Previously, Shannon spent seven years at a large Minnesota family office, where she was a member of the Investment Committee and played an integral role in portfolio construction and monitoring, manager due diligence, client reporting and risk management for the family’s complex multi-generational investment structure and associated entities. Shannon began her career as an analyst at Dearborn Partners in Chicago after earning a BA in Economics with a concentration in High Energy Physics from the University of Wisconsin-Madison.

Mark Savino, ESG Analyst, Viking Global Investors LP

Mark Savino is an ESG Analyst at Viking Global, responsible for conducting relevant research, integrating environmental, social and governance (ESG) considerations into the investment team’s research process, advising portfolio companies on best practices and coordinating the firm’s ESG effort. Prior to joining Viking in 2021, Mark was the Lead U.S. Sustainability Analyst at Morgan Stanley, a Research Analyst at Diamondback Capital and an Investment Banking Analyst at Bank of America Merrill Lynch. Mark received a B.S. in finance from Lehigh University.

Jeffrey H. Wechselblatt, General Counsel, Lone Pine Capital LLC

Jeffrey H. Wechselblatt is the General Counsel of Lone Pine Capital LLC.  Jeff joined Lone Pine in 2007.  Lone Pine is an investment adviser that advises several long/short and long only private investment funds that invest primarily in publicly traded equities.  Prior to joining Lone Pine, Jeff was an associate at Schulte Roth & Zabel LLP, Friedman Kaplan Seiler & Adelman LLP, and Simpson Thacher & Bartlett LLP.  Jeff is a 1998 graduate of Columbia Law School.

 

Moderated By:

Jayme Colosimo, Global Head of ESG and NAM Head of Business Advisory Services, Citi Markets, Citigroup

Jayme Colosimo is the Head of ESG, North America, and also serves as part of Citi’s Business Advisory Services team, a thought leadership and global coverage strategic advisory group providing consulting, content, and insights to the C-Suite of Citi’s top 100 Global Markets clients on the innovation, regulatory, and technology trends impacting the investment management industry.

Prior to joining Citi in 2018, Jayme served as a Senior Economist and Strategic Advisor to White House and senior U.S. policy makers on global macroeconomic, geopolitical, and international banking issues. She managed intelligence analysts focused on national security issues, developing an expertise in alternative data and analytics, cybersecurity, and financial applications of emerging technologies. She was awarded a Presidential Daily Briefing Commendation and two Meritorious Unit Citations during her service. Earlier in her career, Jayme led a team of Relationship Officers in Zions Bank Private Services and separately served as the chief financial analyst to the CFO of Zions Bank.

Jayme holds a Professional Certificate in Data Science from the University of California, Berkeley and completed sponsored Executive Education at The John F. Kennedy School of Government at Harvard University. She holds a certification in Advanced Editing from the Poynter Institute School of Journalism and in 2020, graduated from a year-long certificate program in Data Visualization from Parsons School of Design. She holds an M.B.A. with an emphasis in Organizational Behavior and a Bachelor of Arts in International Business from Westminster College in Salt Lake City, Utah.

Jayme is an AA Certified Advanced Robotics Process Automation (RPA) Professional Developer, an American Marketing Association (AMA) Professional Certified Content Marketer, and holds Series 7 and Series 63 securities licenses.

11:00am–11:15am

Refreshment Break

11:15am–11:45am

SFDR Implementation

Courtney E. Kapes Lewis, Chief Compliance Officer and General Counsel (North America), Marshall Wace North America, L.P.

Courtney is currently Chief Compliance Officer and General Counsel of Marshall Wace North America.  Prior to joining the firm, Courtney was Chief Compliance Officer and General Counsel of Hound Partners, which was seeded by Tiger Management.  She began her career at Systematic Financial Management, an affiliate of Affiliated Managers Group, as Compliance Officer and Counsel.

Courtney gained a Bachelor of Arts (2007) from New York University’s Gallatin School of Individualized Study and a Juris Doctorate with a Masters in International Political Economy and Development (2010) from Fordham University in New York.  Courtney is an adjunct professor in Fordham Law School’s Masters of Compliance program, for which she also helped develop the online course curriculum in Investment Management Regulation.  She also serves on the Executive Board of Literacy Partners, a large adult literacy non-profit organization focused on having a two-generation impact on education.

11:45am–12:25pm

ESG in an Energy Crisis: Has the Situation in Ukraine Changed the Approach to Energy Markets and Sustainability

Panelists:

Alessia Falsarone, Managing Director, Head of Sustainable Investing, Portfolio Strategy and Risk, PineBridge Investments

Alessia Falsarone, SASB FSA is Managing Director, Head of Sustainable Investing, Portfolio Strategy and Risk in developed credit markets at PineBridge Investments, a global asset manager based in New York. Prior to joining the firm’s predecessor entity, AIG Investments, in 2007, Alessia spent over a decade in banking roles at Credit Suisse and Citigroup in Europe, North America, and Asia.

A fellow of the Aspen Institute’s Business and Society Program, she is an advisor to the London Stock Exchange Green Segment with focus on financial markets’ participation in building environmental resilience and promoting climate risk practices, as well as a non-executive director of OpenCorporates in the UK, the largest open platform of transparent corporate data and provenance solutions. Alessia is an alumna of Stanford University and the MIT Sloan School of Business.

Nikhil Mirchandani, Portfolio Manager, Inherent Group LP

I have been passionate about forecasting and investing in structural change throughout my adult life.  Business models, industries, and even entire societies and political regimes in transition regularly present engaging analytical puzzles and compelling investment opportunities often absent from their more stable counterparts.  Today, I think capitalism itself is in the middle of a massive, generational structural shift toward long-term orientation, demanding that businesses and societies broaden their concepts of stakeholders and focus on social and environmental sustainability.  I’m thrilled to be part of Inherent Group, where our daily work is at the nexus of this structural shift toward sustainability.  I focus personally on applying this thinking toward credit markets and international markets, and I believe quite strongly that traditional value investing and sustainability considerations can marry into a mutually supportive investment process in these areas.  Both sides have a lot to contribute to the conversation, but they are all too often not even conversing! Away from work, my passion is spending quality time with my wife and daughter.  Together, we enjoy travel, food, outdoor sports, an increasingly diverse mix of music (spanning from Disney to 90s hip hop by way of R&B and electric blues guitar), and the company of our friends and families.

David Swift, Chief Operating Officer, Engine No. 1 LP

David leads the firm’s daily operations and guides the firm’s growth. He has over 15 years of experience partnering with asset managers to help them evolve through strategic business development initiatives.

Before joining Engine No. 1, David was a partner at Partner Fund Management, where he led global marketing. Previously, he served as the director of business development at Pacific Current Group. He began his career in institutional equity sales at JP Morgan Chase and Bank of America.

David received a BA in Economics from Georgetown University. He currently sits on the Finance Committee of the Peninsula Open Space Trust.

Moderated By:

Charles Furcolo, Head of ESG Solutions, Institutional Equity Division, Morgan Stanley

Charlie Furcolo is an Executive Director and Head of MS IED ESG Solutions.  Charlie carries dual roles covering West Coast institutional investors on Morgan Stanley’s International Sales Desk, while also leading Morgan Stanley’s ESG Solutions business globally for IED; a firmwide effort to deliver Morgan Stanley ESG solutions to Institutional Investors, Corporates and Asset Owners.  Charlie joined Morgan Stanley in 2006 and has held a variety of roles across IED Sales in New York, Boston and San Francisco.  Prior to Morgan Stanley, Charlie worked at Cambridge Associates in Boston.  Charlie attended the University of Massachusetts, Amherst class of 2005.

12:25pm–1:00pm

Luncheon

1:00pm–1:40pm

Regulation Outlook: Convergence or Fragmentation?

Panelists:

Antoine Begasse, EU Finance Counsellor, Delegation of the European Union to the United States, European External Action Service

Reggie Dodge, Chief Compliance Officer and General Counsel, Emso Asset Management Limited

Mark Schein, Global Chief Compliance Officer, Värde Partners

Värde Partners

Global Chief Compliance Officer

 

York Capital Management

Chief Compliance Officer

 

Schwab Capital Markets

Director of Anti-Money Laundering

 

US Trust Company

Director of Broker Dealer Compliance

 

New York Stock Exchange, Division of Enforcement

Trail Counsel

 

Bronx District Attorney’s Office

Assistant District Attorney

 

JD from Vanderbilt Law School

BA from Williams College

Moderated By:

Scott H. Moss, Partner & Chair, Fund Regulatory & Compliance, Lowenstein Sandler LLP

Highly respected by industry peers for his depth of regulatory knowledge, Scott has counseled hundreds of investment management clients in the implementation of compliance programs, as well as in the development of plans to ensure ongoing adherence to emerging regulatory standards.
He possesses a thorough knowledge of the entire panoply of the overlapping securities and commodities laws, rules, and regulations affecting his clients. Scott is part of a team that “always understands the issues at hand, responds very quickly and is able to suggest creative solutions to issues that are often very complicated.” (The Legal 500)
Scott’s extensive experience includes representing offshore and U.S.-based funds, investment advisors, broker-dealers, commodity pool operators, and commodity trading advisors in formation and structuring, securities and commodities regulation, mergers and acquisitions, and other financial transactions.
Scott is also a prominent author and lecturer on corporate law, securities transactions, and investment management. His advisory roles include:

– Adjunct Professor at Rutgers Law School, “Hedge Funds and Investment Adviser Seminar” (2008-2017)
-Lawyers’ Advisory Committee and Conference Committee for the Managed Funds Association
-IA Legal and Regulatory Subcommittee and Speaking Faculty of the National Society of Compliance Professionals

1:40pm–2:15pm

ESG and Asset Ownership: Driving Progress Towards Sustainability Objectives

Panelists:

Daniel Hochman, Head of Sustainability Research, Bridgewater Associates

Daniel joined Bridgewater in 2011. He is in his tenth year as an Investment Researcher at Bridgewater. Since 2018, he has been Bridgewater’s Head of Sustainability Research, focused on building understanding at the intersection of financial markets and environmental / social sustainability, and how investors can build portfolios to achieve both investment and sustainability goals. Daniel is an alumnus of Dartmouth College, where he majored in History.

David Flinn, Director, Bain Capital Public Equity, Bain Capital, LP

Mr. Flinn joined Bain Capital in  2017. He is a Director based in Bain Capital’s Boston office with primary responsibilities for investor relations for Bain Capital Public Equity along with the firm’s other capital markets businesses. He also helped lead the development and execution of Bain Capital Public Equity’s ESG framework.

Mr. Flinn previously was at GCM Grosvenor in Chicago where he was most recently a Managing Director and Portfolio Manager within their Public Markets team overseeing the firm’s co-mingled, multi-manager long/short equity portfolios and multiple single-client separately managed accounts. Previous roles at GCM Grosvenor Public Markets included Co-Head of Research (2010-2012), Equity Strategy Head (2005 to 2010) and Equity Long/Short Analyst. Mr. Flinn began his career as an auditor at PricewaterhouseCoopers in Chicago in August 1997.

Moderated By:

Douglas A. Rappaport, Partner, Akin Gump Strauss Hauer & Feld LLP

Doug Rappaport is a litigator focusing on complex commercial and securities disputes. In recent years, he has served as counsel in trials involving disputes over secured assets, partnership interests, securities fraud, breaches of fiduciary duty, trade secrets, options backdating, tax appraisals and the fraudulent sale of securities. Doug has won numerous dispositive motions and appeals in both state and federal court. On a daily basis, Doug advises clients on matters of regulatory compliance and corporate governance. He also provides advice on activist investing issues, devising strategies regarding the solicitation of board seats, the displacement of existing corporate management and contests for corporate control.

2:15pm–2:45pm

The Role of Short Selling in ESG Integration

Panelists:

Adam Lewicki, Chief Risk Officer, Head of Quantitative Strategies, Carlson Capital, L.P.

Adam Lewicki is the Chief Risk Officer and Head of Quantitative Strategies at Carlson Capital L.P., a $3.5bn global alternative asset management firm. Carlson was founded in 1993, and is a signatory to the UNPRI and Carbon Disclosure Project, as well as a signatory and core supporter of the Standards Board of Alternative Investments.

Adam oversees risk and quantitative strategies across Carlson’s flagship multi-strategy, event-driven, and clean energy funds, as well as Carlson’s SMA offerings. Prior to serving as CRO, he led the development of Carlson’s ESG/Sustainable Investing framework as Head of ESG Investing. In his current role, Adam continues to lead ESG integration efforts on both the investment and business side, chairing Carlson’s Responsible Business Committee.

Adam graduated magna cum laude, with a double major in Mathematics & Economics, from Davidson College. He holds both a Masters and PhD in Mathematics from the University of Cambridge, where he was a 2015 recipient of the Rayleigh-Knight prize in pure mathematics.

Lukasz Pomorski, Managing Director, AQR Capital Management

Lukasz Pomorski is the Head of ESG Research and a Managing Director at AQR Capital Management. He is responsible for the planning and oversight of the firm’s responsible investment research efforts across all asset classes. Lukasz frequently publishes on ESG topics, serves on industry committees and speaks at conferences globally. He is a member of the United Nations Principles for Responsible Investment Hedge Fund Advisory Committee and was previously the chair of UN PRI’s Equity Hedge Fund Working Group. Prior to AQR, Lukasz was an Assistant Director for Research at the Bank of Canada and an Assistant Professor of Finance at the University of Toronto. His research on ESG, alpha signals, and portfolio construction has been published in top academic and practitioner journals and won several best paper awards. Lukasz earned a B.A. and M.A. in economics at the Warsaw School of Economics, an M.A. in finance at Tilburg University, and a Ph.D. in finance at the University of Chicago.

Moderated By:

John Egan, Managing Director, Head of Global Short Financing Analytics, Bank of America 

John joined BofA in 2013 to increase content surrounding short exposure and financing analytics. His group follows the level of short interest across the market, sector, sub-sector, and single stock. Beyond the absolute short interest, John and his team focus on short composition. The data takes the work across many motivations for short positioning: such as fundamental valuation, convertible bond delta hedging, capital structure arbitrage, credit views expressed through equity, event driven / risk arbitrage, volatility and option strategies, capital markets, and more. The group also focuses on borrow liquidity and pricing as well as the overall funding markets. US Short Interest Analytics also manages a suite of Short Interest Custom Baskets broken out by Market Cap, Sector, Beta Profile, and factors of Growth, Value, and Leverage. These instruments provide the core of our Short Risk management offering. They may also be traded via OTC Options and Total Return Swap. The group also offers services on portfolio finance advisory. Short Interest Analytics is used by hedge funds, long only investors, pensions, endowments, venture capital investors, and US corporates.

Previous to BofA Securities, John’s 25+ year career has also included years facing hedge funds in financing and derivative roles in both the US and Europe and time on the Buy Side managing US Portfolio Finance at Och-Ziff Capital Management. John graduated from Boston College.

2:45pm–3:00pm

Refreshment Break

3:00pm–3:40pm

Breakouts

Assessing Your ESG Opportunities by Strategy and Asset Class

Doug Bortner, Director - ESG, Risk & Valuation, Sound Point Capital Management, LP

Mr. Bortner joined Sound Point in 2015 and is currently a Director of ESG, Risk & Valuations. Additionally, Mr. Bortner serves on the Firm-wide Risk Committee, CLO Risk Committee, ESG Committee, Best Execution Committee, Allocation Committee, Valuation Committee, and Strategic Capital Fund Valuation Committee. Prior to Joining Sound Point, Mr. Bortner was a Market Risk Analyst at JP Morgan, where he worked to enhance market risk aggregation and consistency at a firm-wide level, as well as develop a more robust risk appetite framework. Prior to JP Morgan, Mr. Bortner was a Valuation Control Officer at UBS covering investment grade, high-yield and distressed credit trading.

Mr. Bortner earned a B.S. in Economics and Finance from Bentley University and is a Chartered Financial Analyst (CFA) charterholder, a GARP Certified Financial Risk Manager (FRM), and has earned the Certificate in ESG Investing from the CFA Institute.

Jon Patty, Managing Director, Head of ESG & Impact, White Oak

Jake Rath, Senior Program Officer, ESG and Community Matters, Point72, LP

Jake is a Senior Program Officer for the ESG and Community Matters teams at Point72 as well as the Steven & Alexandra Cohen Foundation. In his role at Point72 he has led the design and implementation of the ESG Integration initiative with investments as well as their operational sustainability programs. In addition, Jake manages the non-health portion of the Cohen Foundation’s grant portfolio, with a focus on underserved communities, sustainability, and education. Jake received his BS in Economics and Finance from Bentley University and his MBA in Sustainability from Bard College. He sits on the Board of Directors of SoundWaters and is an active member of the Junior Board of God’s Love We Deliver.

Effective ESG Governance: Turing Promises into Measurable Action

Panelists:

Ashley Gam, Portfolio Manager, New Holland Capital, LLC

Ashley Gam is a Portfolio Manager at New Holland Capital (NHC). Ashley is responsible for sourcing, evaluating, and monitoring investments across NHC’s client portfolios as well as overseeing portfolio analysts’ efforts. Ashley is a member of the firm’s ESG and Diversity and Inclusion Committees. Prior to joining NHC in 2014, Ashley was an Agency MBS Analyst at RBS. Ashley graduated with the highest distinction from the University of Michigan with a dual degree in Economics and Psychology.

 

Kristen Langstine, Managing Director, Hedge Fund Solutions, Blackstone

Christie Oberg, Deputy Chief Compliance Officer, CarVal Investors

Ms. Oberg is a managing director and deputy chief compliance officer for CarVal Investors, and manages compliance matters across the globe, including registrations with securities regulators in the U.S., the U.K. and Singapore. Prior to joining CarVal in 2014, Ms. Oberg was an attorney with WilmerHale, specializing in securities regulation. Prior to that, she served as a law clerk in the U.S. Court of Appeals for the 10th Circuit.  She received her J.D. from the University of Michigan Law School, graduating with highest honors. She also holds a Masters’ degree in Social Anthropology from Stockholm University and a B.A. in Theater from Oberlin College.

CarVal Investors is a leading global alternative investment fund manager focused on distressed and credit-intensive assets and market inefficiencies. Since 1987, our experienced team has navigated through ever-changing credit market cycles, opportunistically investing $113 billion in 5,320 transactions across 79 countries. Today, CarVal Investors has approximately $10 billion in assets under management in both credit and real estate strategies.

Moderated By:

Ryan Folscroft, Partner, US ESG Asset & Wealth Management Leader, PwC

Ryan is the US ESG Leader for PwC’s Asset & Wealth Management sector. He has over 20 years of experience serving a wide variety of public and private companies, as well as having served in the Firm’s National Office focusing on SEC Reporting.  Ryan has extensive experience across a range of asset management clients including corporate managers, alternative firms, private equity funds, BDCs, and traditional funds. Ryan has worked with a cross section of clients with a focus on ESG education, policy creation, risk assessments, non-financial metric attestation reporting, insight on investor demands on the topic, and discussion surrounding the role of risk management in ESG.  He has led ESG projects with various firms ranging from understanding the ESG profile of investments for alternative firms, developing an impact investing policy, training key staff in how to execute the new policy, and overseeing the creation of a firm’s inaugural sustainability report.

The Power of Engagement: Creating Alpha for Your Clients

Panelists:

Kate Ahern, Managing Director and Head of ESG, Cartica Management, LLC

Randy Ko, Head of ESG, Canyon Partners

Moderated By:

Adriana Schwartz, Partner, Schulte Roth & Zabel LLP

Adriana Schwartz practices in the securities law, regulatory and compliance and shareholder activism areas. She counsels clients on a broad range of issues, including in the regulatory areas of Sections 13 and 16, Rule 144, insider trading, order marking and Regulation M/Rule 105. She also represents clients in private investments in public and private companies, including private investments in public equity (PIPEs), registered direct offerings, convertible 144A offerings, special purpose acquisition companies (SPACs) and Regulation S offerings. Adriana earned her J.D., cum laude, from Brooklyn Law School and her B.A., cum laude, from the University of Rochester.

ESG Integration in Emerging Markets

Diana Amoa, Chief Investment Officer - Long Biased Strategies, Kirkoswald Asset Management

Diana Amoa is the CIO of Long Biased Strategies at Kirkoswald, based in New York. Prior to this role, Diana was a managing director and senior portfolio manager at JPMorgan Asset Management co managing in excess of USD 10 bn in global fixed income and currency strategies Diana has also previously held EM fixed income and FX trading roles at UBS, Société Générale and Standard Chartered Bank.

Diana holds an MSc and MBA from the University of Oxford, where she attended as a Rhodes Scholar She also holds a BSc in finance and banking from the University of Reading and is a CFA charter holder.

Daphne Chester, Partner and President, Ward Ferry Management

Daphne Chester, Partner & President, joined Ward Ferry Management in November 2013. Prior to joining Ward Ferry, Daphne was a Portfolio Specialist at Neuberger Berman working for the Quantitative Investment Group and the Greater China Equity Team from 2010 until 2011. Before that, Daphne was an Associate in the Alternatives Advisory & Placement Group at Neuberger Berman from 2009 until 2010. Previously, Daphne was an Analyst in the Client Development Team of the Absolute Return Strategies Group of the Lehman Brothers Investment Management Division from 2007 until 2009. Daphne began her career as Investor Relations at U.S. Shipping Partners from 2005 until 2007. She graduated with an A.B. from Princeton University and an M.B.A. from the Hong Kong University of Science & Technology.

Coille Van Alphen, Portfolio Manager, Equinox Partners

Board Diversity and Good Governance: Building Sustainable Stakeholder Value

Panelists:

Christine O'Brien, Head of Investment Stewardship, Elliott Investment Management

Christine O’Brien is the Head of Investment Stewardship for Elliott Investment Management, a $42 billion investment management firm with offices around the globe. It is one of the oldest fund managers of its kind under continuous management.

Ms. O’Brien oversees stakeholder engagement activities and the integration of Environmental, Social and Governance (ESG) criteria into Elliott’s investment process. She works with portfolio managers and analysts across equities and private investment portfolios to both enhance existing strategies and identify opportunities.

As Head of Investment Stewardship, Ms. O’Brien strives to strengthen Elliott’s engagement with the institutional investor and corporate governance communities. Through the resulting dialogue, her goal is to help Elliott better understand how investors think about governance, firm strategy, and capital allocation, while also sharing Elliott’s views on these subjects.

Ms. O’Brien joined Elliott in 2011. Prior to assuming her present role in 2017, she worked as a Senior Research Analyst assisting in investment research, due diligence, and board searches with a focus on activist engagements. Ms. O’Brien came to Elliott from KPMG, where she worked as an auditor in the banking practice.

Ms. O’Brien earned a B.S. and M.S. in Accounting from Fordham University’s Gabelli School of Business. She is both a licensed Certified Public Accountant and a Certified Fraud Examiner in New York State.

Moderated By:

Teresa L. Johnson, Partner, Arnold & Porter Kaye Scholer LLP

Teresa Johnson advises clients on corporate and finance matters, often serving as a trusted advisor to the C suite and board members. She is the co-head of the firm’s Capital Markets practice and advises clients on securities transactions, compliance and reporting matters, including SPACs. In her corporate governance work and thought leadership, Teresa has focused in particular on board diversity, stakeholder capitalism and other ESG matters. Teresa’s experience includes representing wineries and winery owners, and family-owned companies in other industries, in a variety of matters, including mergers and acquisitions and other transactional projects. Her practice also includes acting for lenders and borrowers in commercial credit and finance transactions.

A “notable practitioner” (Chambers USA: California 2021), Ms. Johnson has been recognized by the Daily Journal as one of the top 25 corporate transaction attorneys on the publication’s annual list of the “Top 100 Women Lawyers.”

Ms. Johnson practiced in London for several years before returning to the United States. Ms. Johnson was a member of the Stanford Law Review.

3:45pm–4:30pm

Raising the Bar in DEI and Social Impact

Panelists:

Bhakti Mirchandani, Director of Responsible Investing, Trinity Church Wall Street

Helen Quick, Executive Managing Director and Founding Partner, Locust Point Capital

Helen E. Quick is Executive Managing Director and founding member of Locust Point Capital. Ms. Quick is responsible for overseeing the underwriting and due diligence of all transactions and Locust Point’s ESG and impact focus, as well as, compliance, and human resources. Ms. Quick has spent almost two decades working with members of the Locust Point Management Team as inside/outside counsel underwriting, structuring, and investments in the senior housing and care sectors. Ms. Quick has participated in over 500 healthcare acquisitions and finance transactions, the majority of which focused on the seniors housing and care industry and has served as transactional counsel for over 100 clients in the healthcare industry. Ms. Quick has 30 years of legal experience in finance, venture capital, private equity, mergers and acquisitions, compliance and general corporate representation of emerging and growth stage companies with a strong focus on the healthcare sector. Ms. Quick holds a J.D. from University of Virginia, School of Law and undergraduate degrees in Economics and Philosophy from University of Virginia.

Speaker TBA

Arthur Vaccarino, Chief Technology Officer, IONIC Capital Management LLC

Arthur Vaccarino is responsible for Information Technology development, and infrastructure design and management. For 28 years Mr. Vaccarino has held various leadership roles in Information Technology. Prior to Ionic Mr. Vaccarino was CTO at Sandell Asset Management Corp. and Perry Capital, LLC. He began his career in the United States Navy and was founder and CEO of Savant Solutions, Inc. a Hedge Fund technology consultancy and Internet Service Provider.

Moderated By:

Miranda Lindl O’Connell, ESG & Sustainability Practice Co-Leader and Partner, Morgan, Lewis & Bockius LLP

Miranda Lindl O’Connell is a private investment fund partner, co-leader of the ESG & Sustainability working group and office managing partner of the firm’s San Francisco office. Her practice focuses on fund formation and investor side representation for clients such as fund of funds, private foundations, public charities, family offices, social impact entrepreneurs, pension plans and other institutional investors in a variety of structures including private equity funds, co-investment funds, venture funds, captive funds, separate accounts and other customized private finance options. She advises social impact entrepreneurs, private foundations, and public charities on a range of social impact investments including program-related investments, mission-related investments, and innovative investment vehicles and structures including social impact funds and debt and equity investments.

The American Bar Association presented Miranda with its Outstanding Volunteer in Public Service Award for her work at the Homeless Advocacy Project.

While in law school, Miranda served as an extern for Judge John T. Noonan of the US Court of Appeals for the Ninth Circuit. Prior to law school, she worked as the race director for the San Francisco Marathon.

4:30pm–5:00pm

Keynote

TBA

5:00pm–6:00pm

Cocktail Reception