• March 6th, 2023
  • March 7th, 2023

9:00am - 11:00am

Registration Open
Welcome Breakfast & Networking

12:00pm – 1:00pm


1:00pm - 1:10pm

Welcome Remarks


Peter Donovan, Executive Vice President and Managing Director, Chief Operating Officer, Managed Funds Association 

1:10pm – 1:50pm

State of the Industry — The Tale of Two Cities


Daphne Chester, President, Ward Ferry Management

Daphne Chester, Partner & President, joined Ward Ferry Management in November 2013 and is responsible for the non-investment team. 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.

Michelle Kelner, Senior Partner, Sandglass Capital Advisors, LLC

Ms. Kelner is a Co-Founder and Senior Partner of Sandglass Capital Management. Ms. Kelner was previously a Senior Partner with Prince Street Capital, a New York and Singapore based firm that specializes in global Emerging and Frontier markets investing. At Prince Street, Ms. Kelner was the Portfolio Strategist and a senior member of the firm’s Investment Committee. Her responsibilities included generating investment ideas for the firm’s portfolios and working with the firm’s investment team to underwrite those investments. Ms. Kelner headed the Business Development function for the firm, including institutionalizing internal and external investment and risk/return analysis and reporting, developing the firm’s institutional investor base, and building an Investor Relations and Marketing team. Before joining Prince Street, she spent 15 years in Emerging Markets as a portfolio manager and trader at hedge funds SAC Capital, Tudor Investment and Hermitage Capital. Ms. Kelner began her career at JP Morgan Securities, and also spent six years as an investment banker. Ms. Kelner graduated with distinction from the University of Virginia, where she studied finance and economics. She is fluent in Russian and conversant in French. Ms. Kelner serves on the Advisory Board of the University of Virginia’s McIntire School of Commerce, where she frequently serves as a guest lecturer, and also serves on the Board of the Marks JCH, a Jewish community center in Brooklyn.

Adrian Sales, Head of Operational Due Diligence, Albourne

Adrian Sales is a Partner and Global Head of Operational Due Diligence at Albourne, a specialist investment consultancy specializing in alternative investments, and is based in their Stamford, CT office. He joined Albourne in 2001 and set up their due diligence practice which now has a team of over 130 staff. Prior to Albourne he was Finance Director at Viacom UK and a manager at Ernst & Young. He is a chartered accountant and graduate of Manchester University, UK.

Moderated By:

David Nissenbaum, Partner, Schulte Roth & Zabel

David Nissenbaum is co-head of the Investment Management Group. He primarily represents institutional and entrepreneurial investment managers, financial services firms and private investment funds in all aspects of their businesses. David’s expertise spans the alternative investment fund sector. He is known for his extensive knowledge of market terms, and for combining legal expertise with a commercial approach to evaluating risks and handling client negotiations.

For many years, David has been named a “Leader in His Field” by Chambers USA and Chambers Global. He is ranked in Band 1 by Chambers USA for his work in hedge funds. Peers note that David is “considered one of the top fund lawyers around, and deservedly so.” He is “praised by clients for his unwavering commitment,” and is described as “very engaged, thorough, thoughtful and extremely useful as our quarterback.”

David advises a long and diverse list of successful clients. He has extensive experience structuring and advising credit, hedge, private equity, hybrid, distressed investing, activist and energy funds, co-investments, funds of funds, multi-manager platforms and co-investment platforms. David has been at the leading edge of industry developments in “Upper Tier” management company partnerships, compensation plans and succession plans, seed and strategic investments and spinoffs of investment teams. Working with his Regulatory & Compliance colleagues at SRZ, who themselves are recognized leaders in their specialties, his work includes counseling clients on finding practical solutions to regulatory and compliance requirements, including the Volcker Rule, and managing conflicts of interest.

David has been recognized as a key player in private fund formation by The International Who’s Who of Private Funds Lawyers, PLC Cross-border Private Equity Handbook, The Legal 500 US, and Expert Guide to the World’s Leading Banking, Finance and Transactional Law Lawyers. He is a past member of the Advisory Board of The Financial Executives Alliance and the Banking Law Committee of the New York City Bar Association. Works he has authored or co-authored include the chapter “Management Company Structures and Terms” in Hedge Funds: Formation, Operation and Regulation, published by ALM Law Journal Press; “Just Like Starting Over: A Blueprint for the New Wall Street Firm,” published by The Deal; and “Succession Planning,” published by SRZ. A sought-after speaker, David has spoken at conferences and seminars on a range of topics, including fundraising, merchant bank structures, managing conflicts of interest, liquidity events, credit and lending funds and coinvestment vehicles.

1:50pm - 2:30pm

Regulatory & Industry Outlook


Darcy Bradbury, Managing Director and Head of Public Policy, The D.E. Shaw Group

Darcy Bradbury is a managing director of D. E. Shaw & Co., L.P. and serves as Head of Public Policy for the D. E. Shaw group. In that capacity, Ms. Bradbury is responsible for managing government and regulatory affairs for the firm globally and analyzing the impact of government policies on various investments. She has more than 30 years of experience in finance in the private sector, including with The Blackstone Group L.P., Credit Suisse First Boston Corp., Bankers Trust Corp., and Mezzacappa Management, LLC, and in government, where she served as Assistant Secretary for Financial Markets in the U.S. Department of the Treasury and Deputy Comptroller for Public Finance for the City of New York.

Ms. Bradbury has held numerous leadership roles in industry organizations and currently serves on the board of the International Swaps and Derivatives Association, where she chairs the Legal & Policy Committee, and is vice chair of the Global Markets Advisory Committee of the U.S. Commodity Futures Trading Commission. She previously served on the boards of the Alternative Investment Management Association and Managed Fund Association and was a member of the Investor Advisory Committee of the U.S. Security and Exchange Commission and Municipal Securities Rulemaking Board. Ms. Bradbury is active in civic associations as the chair of the board of trustees of the Population Council, chair of the board of trustees of the Educational Alliance, and a member of the Council on Foreign Relations and The Economic Club of New York. She received an M.B.A. with honors from Harvard Business School and an A.B. in social studies, magna cum laude, from Harvard University.

Michael Mendelson, Principal, AQR Capital Management

Michael Mendelson is a Principal and portfolio manager at AQR Capital Management. Michael has managed both equity and macro strategies and has been active in developing AQR’s investment infrastructure, organizing its risk management efforts, overseeing portfolio financing and leading the effort to better serve the senior leaders of our strategic clients. Prior to AQR, Michael was the founder of the quantitative trading group at Goldman, Sachs & Co. Michael is a member of the Managed Funds Association’s Board of Directors and has been Chairman of its Trading and Markets Committee and its Government Affairs Committee and is also a Governor of the Investment Company Institute (ICI).

Moderated By:

Jennifer Han, Executive Vice President, Chief Counsel, Head of Global Regulatory Affairs, Managed Funds Association

Jennifer Han serves as Associate General Counsel at Managed Funds Association (MFA).  In her position, she advocates and shapes legislative and regulatory policies affecting the alternative investment industry in the U.S., Europe and Asia.  She advises on, develops and implements strategies for MFA members in seeking legal, regulatory and compliance changes and/or guidance for investment advisers, commodity trading advisors and commodity pool operators.  She has extensive experience working with policy makers and regulators, such as throughout the financial crisis, post-crisis and to refinement of today’s regulatory framework.  She works regularly with legislative policy makers and regulators, including the SEC, CFTC, Department of Treasury, Federal Reserve, NFA, ESMA, UK FCA and IOSCO, among many others.

As background, MFA represents the global alternative investment industry and its investors by advocating for sound industry practices and public policies that foster efficient, transparent, and fair capital markets. MFA, based in Washington, DC, is an advocacy, education, and communications organization established to enable hedge fund and managed futures firms in the alternative investment industry to participate in public policy discourse, share best practices and learn from peers, and communicate the industry’s contributions to the global economy. MFA members help pension plans, university endowments, charitable organizations, qualified individuals and other institutional investors to diversify their investments, manage risk, and generate attractive returns over time. MFA has cultivated a global membership and actively engages with regulators and policy makers in Asia, Europe, the Americas, Australia and many other regions where MFA members are market participants.

Prior to joining MFA, Jennifer was a staff attorney in the Office of Compliance Inspections and Examinations at the SEC, where she conducted inspections and examinations, and advised on legal and compliance matters relating to developments in securities regulations and industry practices.  Jennifer began her legal career as an associate with Pickard and Djinis LLP, a boutique securities law firm in Washington, D.C.  She received her Bachelor of Arts degree from Cornell University and her Juris Doctor from American University.  While in law school, she was an Editor of the American University International Law Review.  Jennifer is a member in good standing of the Virginia bar.

2:30pm – 3:00pm

Refreshment Break

3:00pm – 3:30pm

SEC Enforcement and Examination: Staff Perspectives on 2023 Priorities


Ryan Hinson, Regulatory Counsel, Division of Examinations, LARO, United States Securities and Exchange Commission

Brent Wilner, Assistant Regional Director, Asset Management Unit, United States Securities and Exchange Commission

Moderated By:

Peter Altman, Partner, Akin Gump Strauss Hauer & Feld LLP

3:30pm – 4:00pm

SEC Rules and Regulations – Impact, Implementation and Enforcement


Isaac Haas, General Counsel, HBK Capital Management

Mike Neus, Chief Administrative Officer, Brevan Howard US Investment Management LP

Angela G. Vogeli, Senior Associate General Counsel, Vanderbilt University, Office of General Counsel

“With over 13 years of experience in-house at institutional investors, Angela has had a frontline view of evolving documentation, structuring, regulatory and asset allocation trends. She is currently Senior Associate Counsel at Vanderbilt University. Since 2014, she has been the primary attorney supporting the ~$10 billion endowment. Angela also advises the university’s public/private debt issuances, securitizations and P3 initiatives. Previously, Angela worked at the Teacher Retirement System of Texas as the public pension plan emerged from the great recession and built a sweeping and sophisticated investment program.

Before entering the non-profit institutional investor world, Angela was in-house at Citigroup and in private practice at Sidley (both in New York City). She earned a BS from Texas A&M University and a JD from the Washington College of Law, American University. “

Moderated By:

Thomas E. Redburn, Jr., Partner & Chair, Securities Litigation, Lowenstein Sandler LLP

“Tom is the Chair of the firm’s Securities Litigation practice and has extensive experience representing clients in a wide range of commercial disputes involving securities and complex financial transactions. Tom’s practice is focused on representing clients in litigation arising under the Securities Act of 1933 and the Securities Exchange Act of 1934, opt-out cases, fiduciary duty and derivative litigation, state blue sky litigation, shareholder activism, debtholders litigation, structured finance litigation with a focus on mortgage-backed securities, litigation arising from mergers and acquisitions, and other complex litigation. He has obtained significant victories and recoveries, including representing institutional investors in federal securities law actions arising from disclosures at Marrone Bio Innovations Inc., American Realty Capital Properties Inc. (n/k/a VEREIT Inc.), Barrick Gold Corporation, and Ocwen Financial Corporation. Tom recently defeated a motion to dismiss in a multimillion-dollar securities fraud case and represented a high net worth financial institution in a shareholder derivative suit on behalf of shareholders of TerraForm Power Inc. He represents Appaloosa Investment Limited Partnership I in a highly contested CMBS matter and successfully argued before the Second Circuit an appeal relating to that matter. Tom applied his keen analytical skills to successfully argue in the First Department of New York’s Appellate Division on behalf of holders of bonds issued by Global A&T Electronics (GATE), obtaining reinstatement of the bondholders’ claims that the company breached its agreement with creditors. Tom regularly litigates in federal and state courts in New York, New Jersey, Delaware, California, Florida, the District of Columbia, and other jurisdictions all over the United States. He has an active pro bono practice and sits on the board of North Star Academy.”

4:00pm – 4:30pm

Investor and Manager Town Hall


Mioara Larson, Director of Operations, UCLA Investment Company

“Mioara Larson is the Director of Operations for UCLA Investment Company where she oversees the investment and business operations and also leads the operational due diligence efforts across all asset classes.

Ms. Larson has extensive experience in asset management having worked with both investment advisers and institutional investors. Her focus and expertise are on business development, operations, compliance, and risk management. Prior to joining UCLA, she managed the investment operations and operational due diligence for the investment office at Alfred P. Sloan Foundation. Prior to that, Ms. Larson was the Director of Operations at Barlow Partners, a New York based, institutionally-focused, long/short fund of hedge funds. Earlier in her career, she was the Operations Manager at Old Square Capital Advisors, a frontier and emerging markets investment adviser.

She received her undergraduate degree from University of Bucharest and holds a MS in Enterprise Risk Management from Columbia University.”

John Ringwood, Deputy General Counsel & Head of Human Resources, Fir Tree Partners

Richard Walz, General Counsel,  Element Capital Management LLC

Moderated By:

Nora Richardson, Vice President, Membership & Investor Services, Managed Funds Association

4:30pm - 5:30pm

Networking Reception

Open to all Conference attendees


MFA West Networking Sponsor Dinner

8:00am – 9:00am

Networking Breakfast & Registration

9:00am – 9:50am


Breakout Group 1: Incorporating ESG Considerations in ODD


Andrew Collins, Director of ESG Investing, San Francisco Employees’ Retirement System (SFERS)

Andrew Collins joined the San Francisco Employees’ Retirement System (SFERS) as Director of ESG Investing in 2018. In this role, he leads responsible investing and corporate governance activities across the $30+ billion Plan. He joined SFERS from State Street Global Advisors where he was an ESG Investment Strategist. Prior to that he was Technical Director of Standards Setting at the Sustainability Accounting Standards Board (SASB) where he was the lead author and key architect of SASB’s 77 industry standards. He has also held roles in environmental auditing and consulting, and he began his career as a corporate sustainability manager for the Indian conglomerate Mahindra & Mahindra. Andrew holds a BS from Yale University and is a Fundamentals of Sustainability Accounting (FSA) credential holder.

Sarah Curran, Director of Enterprise Risk and CCO, Private Investments, Wellington Management Company

“Sarah is the head of Enterprise Risk and Chief Compliance Officer for Wellington Management’s Private Investments business. She leads a team that is responsible for the design and management of the private investments compliance program and for providing ongoing regulatory compliance advice and support to the privates investment platform, product and infrastructure teams. She also oversees resources dedicated to assessing and mitigating operational risk for private investments.

Prior to joining the firm in 2021, Sarah co-led the private funds regulatory compliance consulting practice at Promontory Financial Group (2019 – 2021). Prior to that, Sarah worked for the U.S. Securities and Exchange Commission in the Division of Examinations in various roles, most recently as a manager in the Private Funds Unit (2005 – 2019). Sarah started her career as a sell-side fixed income sales trader (2003 – 2005).

Sarah earned her BA in International Economics from Fordham University (2003).”

Mary Kelley, Chief Operating Officer, MPowered Capital, LLC

“Mary is the Chief Operating Officer at MPowered, bringing significant finance, technology and operations expertise. She is responsible for all business operations as well as supervising MPowered’s third-party administrator and other vendor relationships.

Mary has worked in the alternatives industry for 15 years and her diverse set of experiences allows her to provide value added consulting to the managers in MPowered’s investment portfolio.

Prior to joining MPowered, Mary was the Chief of Staff for Technology at Värde Partners. Previously, she ran special projects at Pine River Capital Management and worked on the implementation team at Northern Trust Hedge Fund Services where she launched or onboarded funds onto the platform. She has experience at Ernst & Young where she performed audits on asset management firms.

Mary received a B.A. in Accounting and International Business from Drake University and her M.B.A. in Finance and Organizational Behavior from the University of Chicago Booth School of Business. She is a CPA (inactive).”

C. Ndu Ozor, Associate General Counsel, University of Michigan

Moderated By:

William Saltus, Director, Head of Hedge Fund Business Consulting, Wells Fargo

Bill Saltus is a director on the Wells Fargo Equity Finance Business Consulting team. He joined Wells Fargo in April 2017 and is responsible for best practices consulting around hedge fund operations and workflow, maintenance of vendor and service provider relationships, and development of strategic content, including thought leadership pieces and benchmarks of hedge fund performance and operational metrics.

Prior to joining Wells Fargo, Bill was a director within the Citi Prime Finance business advisory services team. He has also held vice president positions at Credit Suisse and Lehman Brothers, within Prime Services business units. Earlier in his career, Bill managed a consulting team at Advent Software, and held buy-side portfolio accounting and operations roles at Lazard Freres Asset Management and Jennison Associates.

Bill graduated from Villanova University with a B.S. in Finance, and holds Series 7 and 63 licenses.

Breakout Group 2: Electronic Communications and The Impact of The Street Sweep


Michael B. Barry, General Counsel & Chief Compliance Officer, Samlyn Capital, LLC

Michael Fisch, Senior Counsel, Farallon Capital Management

Peyton McNutt, Principal and General Counsel, Taconic Capital Advisors LP

Erin Mullen, General Counsel & Chief Compliance Officer, Woodline Partners

Erin Mullen is the Chief Compliance Officer for Woodline Partners, LP. Previously, Erin worked at Citadel supporting the Fundamental Equities businesses and Citadel’s alternative data initiative. Prior to joining Citadel, she worked at Bank of America Merrill Lynch in a number different of legal and compliance roles. Erin began her career working at Gibson, Dunn & Crutcher and Chadbourne & Parke. Erin attended the Georgetown University Law Center and the University of Minnesota.

Andrew Nathanson, General Counsel & Chief Compliance Officer, Suvretta Capital Management, LLC

Moderated By:

Michael A. Asaro, Partner, Akin Gump Strauss Hauer & Feld LLP

Breakout Group 3: Valuation in the Private Market


Peter Bergren, Partner and Chief Financial Officer, Empyrean Capital Partners, LP

David Hohmann, Director of Operations and Risk, Tufts University Endowment

Jamie Houghtlin, General Counsel & Chief Compliance Officer, Whale Rock Capital Management LLC

Jamie is the General Counsel & Chief Compliance Officer and joined Whale Rock in 2017. Jamie has over 21 years of compliance and legal experience working in the financial services industry. Prior to joining Whale Rock, Jamie was a Vice President with responsibility for equity capital markets compliance at Wellington Management in Boston. Jamie previously held senior compliance and legal roles at Bain Capital, Lehman Brothers and J.P. Morgan. Jamie currently serves on the board of CSforMA, Inc. Jamie received a JD from Fordham University School of Law in 2002 and a BA from Middlebury College in 1997. Jamie is admitted to practice law in New York.

Eric Rechtschaffen, Managing Director, Senior Controller and Head of Valuations,  Sculptor Capital Management

Eric is a Managing Director, Senior Controller and Head of Valuations at Sculptor Capital Management. In his role, he oversees all aspects of the valuation process for all of Sculptor’s investments.

Prior to joining Sculptor Capital Management, Eric worked in the Real Estate Investment Banking group at Barclays. Prior to joining Barclays, he held positions at UBS, Merrill Lynch and BlackRock.

Eric holds a Bachelor of Arts in Diplomatic History from the University of Pennsylvania and a Master of Business Administration in Real Estate and Finance from The Wharton School of the University of Pennsylvania.

Moderated By:

Edmund Hodgeon, Valuation Partner, PwC

9:50am – 10:00am

Refreshment Break

10:00am – 10:50am


Breakout Group 1: SEC Examinations and Enforcement: Audits and Sweeps


Veena Malpani, Regulatory Counsel, Marshall Wace North America L.P.

Veena is currently Regulatory Counsel at Marshall Wace North America L.P. Prior to joining the firm, Veena held positions in legal and compliance at BC Partners, CCMP Capital and Centerbridge Partners. Veena earned a Bachelors of Arts from Emory University and a Juris Doctorate from American University, Washington College of Law.

Steve H. Metzger, Esq., Managing Director, Deputy General Counsel & Deputy Chief Compliance Officer, Two Sigma Investments, LP

Moderated By:

Christine M. Lombardo, Partner, Morgan, Lewis & Bockius LLP

Christine Lombardo advises investment managers and broker-dealers on financial regulatory matters. She concentrates her practice on securities regulation for a broad range of financial firms including retail asset managers, private fund managers, family offices, broker-dealers, other professional traders, and high-net-worth individuals. Christine also counsels legal, compliance, and business personnel on the structure, operation, and distribution of advisory programs, including digital advisory offerings, and investment products, including hedge funds, private equity funds, venture capital funds, real estate funds, and other alternative investment products.

Christine also counsels financial firms through examinations by industry regulators, as well as on enforcement related matters. She also serves as a co-leader of the firm’s financial technology (fintech) industry team. Before joining Morgan Lewis, she was an associate at an international law firm in New York and worked for the Division of Enforcement at FINRA.

Breakout Group 2: Considerations When Operating Outside of The U.S.


Daphne Chester, President, Ward Ferry Management

Daphne Chester, Partner & President, joined Ward Ferry Management in November 2013 and is responsible for the non-investment team. 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.

Christopher B. Davis, Managing Director & Deputy General Counsel, Tudor Investment Corporation

Christopher B. Davis. Chris Davis is a Managing Director and the Deputy General Counsel of Tudor Investment Corporation. Mr. Davis provides legal advice and support on a wide range of subjects, including transactional, regulatory, technological and corporate governance matters. Prior to joining Tudor in April 2012, Mr. Davis was an associate at Linklaters LLP in New York and London (2008-2012). Mr. Davis is a graduate of Vanderbilt University and the University of Texas School of Law.

Chris Georgs, Chief Operating Officer, Institutional Client Group, HSBC

Chris Georgs is Chief Operating Officer, Institutional Client Group and based in London. He has over 25 years of experience in the financial services industry having started his career at Merrill Lynch where he held positions in Corporate Strategy and Research including as an analyst covering the Retail sector.

Chris joined HSBC as COO and Head of Research for the Americas in New York in 2004, before moving to Hong Kong where he led the Asia-Pacific Equity Research team from 2006 to 2011. In 2011, he relocated to London as Global Head of Equity Research and was also responsible for the day to day management of Equity Research in Europe and CEEMEA before joining the Management team in Markets in 2013.

Chris holds his MBA from Columbia Business School and his MA in International Relations from Boston University.

Brendan R. Kalb, Global General Counsel, ExodusPoint Capital Management, LP

Brendan Kalb is the General Counsel of ExodusPoint Capital Management, LP. Prior to joining ExodusPoint, Brendan was a partner in the Investment Management Group at Morgan Lewis in New York. Prior to joining Morgan Lewis, Brendan was the General Counsel at AQR Capital Management, LLC, a quantitative registered investment adviser based in Greenwich, CT, where he was responsible for managing the full spectrum of the firm’s legal affairs. Prior to joining AQR, Brendan worked as an associate at the law firms of Willkie Farr & Gallagher and Seward & Kissel. Brendan received his JD from Cornell Law School and graduated magna cum laude with a B.A. in International Relations & Economics from the University of Pennsylvania. Brendan has served as a member of the Board of the Directors of the National Futures Association and as a member of the Managed Funds Association’s Investment Adviser and Government Affairs Committees, and as Chairman of the MFA’s CTA, CPO and Futures Committee. Brendan also serves on the Board of Advisors of the Institute for Law and Economics, a joint research center between the Law School, the Wharton School and the Department of Economics at the University of Pennsylvania

Moderated By:

Peter Alpern, Securities Financing Origination & Consulting, HSBC

Breakout Group 3: Third Party Risk Management


Chris Hedberg, Chief Operating Officer, AB CarVal

Mr. Hedberg is chief financial officer for AB CarVal. In addition to leading finance and operations globally for the firm, Mr. Hedberg also manages capital formation activities, including investor relations and fund financing strategy. He serves on the Executive and Portfolio Investment committees for the firm and co-chairs AB CarVal’s Responsible Investing committee. Mr. Hedberg joined AB CarVal in 2002 and has held a variety of financial management positions, including serving as global controller for AB CarVal’s corporate credit business. Prior to joining AB CarVal, Mr. Hedberg was with Cargill Inc. and Dain Bosworth. He received his M.B.A. from the University of St. Thomas and his B.S. in finance, magna cum laude from the University of Colorado.

Arthur Melkonian, Chief Operating Officer, Equinox Partners

Arthur Melkonian previously worked at State Street Co. and International Fund Services. Mr. Melkonian joined Equinox Partners in 2011, as the COO he oversees all fund and business operations. Equinox Partners is a global value, registered investment manager with a 35+ year track record. Mr. Melkonian holds a B.S. in International Business Relations from Johnson & Wales University and an MBA in Finance from Nova Southeastern University.

Julius Mercado, Chief Operating Officer, Columbia Investment Management Company LLC

Stephanie Miranda Pries, JD, Director, Investment Legal Affairs, Notre Dame Investment Office

Moderated By:

Sofya Abrams, Counsel, Investment Funds, Sidley Austin LLP

SOFYA ABRAMS is counsel in the firm’s Los Angeles office and practices in the Investment Funds group. Her practice focuses on the representation of managers in the organization and re-organization of their investment advisory businesses and on the structuring, formation, and operation of domestic and offshore hedge funds, private equity funds, real estate funds, and a wide variety of other types of private investment

funds, using a broad range of investment strategies and targeting a broad range of asset classes. Sofya regularly advises clients on regulatory and corporate matters related to domestic and international fund securities offerings as well as U.S. federal and state investment adviser regulation and compliance. She also represents clients in negotiated transactions that include managed account agreements, single investor funds, investor side letters and “”seed”” investment arrangements.Sidley’s award-winning Investment Funds group provides top-tier service to all aspects of the private funds industry. Chambers USA awarded the group top band rankings in Hedge Funds every year since 2008. Sidley has also been named “”Law Firm of the Year”” in Private Funds/Hedge Funds Law in U.S. News – Best Lawyers 2022 “”Best Law Firms.”” Sofya additionally represents clients in a variety of general corporate transactions.”

10:50am – 11:00am

Refreshment Break

11:00am – 11:30am

Key Trends in Data, Technology and Cybersecurity


Ryan Castle, CEO & Founder, Conduit Security

Ryan Castle is a cybersecurity expert with over 17 years of private sector and government experience. His expertise spans not only the technical elements of a wholistic security program but includes both the procedural and compliance elements as well.

Ryan is currently Founder and CEO of Conduit Security, a SaaS solution that prevents socially-engineered wire fraud to protect the assets of alternative investment managers. Given his investigative and technical background, Ryan developed the concept and wrote the software behind Conduit’s innovative solution.

Additionally, Ryan was COO of TraceSecurity, a cybersecurity company responsible for assisting banks and credit unions meet regulatory information security compliance requirements. As COO, Ryan was responsible for day-to-day operation of the business as well as developing services and solutions to meet the changing cybersecurity needs of financial institutions.

Prior to TraceSecurity, Ryan was an Implementation Team Lead and Forward Deployed Engineer for Palantir Technologies. Ryan collaborated with federal and local law enforcement agencies to deploy Palantir’s Gotham analysis platform. The deployment required manipulation and integration of a variety of disparate and disjointed data sets, with highly sensitive information necessitating extensive security reviews.

Before Palantir, Ryan was an FBI Special Agent in New York City where he worked complex, criminal computer intrusion cases. Ryan’s investigative work led to the dismantling of large criminal organizations, including one that infected 4 million computers across the world. His investigative work led to several successful convictions. As an agent, Ryan was responsible for source development, investigative activities, forensic examination of digital evidence, and development of tools used internally by agents and analysts to expedite investigative efforts.

Prior to the FBI, Ryan was a software developer and system administrator. He has both a Master’s and Bachelor’s degree in Computer Engineering from Vanderbilt University.

Kathleen Clapper, Managing Director, Compliance, NFA

Kathleen Clapper is a Managing Director in NFA’s Compliance Department. In this role, she helps oversee the department’s examination, investigation, and financial surveillance programs. Prior to joining NFA, Ms. Clapper served as Chief Compliance Officer for R.J. O’Brien & Associates, LLC where she was responsible for leading a team of compliance professionals, administering the policies and procedures of the futures commission merchant (FCM) to ensure compliance with applicable rules and regulations, and developing strategic compliance initiatives. Ms. Clapper also spent more than 12 years at CME Group in roles supporting the exchange’s self-regulatory organization functions, including performing financial and compliance examinations of FCMs. Ms. Clapper received a Bachelor of Science in Accountancy from the University of Illinois at Urbana-Champaign and an MBA from DePaul University. She is a Certified Public Accountant and Certified Fraud Examiner.

Shaun WT Ng, Managing Director, Cleveland Clinic Investment Office

Jeff Saginor, Chief Technology Officer, EJF Capital, LLC

Mr. Saginor joined EJF in 2014 and is responsible for the management of infrastructure, networking and cyber security, vendor relationships, development, strategic technology planning, and help desk services.

He brings more than 10 years of information technology experience, having worked as a consultant and virtual CIO for clients in New York and Washington, DC. Mr. Saginor has also written several articles concerning technology and public policy for various periodicals and websites.

Heather Traeger, General Counsel & Chief Compliance Officer, Teacher Retirement System of Texas

Moderated By:

Ashley Brown, Head of West Coast Prime Sales, Barclays

Ashley leads the Prime sales effort for Barclays on the West Coast, based in San Francisco. Having started his career over 25 years ago, Ashley held various roles in Prime at Goldman Sachs and Deutsche Bank before joining Barclays in 2019. He has worked in London, Hong Kong and New York prior to moving to California.

11:30am – 12:00pm

Avoiding Disaster: Digital Assets Best Practices


Justin Holm, Director of Operational Due Diligence, UTIMCO

Tyler Kirk, General Counsel, Alfred I. duPont Charitable Trust

Tyler Kirk joined the Alfred I. duPont Charitable Trust in 2019. His primary responsibilities include managing the legal and compliance program and providing legal advice to the Trust on its investment and internal operations. Mr. Kirk earned his bachelor’s degree in economics from Georgia State University, master’s degree in economics from North Carolina State University, and juris doctor from the University of Miami. Before joining the Trust, Mr. Kirk served as senior counsel in the Division of Investment Management at the Securities and Exchange Commission in Washington, DC where he was a member of the SEC’s first digital asset working group from 2013 to 2016. Afterward, Mr. Kirk was an associate in the Washington, DC offices of two international law firms. He is admitted to practice law in the District of Columbia and Florida.

Anthony Martinez, Head of Mercer Sentinel Group (Americas), Mercer

“Tony is Mercer’s Leader of the Americas for the Mercer Sentinel Group. Tony is responsible for leading Mercer Sentinel Group in providing risk and governance services to investment organization. Tony joined Mercer’s Investments business in 2009 and is based in Boston, Massachusetts.

Tony brings 20+ years of financial services experience. Prior to joining the Mercer Sentinel Group, Tony was a senior leader within Mercer’s Outsourced Chief Investment Officer (OCIO) team focused on client & business functions, including: client implementation, transition management, product development, investment operations and pricing/business development.

Prior to joining Mercer, Tony has held relationship management, product development and investment operations roles at firms such as, Wellington Management, State Street Global Advisors & MFS Institutional Advisors.

Tony received a BA degree from Western New England University. Tony also holds the Claritas® Investment Certificate by the CFA® Program.”

Regina G. Thoele, CFE, Senior Vice President, Compliance, National Futures Association

“Regina G. Thoele is Senior Vice President of Compliance at National Futures Association (NFA). Her current responsibilities include overseeing the Compliance Department’s exam, investigation, financial surveillance, and risk management programs; working on enforcement cases; advising Members on compliance issues; assisting NFA Member committees; participating in industry conferences; and developing and monitoring Compliance Department goals. In addition, Ms. Thoele works with NFA’s Legal Department to develop rules and interpretive guidance, makes presentations to NFA’s Executive Committee and Board of Directors and to other outside organizations, and develops strategic plans and initiatives for NFA’s Compliance Department. From July 1994 until March 1998, Ms. Thoele held the position of Arbitration Manager and was responsible for supervising staff and helping manage the Arbitration program. Ms. Thoele has also served as an adjunct faculty member at the Illinois Institute of Technology, where she taught a compliance course.

Ms. Thoele attended Indiana University and received a B.S. degree in finance. Ms. Thoele also received her designation as a Certified Regulatory and Compliance Professional through the NASD Institute at The Wharton School, as well as her designation as a Certified Fraud Examiner through the Association of Certified Fraud Examiners. “

Moderated By:

Jillien Flores, Executive Vice President and Managing Director, Head of Global Government Affairs, Managed Funds Association

Jillien Flores serves as Executive Vice President, Managing Director, Head of Global Government Affairs at Managed Funds Association (MFA).

Flores joined MFA after six years at Vanguard, one of the world’s leading asset managers. There, she advocated before Washington policymakers on a range of issues related to US capital markets, tax, and retirement policy. Leveraging policy depth, strategy, and relationships, Flores achieved policy outcomes beneficial to Vanguard’s clients on issues including equity market structure, ESG and corporate governance, and systemic risk.

Throughout her career, Flores has sought opportunities to advance Diversity, Equity, and Inclusion within the financial services sector, serving in leadership roles of related efforts at Vanguard.

Prior to joining Vanguard, Flores was Director of Government Relations at Porterfield, Lowenthal, Fettig & Sears, where she represented clients before Congress and the federal financial regulators in the asset management, insurance, securities, and biotechnology sectors. She was involved in the legislative and rule-writing process for several financial services laws and regulations, including the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Jumpstart Our Business Startups Act.

Flores earned a B.A. from the George Washington University in Washington, DC.

12:00pm – 12:30pm

Talent Recruitment and Retention in a Volatile Market


Reggie Dodge, Chief Compliance Officer & General Counsel, Emso Asset Management

Reggie started her career in 1997 as an attorney at Anderson, Kill & Olick in New York. Reggie now focuses her practice on corporate, regulatory, governance, and ESG-related matters. Reggie is currently the chairperson of AIMA’s Sound Practices Committee and sits on the board of EMpower – The Emerging Markets Foundation. She joined Emso in 2013. Reggie earned a BA in Philosophy and a JD both from the University of Michigan, and has an MBA from London Business School.

Sandra Hurse, Chief Human Resources Officer, GCM Grosvenor

Sandra Hurse is the Chief Human Resources Officer for GCM Grosvenor (www.gcmgrosvenor.com). In this capacity Ms. Hurse is responsible for the development and execution of the firm people strategy and leads the firm’s real estate and facilities efforts. She also serves on the ESG Committee and the Diversity & Inclusion Governance Committee. Prior to joining GCM Grosvenor, Ms. Hurse held various positions at Bank of America, most recently serving as Global Head of Human Resources for Corporate and Investment Banking. Previously, Ms. Hurse also held leadership roles in Talent Management and Talent Acquisition at Goldman Sachs and JPMorgan Chase. She received her Bachelor of Business Administration in Finance from Bernard M. Baruch College and her Master of Business Administration in Marketing from the University of Michigan. Ms. Hurse serves as a Corporate Board Member for Angi, Inc. where she is a member of the Executive Compensation and Compensation Committees. She also serves on the non-profit boards of the Harlem School of the Arts, the Council for Urban Professionals (co-chair of the Nominating Committee), and the Thurgood Marshall College Fund (member of the Finance Committee).

Ginger Norman, General Counsel and Chief Compliance Officer, Empyrean Capital Partners, LP

Jennifer (Ginger) Norman serves as General Counsel and Chief Compliance Officer for Empyrean Capital Partners, LP in Los Angeles. Prior to joining Empyrean, she served as Managing Director and Deputy General Counsel of Canyon Partners, LLC. Ms. Norman has extensive experience with a wide variety of corporate transactions, regulatory and compliance matters, fund structuring and formation, and human resources. Prior to joining Canyon, she was a member of the Funds Practice at Sidley Austin, LLP. She previously practiced at Paul, Weiss, Rifkind, Wharton & Garrison LLP and Debevoise & Plimpton LLP in New York. Ms. Norman received her JD from the Columbia University School of Law in 2003, where she was twice named a James Kent Scholar. She received her BA and BFA from Southern Methodist University in 1995.

Mark A. Russo, General Counsel, ZAIS Group, LLC

Moderated By:

Saul Farber, Director, Prime Brokerage Sales and Origination, Citi

Saul joined Citi in 2021 as a Director of Prime Sales and Origination. Prior to joining Citi, Saul served as Senior Director of Client Development & Sales at CME Group. As a member of the Prime sales team, Saul is responsible for introducing Citi offerings, generating new client leads and closing new mandates across Prime, Futures, OTC Clearing and FXPB.

Saul earned a bachelor’s degree Cum Laude in political science and history at New York University and earned a Juris Doctorate degree at New York Law School. He is a licensed attorney in New York and New Jersey.

Saul is an avid sports fan, loves to travel and fish. He lives in New Jersey with his wife Carly and two kids, Benjamin (7) and Elle (4)

12:30pm – 1:00pm

 Beyond the Numbers: Why Communications is Essential for Success


Ken Spain, Partner, Narrative Strategies

Moderated By:

Noah Theran, Executive Vice President and Managing Director, Head of Global External Affairs, Managed Funds Association

Noah Theran is MFA’s Executive Vice President and Managing Director, Head of Global External Affairs.

Noah joined MFA after six years at Internet Association, a national trade association representing more than 40 of the world’s top internet companies, where he oversaw global communications, creative, marketing, events, and grassroots. In this role, he helped grow Internet Association from a startup into a respected voice on tech policy issues.Prior to Internet Association, Noah was Director of Communications at the American Investment Council, the trade association representing the interests of the world’s largest private equity firms. There, his team earned a PRSA Silver Anvil Award of Excellence, Reputation/Brand Management for their campaign to help the private equity industry manage the spotlight of the 2012 presidential election.

Noah also worked at Rasky Baerlein Strategic Communications in Washington, where he developed and executed communications strategies for a diverse set of clients with broad reputation, image, and crisis management challenges.

Noah earned his B.S. from Cornell University in Ithaca, NY.

1:00pm - 2:00pm

Closing Networking Lunch