Agenda

  • Day 1 - September 15, 2020
  • Day 2 - September 16, 2020
  • Day 3 - September 17, 2020

9:45 AM - 10:00 AM

Welcome Remarks

Bryan N. Corbett, President & Chief Executive Officer, Managed Funds Association

Bryan Corbett is MFA’s President and CEO. He is a veteran of Washington and Wall Street. For the past 12 years, he was a senior executive at The Carlyle Group, most recently as Managing Director in the Corporate Private Equity segment and Head of the firm’s OneCarlyle Global Investment Resources Group. In this role, Mr. Corbett and his team provided strategic and operational support to investment teams and portfolio companies across segments.

For the first half of his Carlyle tenure, Mr. Corbett managed U.S. government and regulatory issues affecting Carlyle, its investments and the industry. In this role, he developed legislative and regulatory strategies relating to all of Carlyle’s business segments, including private equity, credit and real estate. In addition to serving on the boards of several Carlyle portfolio companies, Mr. Corbett started the firm’s global corporate citizenship program focused on responsible investing, published Carlyle’s inaugural corporate citizenship report, and started the firm’s initiative to recruit and place diverse individuals on portfolio company boards in the U.S.

Prior to joining Carlyle, Mr. Corbett served in the George W. Bush Administration as a Special Assistant to the President for Economic Policy and as the Senior Advisor to Deputy Secretary Robert Kimmitt at the Treasury Department. He also served as Majority Counsel on the Senate Banking Committee.

Mr. Corbett earned his JD from George Washington University Law School, where he was editor-in-chief of the George Washington Law Review, and earned his BA from University of Notre Dame.

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

D. Brooke Harlow is the Managed Funds Association’s Chief Commercial Officer. Brooke is responsible for strategy and execution of the Association’s education and business development 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 public affairs 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.

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 and served as its spokesperson.

Prior to joining Highbridge, Brooke was a Vice President of Investment Bank Marketing and Communications at J.P.Morgan 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 also was a senior associate at Burson-Marsteller in Washington, D.C., and also worked at CNN serving as a field producer in the Washington, D.C. and Mexico City bureaus.

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 and a Board Member of Surgeons OverSeas and the Women’s Board of the Boys Club of New York. She is also an advisor to the Center for Public Leadership the John F. Kennedy School of Government at Harvard University.

 

10:00 AM - 10:35 AM

PANEL

The Big Picture on the World of Data: Reflection and Projection

Moderated By:

Eric Greiner, Managing Director, Prime Finance Sales, J.P. Morgan

Eric Greiner is a Managing Director and Head of the Americas Quantitative Investor Services Sales efforts within the Prime Finance & Clearing Platform Sales team at J.P. Morgan. Eric manages a team that originates new prime brokerage, execution and derivatives clearing mandates as well as grows relationships with some of the industry’s largest quantitative trading firms. In this capacity, Eric serves as a global coordinator to market the full breadth of the Global Equities franchise to quantitative hedge funds.

Eric joined J.P. Morgan in 2013 to define, implement and lead a global sales strategy targeting quantitative hedge fund managers which included traditional Equity Prime Brokerage and electronic trading.  He began his career in 1993 and has held sales, strategy and COO roles at several leading financial services firms.

Eric earned a Bachelor of Arts from The College of the Holy Cross and an MBA from New York University.

Panelists:

Steve Godino, Chief Information Officer, Viking Global Investors LP

Mr. Godino is the Chief Information Officer responsible for leading the software development and technology infrastructure teams. Prior to joining Viking, Mr. Godino was the Chief Technology Officer at Carlson Capital from 2011 to 2014, where he managed all aspects of technology including application development and infrastructure.   For the three years prior to joining Carlson, Mr. Godino was the Chief Information Officer of Shumway Capital, where his team focused on trading and portfolio management technology.  From 2006 to 2008, he managed software development for the JP Morgan Hedge Fund Administration unit.  Mr. Godino joined JP Morgan when it acquired the staff and systems of Paloma Partners, where Mr. Godino worked for 12 years and served as the head of software development.  Mr. Godino received his BS in Math and Computer Science from the University of Notre Dame and his JD from Pace University.

Miriam Roiter, Chief Technology Officer and Managing Director, Tudor Investment Corporation

Miriam joined Tudor in August 1996 and is based in the Stamford office. Prior to her appointment as Chief Technology Officer in August 2016, she held several key IT positions of increasing responsibility; (i) Head of the Office of the CTO (2013-2016); (ii) Head of Project Management (2010-2013); (iii) Director of Financial Data (1999-2010); (iv) Manager of Data Research (1997-1999); (v) Programmer Analyst (1996-1997).  Prior to joining Tudor, Miriam was a Programmer/Analyst for Science Systems and Applications Incorporated, NASA Goddard Institute for Space Studies (1991-1996).   Miriam holds a B.S. in Computational Mathematics from Brooklyn College (1991) and a M.S. in Computer Science from Columbia University (1996).

Vlad Torgovnik, Chief Information Officer, Millennium Management LLC

Mr. Torgovnik is Chief Information Officer. Mr. Torgovnik is responsible for Millennium’s technology infrastructure, operations and middle office functions. Prior to joining Millennium, he was at Bank of America where he was most recently Managing Director and CIO of the Consumer Technology & Operations, Home Loans & Insurance Technology Group, overseeing the largest technology infrastructure within the bank. In addition, he previously held various Chief Information Officer positions within both the investment and consumer bank. In 2006, he was recognized as the Capital Markets CIO of the Year by Bankers Magazine. From 1992-2001, Mr. Torgovnik was with JPMorgan in a variety of technology roles within their Fixed Income Derivatives business including Global Head of Fixed Income Derivatives Technology and Founder and President of a JP Morgan derivatives technology spin-out. He holds an MS in Computer Science from Columbia University and a BS in Math and Computer Science from New York University.

10:40 AM – 11:20 AM

BREAKOUTS (Rotation 1 - all breakouts will repeat at 12:25pm)

Buy vs. Build, Automation, Intellectual Property, Front Office Data, Outsourcing vs. Insourcing

Session 1: Evaluating and Designing the Buy vs. Build vs. Open Source Framework

Moderated By:

Neil Katz, Managing Director, D. E. Shaw & Co., L.P.

Neil Katz is a managing director of D. E. Shaw & Co., L.P. and oversees the hardware and software systems that constitute the D. E. Shaw group’s trading platform and information technology infrastructure. Mr. Katz joined the D. E. Shaw group in 1994 and during his tenure at the firm has been instrumental in developing and refining the proprietary software and other technologies that facilitate trade management and execution across a range of asset classes and markets. Mr. Katz received a B.S. in electrical engineering and B.A. in economics, each with distinction, from Stanford University, where he was elected to Phi Beta Kappa.

Panelists:

Gary Collier, Chief Technology Officer, Man Group

Gary is CTO of Man Group Alpha Technology, with responsibility for all front office technology used across Man Group’s investment managers. He is also a member of the Man Group Executive Committee.

Gary was formerly Co-CTO of Man AHL, and prior to this, Technology Manager, responsible for Man AHL’s research and trading technology platforms with a particular focus on market data, trading strategies and signal generation.

Gary joined Man AHL in 2001, having previously developed software systems across various finance, telecomms and defence arenas.

He holds a Masters in Physics and Theoretical Physics from the University of Cambridge.

Mark Etherington, Chief Technology Officer, Crux Informatics

Mark is the Chief Technology Officer of Crux Informatics, overseeing Platform Engineering, Data Engineering, Operations, and Information Technology initiatives. Mark started his career at Logica, a UK software house, and later worked at J.P. Morgan, where he built major systems across the firm as well as headed their distributed computing group globally. Joining Goldman Sachs in the mid 2000’s, Mark led their infrastructure group in EMEA prior to leading the Application Systems Infrastructure group that established virtualization within the firm and led to the development of the Goldman private cloud. Leaving the firm in 2015 to help bring a trading spin-off to market, Mark joined Thomson Reuters through acquisition in 2017. Prior to joining Crux, he was the Global Head of Trading Technology at Refinitiv. Mark lives in New York with his wife Louise, has three children, and loves travel and skiing.

Adam Kelleher, Chief Data Scientist for Research, Barclays

Adam Kelleher is the Chief Data Scientist for Research. He runs a group of data scientists with expertise in sourcing, normalising, and utilising alternative data sets used to enhance our analysts’ ability to deliver differentiated, thought-leading research. In his role at Buzzfeed, Adam was responsible for advancing Buzzfeed’s machine learning and alternative data capabilities, with particular focus on enhancing their data pipelines, research methodology, and advertising effectiveness.

 

Session 2: Intellectual Property Protection: Best Practices and Regulatory Update

Moderated By:

Darcy Bradbury, Managing Director, The D. E. Shaw group

Darcy Bradbury is a managing director of the D. E. Shaw group. In that capacity, Ms. Bradbury is responsible for managing government and regulatory affairs and communications for the firm globally.She served as chair of the board of the Managed Funds Association from 2009 to 2011 and is currently a member of that organization’s executive committee.

Ms. Bradbury has over 30 years of experience in finance in the private and public sectors. She worked in public finance investment banking until 1990, when she was appointed deputy comptroller for Public Finance for the City of New York. Ms. Bradbury then joined the U.S. Department of the Treasury, serving as assistant secretary for Financial Markets. While at the Treasury Department, Ms. Bradbury managed public debt issuance and was responsible for overseeing policy matters involving Treasury financing and federal regulation of financial markets and government securities markets. Returning to New York in 1997, she was a managing director and head of strategic business development at Bankers Trust Corporation and assisted in that firm’s integration with Deutsche Bank AG.

In 2001, Ms. Bradbury entered the alternatives industry as a managing director and partner of Mezzacappa Management, LLC. Prior to joining the D. E. Shaw group in 2007, she was a managing director of, and co-head of client relations and marketing for, Blackstone Alternative Asset Management L.P.

Ms. Bradbury received an M.B.A. with honors from Harvard Business School and an A.B. in social studies, magna cum laude, from Harvard University. She is the vice chair of the board of trustees of the Population Council, a global non-governmental organization that conducts biomedical and public health research, and serves on the board of directors of CFY, a national nonprofit organization that helps students, teachers, and parents use digital learning to improve educational outcomes. Ms. Bradbury also serves on the executive committee of The Educational Alliance, one of New York City’s oldest community service organizations, and is a member of the Council on Foreign Relations and The Economic Club of New York. In 2012, she was appointed to the U.S. Security and Exchange Commission’s newly-established Investor Advisory Committee, which was formed to advise the Commission on initiatives designed to protect investor interests and promote investor confidence and the integrity of the securities marketplace.

Panelists:

Raj Mahajan, Managing Director, Goldman Sachs & Co.

Raj is global head of the firm’s systematic client franchise. Previously, he was co-head of Securities Division Engineering. Before that, Raj was global co-head of Equities Execution Services. He first joined Goldman Sachs in 1996 as an analyst in the firm’s commodities business and rejoined the firm as a partner in 2015. Prior to rejoining the firm, Raj served as chief executive officer of Allston Trading, a Chicago-based market making firm. Earlier in his career, he was president of global trading at SunGard, which he joined in 2004 after SunGard acquired Kiodex, the commodities trading technology company that Raj co-founded in 2000. Raj serves on the boards of the Members Exchange and the Depository Trust and Clearing Corporation. A recipient of a Ford Foundation Fellowship, Raj earned an MPA with an emphasis on Economics and Public Policy from Princeton University and a BA in Economics from the University of California, Berkeley.

Edward H. Sadtler, Partner, Schulte Roth & Zabel LLP

Edward H. Sadtler is head of the Intellectual Property, Sourcing & Technology Group. He represents clients in a wide variety of transactions and other matters involving intellectual property and technology. Edward also advises clients on data security and privacy matters. Working closely with cross-practice teams, Edward has advised on the intellectual property, technology, privacy and data security aspects of mergers and acquisitions, private equity investments, carve-outs, financings, securitizations, public offerings and restructurings. Specifically, he has counseled clients in negotiating licenses, intellectual property transfers, IT service agreements, joint ventures and strategic alliances, consulting and publicity rights contracts, and manufacturing, distribution and supply arrangements, as well is in trademark prosecution matters. His experience covers many industries, including financial services, health care, software, cybersecurity, apparel and accessories, travel, hospitality, media, entertainment, energy, logistics and communications.

Edward is recognized by The Legal 500 as a leading lawyer in the category of Media, Technology and Telecoms: Technology: Transactions. He received his J.D. from the University of Virginia School of Law and his B.A., cum laude, with departmental honors, from Columbia University.

Publications

  • “Ransomware Attacks — Assessing and Mitigating the Exposure of Fund Managers,” SRZ Alert, August 17, 2020
  • “Private Funds Regulatory Update,” SRZ Update, July 2020
  • “Insight: Contact Tracing Apps Can Trigger Workplace, Privacy Concerns,” Bloomberg Law, July 7, 2020
  • “Privacy Update for Private Fund Managers: California AG Issues Final CCPA Regulations, Intends to Begin Enforcement July 1,” SRZ Alert, June 12, 2020
  • “Contact Tracing Applications: Privacy and Other Legal Considerations for Employers Under Existing Laws and Recent Senate Proposals (COVID-19),” SRZ Alert, June 4, 2020
  • “Videoconferencing: Tips for Schools to Navigate Security and Privacy Risks,” SRZ Alert, April 14, 2020
  • “Videoconferencing: Tips for Fund Managers to Navigate Security, Privacy and Compliance Risks,” SRZ Alert, April 10, 2020
  • “Lenders and Other Dealmakers: Update on US Patent and Trademark Office and Copyright Office — CARES Act Provides Limited Relief,” SRZ Alert, April 3, 2020
  • “Privacy Update for Private Fund Managers: Attorney General Issues Further Revisions to the California Consumer Privacy Act Regulations, as Businesses Call for Enforcement Delay Due to COVID-19,” SRZ Alert, March 24, 2020
  • “Broker-Dealers: B-D Guidance on Increased Cybersecurity Risks Due to the COVID-19 Pandemic,” SRZ Alert, March 20, 2020
  • “Lenders and Other Dealmakers: Update on US Patent and Trademark Office and Copyright Office Closures,” SRZ Alert, March 20, 2020
  • “Data Security: Update for Private Fund Managers — NY SHIELD Act,” SRZ Alert, March 18, 2020
  • “Cybersecurity — Homeland Security Warns of Coronavirus-Related Cybersecurity Risks — Considerations for Private Fund Managers,” SRZ Alert, March 16, 2020
  • “The Latest Revisions to the California Consumer Privacy Act Regulations: Key Considerations for Private Fund Managers,” SRZ Alert, March 10, 2020
  • “The California Consumer Privacy Act Training Requirements: Tips for Private Fund Managers,” SRZ Alert, Feb. 18, 2020
  • “CFTC Cyber Incident Information Request — Private Fund Manager Responses Required,” SRZ Alert, Jan. 9, 2020
  • “The California Consumer Privacy Act: Key Points for Private Fund Managers,” SRZ Alert, Dec. 6, 2019
  • “US Supreme Court: Licensor Can’t Revoke a Trademark License in Bankruptcy,” SRZ Alert, May 23, 2019 (co-author)

Speaking Engagements

  • “Regulatory Compliance 2020,” SRZ 29th Annual Private Investment Funds Seminar, New York, January 2020
  • “FAQ — Vendor Cybersecurity Due Diligence,” SRZ London Investment Management Hot Topics, June 2019

Distinctions

  • The Legal 500 US, 2015–2019

Prior Experience

  • Kirkland & Ellis, 2004-2019
  • Skadden, Arps, Slate, Meagher & Flom, 2000-2004
  • White & Case, 1999-2000

Bar Admissions

  • New York

Education

  • University of Virginia School of Law, J.D., 1999
  • Columbia University, B.A., cum laude,with departmental honors, 1996

Michael R. Weiner, Senior Deputy General Counsel, Citadel LLC

Michael Weiner is a Managing Director and Senior Deputy General Counsel at Citadel. He is responsible for global matters relating to Employment, Litigation, Mergers & Acquisitions, Intellectual Property and Technology, Real Estate and Compliance.

Mr. Weiner joined Citadel in 2002. From 2007-2011, he served as General Counsel and Head of Compliance for Citadel’s fund administration business. Prior to joining Citadel, he served as Senior Counsel at the Chicago Mercantile Exchange.

Mr. Weiner has been a member of the Illinois Bar since 1995. He serves on the Board of Trustees for Lawrence Hall Youth Services.

Mr. Weiner received a bachelor’s degree with Honors from Vassar College, a Juris Doctor degree with Honors from the George Washington University Law School, and an MBA in Finance from Northwestern University.

Session 3: Compressing the Front Office Data Lifecycle Under a Single Umbrella

Moderated By:

Michael Watson, Head of Equities Engineering & Technology, Citadel LLC

Panelists:

Carson Boneck, Chief Data Officer, Balyasny Asset Management, L.P.

Carson Boneck, CFA, is the Chief Data Officer at Balyasny Asset Management(BAM) where he is responsible for data sourcing, data science, webscraping, and data engineering across all of the firm’s strategies.  Carson joined BAM as a Director of Quantitative Research in 2016, leading a research team which creates systematic strategies for the firm’s discretionary L/S investors.  Prior to BAM, Carson was the Global Head of Investment Management & Quantitative Research at S&P Global Market Intelligence (formerly Capital IQ) for eight years and founded the Capital IQ’s Quantamental Research team.  For ten years prior, Carson was a Quantitative Researcher, specializing in listed equities, at several sell-side firms.  He began his career in management consulting specializing in company valuation, corporate finance, and M&A advisory.  Carson is an Indiana University graduate and a CFA Charterholder.

Hinesh Kalian, Director of Data Science, Man Group

Hinesh Kalian is Director of Data Science at Man Group. He is responsible for data strategy, data acquisition, data science and data science engineering across Man Group’s investment managers

Hinesh was formerly Head of Data Science and Investment Implementation for Man AHL, where he was responsible for monitoring and verifying activity on the Man AHL trading system, new data acquisition and strategy, data management and portfolio implementation. Prior to joining Man Group in 2010, Hinesh spent six years at JPMorgan.

Hinesh holds an MSc in Finance from the University of London.

John Thornley, Managing Director, Head of Data Engineering, AQR Capital Management, LLC

John is a managing director and heads data engineering at AQR Capital Management. Prior to working at AQR he held engineering positions at D. E. Shaw & Co., Lehman Brothers, and Deephaven Capital Management. Before that he was an assistant professor in computer science at the University of Virginia and a research scientist at Caltech. John has a Ph.D. in computer science (parallel computing) from Caltech and M.Sc. and B.Sc. degrees in computer science from the University of Auckland in New Zealand.

Session 4: The Journey from Automation to AI – A Practical Analysis

Moderated By:

Rajesh T. Krishnamachari, Global Head of Data Science, Bank of America

Rajesh T. Krishnamachari is responsible for leading Data Science initiatives within the Equities division of Bank of America. Prior to joining the firm in 2018, he was an investment strategist at JP Morgan, where he served on the Quant Council for Research and specialized on the application of machine learning algorithms to cross-asset systematic investing. He also serves as adjunct faculty for machine learning at New York University. Dr. Krishnamachari is a widely cited researcher with 2 books and 25 refereed publications across quantitative finance, applied mathematics and the social sciences.

Panelists:

Edoardo Airoldi, Millard E Gladfelter Professor of Statistics, Data Science, and Finance, Fox Data Science Center, Temple University

Edoardo M. Airoldi is the Millard E. Gladfelter Professor of Statistics and Data Science, and a Professor of Finance (by courtesy), in the Fox School of Business, at Temple University. He also serves as Director of the Fox School’s Data Science Center. Prior to joining Fox, Airoldi was on the faculty in the Department of Statistics at Harvard University, where he founded and directed the Harvard Laboratory for Applied Statistics & Data Science, until 2018. Additionally, he held visiting positions at MIT and Yale. His current research focuses on statistical theory and methods for designing and analyzing experiments on large networks and, more generally, on modeling and inferential issues that arise in analyses that leverage network data. His work has appeared in journals across statistics, computer science, and general science, including Annals of Statistics, Journal of the American Statistical Association, Journal of Machine Learning Research, Proceedings of the National Academy of Sciences, and Nature. Airoldi has received a Sloan Fellowship, the Shutzer Fellowship from the Radcliffe Institute of Advanced Studies, an NSF CAREER Award, and an ONR Young Investigator Program Award, among other honors. He has delivered a plenary talk at the National Academy of Sciences Sackler Colloquium on “Causal Inference and Big Data,” in 2015, and he has given an IMS Medallion Lecture at the Joint Statistical Meetings, in 2017. He is an elected Fellow of the Institute for Mathematical Statistics, since 2019, and of the American Statistical Association, since 2020.

CJ Jaskoll, Head of Investment Technology, Global Technology, Neuberger Berman

C.J. Jaskoll, Senior Vice President, joined the firm in March 2017 as Head of Investment Technology. In this role, CJ is responsible for implementing and maintaining the front-office technology platforms for the firm, including the Equity and Multi-Asset Class Trading Systems, the Portfolio Management and Research systems, Investment Risk, Market Data, and Quantitative and Data Science systems. Prior to joining Neuberger, C.J. spent 13 years at Jennison Associates where he was the Director of Front Office Technology. In that role C.J. was responsible for ensuring technology was meeting the strategic goals of the firm’s front office, including Portfolio Management & Research, Marketing, Sales & Distribution, and Market Data. CJ had received his Bachelor’s Degree in Management Information Systems, Magna Cum Laude, from The Sy Syms School of Business.

Kam-Chuen Jim, Senior Data Scientist, King Street Capital Management, L.P.

Kam Jim is a senior data scientist at King Street Capital Management.  Prior to joining King Street in 2008, Mr. Jim was a senior developer at BlueMountain Capital.  Prior to that, he led the development of the CDO management and portfolio surveillance systems at Koch Global Capital.

Before working in the financial industry, Mr. Jim developed novel machine learning algorithms to help discover new drugs in the pharmaceutical industry.  He has developed the AI for opponent characters in several computer games.  He has published various machine learning and bioinformatics papers, and is a frequent reviewer for machine learning conferences and journals.

Mr. Jim graduated from Princeton University, earning a dual degree B.S. in computer engineering and bio-engineering, and a M.S.E. in computer science.

Session 5: Outsourcing vs Insourcing and Cost Analysis

Moderated By:

John Leone, Head Quantitative Strategy, Wells Fargo Securities

As Director of Quantitative Strategy, John is responsible for enhancing Wells Fargo’s financing and market access platforms geared to quantitative hedge funds. Prior to joining Wells Fargo, John worked with Stevens Capital Managements or its associated companies for 26 years. John was primarily responsible for accessing global exchanges, equity financing structures, and prime broker management. During his career, John has established connectivity to 30+ global exchanges, researched market structure and maintained relationships with global exchanges and brokerages. Current and prior professional associations include: The New York Stock Exchange Institutional Traders Advisory Committee, The Bohley Center Officers Council, CBOE Institutional Advisory Committee, The NASDAQ Stock Exchange Quality of Markets Committee and Investment Company Institute Working Group Market Structure and Investor Confidence.  John holds a bachelor’s degree in economics from The College of William & Mary,  is a CFA Institute Charterholder and  recipient of the Howard J Busbee Finance Academy Alumni Award.

Panelists:

Brett Honneus, Chief Technology Officer and Information Officer, Partner, Brigade Capital Management LP

Mr. Honneus is a Partner of the firm and the Chief Technology & Information Officer as well as a member of the Risk Committee. He manages a team of 15 technology professionals in both the infrastructure and software development.

Prior to joining Brigade, Mr. Honneus led the Technology Team at Highland Financial Holdings Group, an alternative asset management firm specializing in fixed income securities. Earlier in his career, Mr. Honneus was a Senior Software Developer for leading technology companies, including Monster Worldwide and Terra Lycos.

Additionally, Mr. Honneus created his own web development and data hosting company, Solucian Networking, which he sold in 1999. Mr. Honneus received a BA in Computer Science and Mathematics from Colgate University.

Brian Mangum, Head of Modeling and Technology, Element Capital Management LLC

Mr. Mangum joined Element Capital in May 2013 and serves as Head of Modeling and Technology.  His team’s primary responsibilities include the development of all of Element Capital’s technology and quantitative components, as well as the management of the Firm’s infrastructure.

Prior to joining Element Capital, Mr. Mangum worked for nearly 12 years in the Quantitative Strategy team at Credit Suisse, most recently as head of the interest rate products modeling group in New York.  Before joining Credit Suisse and the financial industry, Mr. Mangum held an Assistant Professorship in the Columbia University Mathematics Department, conducting research in pure mathematics and teaching and advising graduate and undergraduate students.

Mr. Mangum earned a PhD and Masters of Arts in Mathematics from the University of California and graduated from Duke University with Bachelor of Science degrees in Mathematics and Physics.

Dennis Roche, Head, Global Infrastructure, Balyasny Asset Management L.P

11:20 AM - 11:45 AM

Virtual Coffee Break and Live Demos

11:45 AM - 12:20 PM

FIRESIDE KEYNOTE CHAT

A New Perspective on the Cloud Post COVID-19

Keynotes:

Sháka Rasheed, Managing Director and GM, Capital Markets at Microsoft

Sháka Rasheed joined Microsoft’s Financial Services US organization to lead the Capital Markets sub-vertical as Managing Director, General Manager. He is responsible for leading all sales and strategic customer engagement functions within capital markets, serving investment banks; broker-dealers; wealth & investment managers across traditional and alternative assets (private equity, hedge funds); exchanges; payment companies; select FinTechs; other capital markets customers and partners.

He continues to leverage over 25 years of financial services industry experience to devise and implement the strategic business objectives of customers/clients with a collaborative, impactful and results-oriented leadership style. Sháka joined Microsoft in 2019 from Bridgewater where he was Head of Sales, responsible for new business development and client service for the largest, most sophisticated institutional investors and consultant relationships around the globe.

 

Prior to joining Bridgewater, Sháka was Managing Director, Head of Alternative Investments-Americas at Lazard Asset Management, where he led the team responsible for raising capital for Lazard‘s hedge fund strategies, while also seeding portfolio managers and investment teams onto that platform.  Previously, he was Director (and Acting Americas Head of) Global Distribution, for Citadel Asset Management. With a focus on Citadel‘s distribution efforts, Sháka played a critical leadership role positioning the firms flag ship multi-strategy fund, and in the successful launch of its equity long/short, global macro, and relative-value fixed income single-strategy hedge funds to meet the needs of institutional investors throughout the U.S., Canada, and Latin-America, cultivating new client relationships from multiple investment segments including corporate/public pensions, endowments/foundations, family offices, hedge fund of funds, private wealth and bank platforms, OCIOs, insurance companies and consultants.

 

Immediately prior to that, Sháka was Managing Director and Senior Client Advisor with J.P.Morgan Asset Management. As a 16yr J.P. Morgan-veteran, Sháka delivered U.S. institutional investors solutions across the spectrum of alternatives (hedge funds, private equity, real assets) and traditional (equities, fixed income) asset classes, culminating with Sháka leading J.P. Morgan to securing its first-ever $1 billion alternatives, strategic partnership mandate with a large public pension.  Before his time within J.P.Morgan’s institutional asset management business, Sháka served in prior roles working in London, New York, Boston, and Washington, D.C. as a regional manager with J.P.Morgan Funds; a banker within J.P.Morgan Private Bank; an associate with J.P.Morgan Securities; and an investment banking analyst with Merrill Lynch.

 

Sháka earned an MBA from Harvard Business School as a Robert Toigo Fellow; and a BA with honors from Morehouse College, where he was president of the student body and a student representative on the college’s board of trustees.

Mike Triolo, Managing Director, Cloud and Transformation, Financial Services at Microsoft

Mike has over 25 years of global enterprise experience and is equally comfortable with helping build world class teams, in turnaround situations, and helping to bring order to chaos.

 

Mike returned to Microsoft in 2015 to build and lead their Cloud technology and sales business. Mike is currently the Managing Director of Microsoft’s

US Financial Services business responsible for helping clients solve business problems through the use of technology. Prior to rejoining Microsoft, Mike was EVP of Sales at 2nd Watch a born in the cloud company which is AWS’s top Systems Integrator, Reseller and Managed Service Provider. As part of 2nd Watch Mike helped build a business around disruptive technologies that was relatively new and continues to grow. Mike’s responsibilities included global sales, sales operations and customer account management.

 

Prior to joining 2nd Watch Mike spent thirteen years at Microsoft holding a number of different roles from Technology Strategist, Director of their Capital Markets Business and Enterprise Director running their Regional Partner Channel prior to his departure. During his time at Microsoft his teams were widely viewed as high performing, growing their business double digits every year during his tenure. Mike was part of Microsoft’s prestigious Leadership Development program for a number of years which helped develop and mold his leadership style.

 

Mike also spent time at Warner Lambert, a Global Pharmaceutical Company where he had responsibility for their Global ERP and Treasury Systems implementation and rollouts. Prior to Warner Lambert, Mike was with Solomon Brothers a large Capital Markets firm where he was brought in to help them build out their Asset Management business helping to streamline their Operations and Establish Technology Integration with their key partners. Mike started his career at Alliance Capital managing their quickly growing Asset Management Business Managing a team of Financial Analysts and Accountants.

 

Mike holds a Bachelor of Science in Accounting from Rutgers University, a Masters of Information Systems and a Master of Business Administration with a concentration in Finance from Seton Hall University. Mike also holds certifications in both Six Sigma and ITIL.

 

Mike lives in Basking Ridge, NJ with his wife Diane and his two children Nicholas and Ava.

12:25 PM - 1:05 PM

BREAKOUTS (Rotation 2)

Buy vs. Build, Automation, Intellectual Property, Front Office Data, Outsourcing vs. Insourcing

Session 1: Evaluating and Designing the Buy vs. Build vs. Open Source Framework

Moderated By:

Neil Katz, Managing Director, D. E. Shaw & Co., L.P.

Neil Katz is a managing director of D. E. Shaw & Co., L.P. and oversees the hardware and software systems that constitute the D. E. Shaw group’s trading platform and information technology infrastructure. Mr. Katz joined the D. E. Shaw group in 1994 and during his tenure at the firm has been instrumental in developing and refining the proprietary software and other technologies that facilitate trade management and execution across a range of asset classes and markets. Mr. Katz received a B.S. in electrical engineering and B.A. in economics, each with distinction, from Stanford University, where he was elected to Phi Beta Kappa.

Panelists:

Gary Collier, Chief Technology Officer, Man Group

Gary is CTO of Man Group Alpha Technology, with responsibility for all front office technology used across Man Group’s investment managers. He is also a member of the Man Group Executive Committee.

Gary was formerly Co-CTO of Man AHL, and prior to this, Technology Manager, responsible for Man AHL’s research and trading technology platforms with a particular focus on market data, trading strategies and signal generation.

Gary joined Man AHL in 2001, having previously developed software systems across various finance, telecomms and defence arenas.

He holds a Masters in Physics and Theoretical Physics from the University of Cambridge.

Mark Etherington, Chief Technology Officer, Crux Informatics

Mark is the Chief Technology Officer of Crux Informatics, overseeing Platform Engineering, Data Engineering, Operations, and Information Technology initiatives. Mark started his career at Logica, a UK software house, and later worked at J.P. Morgan, where he built major systems across the firm as well as headed their distributed computing group globally. Joining Goldman Sachs in the mid 2000’s, Mark led their infrastructure group in EMEA prior to leading the Application Systems Infrastructure group that established virtualization within the firm and led to the development of the Goldman private cloud. Leaving the firm in 2015 to help bring a trading spin-off to market, Mark joined Thomson Reuters through acquisition in 2017. Prior to joining Crux, he was the Global Head of Trading Technology at Refinitiv. Mark lives in New York with his wife Louise, has three children, and loves travel and skiing.

Adam Kelleher, Chief Data Scientist for Research, Barclays

Adam Kelleher is the Chief Data Scientist for Research. He runs a group of data scientists with expertise in sourcing, normalising, and utilising alternative data sets used to enhance our analysts’ ability to deliver differentiated, thought-leading research. In his role at Buzzfeed, Adam was responsible for advancing Buzzfeed’s machine learning and alternative data capabilities, with particular focus on enhancing their data pipelines, research methodology, and advertising effectiveness.

 

Session 2: Intellectual Property Protection: Best Practices and Regulatory Update

Moderated By:

Darcy Bradbury, Managing Director, The D. E. Shaw group

Darcy Bradbury is a managing director of the D. E. Shaw group. In that capacity, Ms. Bradbury is responsible for managing government and regulatory affairs and communications for the firm globally.She served as chair of the board of the Managed Funds Association from 2009 to 2011 and is currently a member of that organization’s executive committee.

Ms. Bradbury has over 30 years of experience in finance in the private and public sectors. She worked in public finance investment banking until 1990, when she was appointed deputy comptroller for Public Finance for the City of New York. Ms. Bradbury then joined the U.S. Department of the Treasury, serving as assistant secretary for Financial Markets. While at the Treasury Department, Ms. Bradbury managed public debt issuance and was responsible for overseeing policy matters involving Treasury financing and federal regulation of financial markets and government securities markets. Returning to New York in 1997, she was a managing director and head of strategic business development at Bankers Trust Corporation and assisted in that firm’s integration with Deutsche Bank AG.

In 2001, Ms. Bradbury entered the alternatives industry as a managing director and partner of Mezzacappa Management, LLC. Prior to joining the D. E. Shaw group in 2007, she was a managing director of, and co-head of client relations and marketing for, Blackstone Alternative Asset Management L.P.

Ms. Bradbury received an M.B.A. with honors from Harvard Business School and an A.B. in social studies, magna cum laude, from Harvard University. She is the vice chair of the board of trustees of the Population Council, a global non-governmental organization that conducts biomedical and public health research, and serves on the board of directors of CFY, a national nonprofit organization that helps students, teachers, and parents use digital learning to improve educational outcomes. Ms. Bradbury also serves on the executive committee of The Educational Alliance, one of New York City’s oldest community service organizations, and is a member of the Council on Foreign Relations and The Economic Club of New York. In 2012, she was appointed to the U.S. Security and Exchange Commission’s newly-established Investor Advisory Committee, which was formed to advise the Commission on initiatives designed to protect investor interests and promote investor confidence and the integrity of the securities marketplace.

Panelists:

Raj Mahajan, Managing Director, Goldman Sachs & Co.

Raj is global head of the firm’s systematic client franchise. Previously, he was co-head of Securities Division Engineering. Before that, Raj was global co-head of Equities Execution Services. He first joined Goldman Sachs in 1996 as an analyst in the firm’s commodities business and rejoined the firm as a partner in 2015. Prior to rejoining the firm, Raj served as chief executive officer of Allston Trading, a Chicago-based market making firm. Earlier in his career, he was president of global trading at SunGard, which he joined in 2004 after SunGard acquired Kiodex, the commodities trading technology company that Raj co-founded in 2000. Raj serves on the boards of the Members Exchange and the Depository Trust and Clearing Corporation. A recipient of a Ford Foundation Fellowship, Raj earned an MPA with an emphasis on Economics and Public Policy from Princeton University and a BA in Economics from the University of California, Berkeley.

Edward H. Sadtler, Partner, Schulte Roth & Zabel LLP

Edward H. Sadtler is head of the Intellectual Property, Sourcing & Technology Group. He represents clients in a wide variety of transactions and other matters involving intellectual property and technology. Edward also advises clients on data security and privacy matters. Working closely with cross-practice teams, Edward has advised on the intellectual property, technology, privacy and data security aspects of mergers and acquisitions, private equity investments, carve-outs, financings, securitizations, public offerings and restructurings. Specifically, he has counseled clients in negotiating licenses, intellectual property transfers, IT service agreements, joint ventures and strategic alliances, consulting and publicity rights contracts, and manufacturing, distribution and supply arrangements, as well is in trademark prosecution matters. His experience covers many industries, including financial services, health care, software, cybersecurity, apparel and accessories, travel, hospitality, media, entertainment, energy, logistics and communications.

Edward is recognized by The Legal 500 as a leading lawyer in the category of Media, Technology and Telecoms: Technology: Transactions. He received his J.D. from the University of Virginia School of Law and his B.A., cum laude, with departmental honors, from Columbia University.

Publications

  • “Ransomware Attacks — Assessing and Mitigating the Exposure of Fund Managers,” SRZ Alert, August 17, 2020
  • “Private Funds Regulatory Update,” SRZ Update, July 2020
  • “Insight: Contact Tracing Apps Can Trigger Workplace, Privacy Concerns,” Bloomberg Law, July 7, 2020
  • “Privacy Update for Private Fund Managers: California AG Issues Final CCPA Regulations, Intends to Begin Enforcement July 1,” SRZ Alert, June 12, 2020
  • “Contact Tracing Applications: Privacy and Other Legal Considerations for Employers Under Existing Laws and Recent Senate Proposals (COVID-19),” SRZ Alert, June 4, 2020
  • “Videoconferencing: Tips for Schools to Navigate Security and Privacy Risks,” SRZ Alert, April 14, 2020
  • “Videoconferencing: Tips for Fund Managers to Navigate Security, Privacy and Compliance Risks,” SRZ Alert, April 10, 2020
  • “Lenders and Other Dealmakers: Update on US Patent and Trademark Office and Copyright Office — CARES Act Provides Limited Relief,” SRZ Alert, April 3, 2020
  • “Privacy Update for Private Fund Managers: Attorney General Issues Further Revisions to the California Consumer Privacy Act Regulations, as Businesses Call for Enforcement Delay Due to COVID-19,” SRZ Alert, March 24, 2020
  • “Broker-Dealers: B-D Guidance on Increased Cybersecurity Risks Due to the COVID-19 Pandemic,” SRZ Alert, March 20, 2020
  • “Lenders and Other Dealmakers: Update on US Patent and Trademark Office and Copyright Office Closures,” SRZ Alert, March 20, 2020
  • “Data Security: Update for Private Fund Managers — NY SHIELD Act,” SRZ Alert, March 18, 2020
  • “Cybersecurity — Homeland Security Warns of Coronavirus-Related Cybersecurity Risks — Considerations for Private Fund Managers,” SRZ Alert, March 16, 2020
  • “The Latest Revisions to the California Consumer Privacy Act Regulations: Key Considerations for Private Fund Managers,” SRZ Alert, March 10, 2020
  • “The California Consumer Privacy Act Training Requirements: Tips for Private Fund Managers,” SRZ Alert, Feb. 18, 2020
  • “CFTC Cyber Incident Information Request — Private Fund Manager Responses Required,” SRZ Alert, Jan. 9, 2020
  • “The California Consumer Privacy Act: Key Points for Private Fund Managers,” SRZ Alert, Dec. 6, 2019
  • “US Supreme Court: Licensor Can’t Revoke a Trademark License in Bankruptcy,” SRZ Alert, May 23, 2019 (co-author)

Speaking Engagements

  • “Regulatory Compliance 2020,” SRZ 29th Annual Private Investment Funds Seminar, New York, January 2020
  • “FAQ — Vendor Cybersecurity Due Diligence,” SRZ London Investment Management Hot Topics, June 2019

Distinctions

  • The Legal 500 US, 2015–2019

Prior Experience

  • Kirkland & Ellis, 2004-2019
  • Skadden, Arps, Slate, Meagher & Flom, 2000-2004
  • White & Case, 1999-2000

Bar Admissions

  • New York

Education

  • University of Virginia School of Law, J.D., 1999
  • Columbia University, B.A., cum laude,with departmental honors, 1996

Michael R. Weiner, Senior Deputy General Counsel, Citadel LLC

Michael Weiner is a Managing Director and Senior Deputy General Counsel at Citadel. He is responsible for global matters relating to Employment, Litigation, Mergers & Acquisitions, Intellectual Property and Technology, Real Estate and Compliance.

Mr. Weiner joined Citadel in 2002. From 2007-2011, he served as General Counsel and Head of Compliance for Citadel’s fund administration business. Prior to joining Citadel, he served as Senior Counsel at the Chicago Mercantile Exchange.

Mr. Weiner has been a member of the Illinois Bar since 1995. He serves on the Board of Trustees for Lawrence Hall Youth Services.

Mr. Weiner received a bachelor’s degree with Honors from Vassar College, a Juris Doctor degree with Honors from the George Washington University Law School, and an MBA in Finance from Northwestern University.

Session 3: Compressing the Front Office Data Lifecycle Under a Single Umbrella

Moderated By:

Michael Watson, Head of Equities Engineering & Technology, Citadel LLC

Panelists:

Carson Boneck, Chief Data Officer, Balyasny Asset Management, L.P.

Carson Boneck, CFA, is the Chief Data Officer at Balyasny Asset Management(BAM) where he is responsible for data sourcing, data science, webscraping, and data engineering across all of the firm’s strategies.  Carson joined BAM as a Director of Quantitative Research in 2016, leading a research team which creates systematic strategies for the firm’s discretionary L/S investors.  Prior to BAM, Carson was the Global Head of Investment Management & Quantitative Research at S&P Global Market Intelligence (formerly Capital IQ) for eight years and founded the Capital IQ’s Quantamental Research team.  For ten years prior, Carson was a Quantitative Researcher, specializing in listed equities, at several sell-side firms.  He began his career in management consulting specializing in company valuation, corporate finance, and M&A advisory.  Carson is an Indiana University graduate and a CFA Charterholder.

Hinesh Kalian, Director of Data Science, Man Group

Hinesh Kalian is Director of Data Science at Man Group. He is responsible for data strategy, data acquisition, data science and data science engineering across Man Group’s investment managers

Hinesh was formerly Head of Data Science and Investment Implementation for Man AHL, where he was responsible for monitoring and verifying activity on the Man AHL trading system, new data acquisition and strategy, data management and portfolio implementation. Prior to joining Man Group in 2010, Hinesh spent six years at JPMorgan.

Hinesh holds an MSc in Finance from the University of London.

John Thornley, Managing Director, Head of Data Engineering, AQR Capital Management, LLC

John is a managing director and heads data engineering at AQR Capital Management. Prior to working at AQR he held engineering positions at D. E. Shaw & Co., Lehman Brothers, and Deephaven Capital Management. Before that he was an assistant professor in computer science at the University of Virginia and a research scientist at Caltech. John has a Ph.D. in computer science (parallel computing) from Caltech and M.Sc. and B.Sc. degrees in computer science from the University of Auckland in New Zealand.

Session 4: The Journey from Automation to AI – A Practical Analysis

Moderated By:

Rajesh T. Krishnamachari, Global Head of Data Science, Bank of America

Rajesh T. Krishnamachari is responsible for leading Data Science initiatives within the Equities division of Bank of America. Prior to joining the firm in 2018, he was an investment strategist at JP Morgan, where he served on the Quant Council for Research and specialized on the application of machine learning algorithms to cross-asset systematic investing. He also serves as adjunct faculty for machine learning at New York University. Dr. Krishnamachari is a widely cited researcher with 2 books and 25 refereed publications across quantitative finance, applied mathematics and the social sciences.

Panelists:

Edoardo Airoldi, Millard E Gladfelter Professor of Statistics, Data Science, and Finance, Fox Data Science Center, Temple University

Edoardo M. Airoldi is the Millard E. Gladfelter Professor of Statistics and Data Science, and a Professor of Finance (by courtesy), in the Fox School of Business, at Temple University. He also serves as Director of the Fox School’s Data Science Center. Prior to joining Fox, Airoldi was on the faculty in the Department of Statistics at Harvard University, where he founded and directed the Harvard Laboratory for Applied Statistics & Data Science, until 2018. Additionally, he held visiting positions at MIT and Yale. His current research focuses on statistical theory and methods for designing and analyzing experiments on large networks and, more generally, on modeling and inferential issues that arise in analyses that leverage network data. His work has appeared in journals across statistics, computer science, and general science, including Annals of Statistics, Journal of the American Statistical Association, Journal of Machine Learning Research, Proceedings of the National Academy of Sciences, and Nature. Airoldi has received a Sloan Fellowship, the Shutzer Fellowship from the Radcliffe Institute of Advanced Studies, an NSF CAREER Award, and an ONR Young Investigator Program Award, among other honors. He has delivered a plenary talk at the National Academy of Sciences Sackler Colloquium on “Causal Inference and Big Data,” in 2015, and he has given an IMS Medallion Lecture at the Joint Statistical Meetings, in 2017. He is an elected Fellow of the Institute for Mathematical Statistics, since 2019, and of the American Statistical Association, since 2020.

CJ Jaskoll, Head of Investment Technology, Global Technology, Neuberger Berman

C.J. Jaskoll, Senior Vice President, joined the firm in March 2017 as Head of Investment Technology. In this role, CJ is responsible for implementing and maintaining the front-office technology platforms for the firm, including the Equity and Multi-Asset Class Trading Systems, the Portfolio Management and Research systems, Investment Risk, Market Data, and Quantitative and Data Science systems. Prior to joining Neuberger, C.J. spent 13 years at Jennison Associates where he was the Director of Front Office Technology. In that role C.J. was responsible for ensuring technology was meeting the strategic goals of the firm’s front office, including Portfolio Management & Research, Marketing, Sales & Distribution, and Market Data. CJ had received his Bachelor’s Degree in Management Information Systems, Magna Cum Laude, from The Sy Syms School of Business.

Kam-Chuen Jim, Senior Data Scientist, King Street Capital Management, L.P.

Kam Jim is a senior data scientist at King Street Capital Management.  Prior to joining King Street in 2008, Mr. Jim was a senior developer at BlueMountain Capital.  Prior to that, he led the development of the CDO management and portfolio surveillance systems at Koch Global Capital.

Before working in the financial industry, Mr. Jim developed novel machine learning algorithms to help discover new drugs in the pharmaceutical industry.  He has developed the AI for opponent characters in several computer games.  He has published various machine learning and bioinformatics papers, and is a frequent reviewer for machine learning conferences and journals.

Mr. Jim graduated from Princeton University, earning a dual degree B.S. in computer engineering and bio-engineering, and a M.S.E. in computer science.

Session 5: Outsourcing vs Insourcing and Cost Analysis

Moderated By:

John Leone, Head Quantitative Strategy, Wells Fargo Securities

As Director of Quantitative Strategy, John is responsible for enhancing Wells Fargo’s financing and market access platforms geared to quantitative hedge funds. Prior to joining Wells Fargo, John worked with Stevens Capital Managements or its associated companies for 26 years. John was primarily responsible for accessing global exchanges, equity financing structures, and prime broker management. During his career, John has established connectivity to 30+ global exchanges, researched market structure and maintained relationships with global exchanges and brokerages. Current and prior professional associations include: The New York Stock Exchange Institutional Traders Advisory Committee, The Bohley Center Officers Council, CBOE Institutional Advisory Committee, The NASDAQ Stock Exchange Quality of Markets Committee and Investment Company Institute Working Group Market Structure and Investor Confidence.  John holds a bachelor’s degree in economics from The College of William & Mary,  is a CFA Institute Charterholder and  recipient of the Howard J Busbee Finance Academy Alumni Award.

Panelists:

Brett Honneus, Chief Technology Officer and Information Officer, Partner, Brigade Capital Management LP

Mr. Honneus is a Partner of the firm and the Chief Technology & Information Officer as well as a member of the Risk Committee. He manages a team of 15 technology professionals in both the infrastructure and software development.

Prior to joining Brigade, Mr. Honneus led the Technology Team at Highland Financial Holdings Group, an alternative asset management firm specializing in fixed income securities. Earlier in his career, Mr. Honneus was a Senior Software Developer for leading technology companies, including Monster Worldwide and Terra Lycos.

Additionally, Mr. Honneus created his own web development and data hosting company, Solucian Networking, which he sold in 1999. Mr. Honneus received a BA in Computer Science and Mathematics from Colgate University.

Brian Mangum, Head of Modeling and Technology, Element Capital Management LLC

Mr. Mangum joined Element Capital in May 2013 and serves as Head of Modeling and Technology.  His team’s primary responsibilities include the development of all of Element Capital’s technology and quantitative components, as well as the management of the Firm’s infrastructure.

Prior to joining Element Capital, Mr. Mangum worked for nearly 12 years in the Quantitative Strategy team at Credit Suisse, most recently as head of the interest rate products modeling group in New York.  Before joining Credit Suisse and the financial industry, Mr. Mangum held an Assistant Professorship in the Columbia University Mathematics Department, conducting research in pure mathematics and teaching and advising graduate and undergraduate students.

Mr. Mangum earned a PhD and Masters of Arts in Mathematics from the University of California and graduated from Duke University with Bachelor of Science degrees in Mathematics and Physics.

Dennis Roche, Head, Global Infrastructure, Balyasny Asset Management L.P

1:05 PM

Day 1 Closing Remarks

9:45 AM - 10:00 AM

Welcome Remarks

Bryan N. Corbett, President & Chief Executive Officer, Managed Funds Association

Bryan Corbett is MFA’s President and CEO. He is a veteran of Washington and Wall Street. For the past 12 years, he was a senior executive at The Carlyle Group, most recently as Managing Director in the Corporate Private Equity segment and Head of the firm’s OneCarlyle Global Investment Resources Group. In this role, Mr. Corbett and his team provided strategic and operational support to investment teams and portfolio companies across segments.

For the first half of his Carlyle tenure, Mr. Corbett managed U.S. government and regulatory issues affecting Carlyle, its investments and the industry. In this role, he developed legislative and regulatory strategies relating to all of Carlyle’s business segments, including private equity, credit and real estate. In addition to serving on the boards of several Carlyle portfolio companies, Mr. Corbett started the firm’s global corporate citizenship program focused on responsible investing, published Carlyle’s inaugural corporate citizenship report, and started the firm’s initiative to recruit and place diverse individuals on portfolio company boards in the U.S.

Prior to joining Carlyle, Mr. Corbett served in the George W. Bush Administration as a Special Assistant to the President for Economic Policy and as the Senior Advisor to Deputy Secretary Robert Kimmitt at the Treasury Department. He also served as Majority Counsel on the Senate Banking Committee.

Mr. Corbett earned his JD from George Washington University Law School, where he was editor-in-chief of the George Washington Law Review, and earned his BA from University of Notre Dame.

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

D. Brooke Harlow is the Managed Funds Association’s Chief Commercial Officer. Brooke is responsible for strategy and execution of the Association’s education and business development 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 public affairs 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.

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 and served as its spokesperson.

Prior to joining Highbridge, Brooke was a Vice President of Investment Bank Marketing and Communications at J.P.Morgan 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 also was a senior associate at Burson-Marsteller in Washington, D.C., and also worked at CNN serving as a field producer in the Washington, D.C. and Mexico City bureaus.

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 and a Board Member of Surgeons OverSeas and the Women’s Board of the Boys Club of New York. She is also an advisor to the Center for Public Leadership the John F. Kennedy School of Government at Harvard University.

 

10:00 AM - 10:35 AM

KEYNOTE

Managing Collaboration in the Wake of the COVID-19 Crisis: Enterprise and Developers’ Perspectives

Moderated by:

Jonathan Hitchon, Managing Director, Chief Operating Officer, Two Sigma Investments, LP

Mr. Hitchon joined Two Sigma in October 2014 as a Managing Director and Chief Operating Officer.

Mr. Hitchon is vice chair of the board of directors of the Managed Funds Association (MFA), an organization that advocates for sound alternative investment industry practices and public policies.

Prior to joining Two Sigma, Mr. Hitchon spent 15 years at Deutsche Bank, most recently as Co-Global Head of Markets Prime Finance from 2005 through 2013. From 2004 through 2005, he was the Chief Operating Officer of Deutsche Bank Alternative Trading, which included multiple proprietary trading groups. From 2001 to 2003, Mr. Hitchon was Co-Head of Global Prime Finance at Deutsche Bank. From 1998 to 2001, he was Chief Operating Officer of Deutsche Bank’s Global Equity Derivatives Business.

Prior to joining Deutsche Bank, he held several senior finance roles at NatWest Markets and Schroders in the UK. Mr. Hitchon served on the DTCC Board from 2011 through 2013 and chaired the New Business and Products Committee. Mr. Hitchon received his BSc from Sheffield University in Chemical Engineering and is a Fellow of the Chartered Association of Certified Accountants.

Panelists:

Zach Cohen, Head of Enterprise Engineering, Managing Director, Two Sigma Investments, LP  

Zach Cohen joined Two Sigma in 2009 and currently serves as the Head of Enterprise Engineering. Mr. Cohen leads the engineering teams responsible for building tools and platforms that support post trade processing, finance, risk management, and human resources as well as the internal collaboration and productivity ecosystem. Mr. Cohen previously served as Co-Head of Modeling Engineering and Head of Data Engineering at Two Sigma where he led the engineering teams focused on data discovery and harvesting, analysis platforms, and the trading system. Prior to joining Two Sigma, Mr. Cohen worked at Bloomberg, L.P. where he served in a number of roles including Head of Bloomberg Valuations and Head of Fixed Income and Derivatives Engineering. Mr. Cohen received a bachelor’s degree in engineering from Cornell University and is a CFA charterholder.

Allen Shim, Chief Financial Officer, Slack

Allen Shim is responsible for Slack’s financial management strategy, which includes overseeing global operations, finance, accounting, corporate strategy, treasury, tax, investor relations, business analytics, and IT.

Prior to Slack, Allen was the VP of finance and treasury at YuMe, where he helped drive growth from its startup period through an IPO. Earlier in his career, he worked at Yahoo after working as an equity research analyst for Sanford C. Bernstein and Citigroup Asset Management.

Allen received his BS in Economics from the Wharton School at the University of Pennsylvania and is a CFA charterholder.

Javier Soltero, Vice President & GM, G Suite, Google

Javier Soltero leads Google Cloud G Suite and is responsible for growing the productivity and collaboration solutions for both enterprise and consumer users. Most recently Soltero served as Corporate Vice President at Microsoft, where he held leadership positions for products including Outlook, Office and Cortana. Soltero joined Microsoft ​in 2014 as part of the acquisition of Acompli, a mobile email startup he co-founded and led as CEO. As part of the acquisition, Acompli was launched as Outlook Mobile and has become one of Microsoft’s most successful products in use by over a hundred million people around the world. Prior to starting Acompli, Javier held senior leadership positions at VMware where he joined after the acquisition of his first company Hyperic. Before Hyperic, Javier held chief architect and senior engineering positions at a number of enterprise software and consumer internet companies including Netscape, where he worked on early internet messaging, application server and e-commerce technologies. Originally from Puerto Rico, Javier attended Carnegie Mellon University and currently lives in the San Francisco Bay Area.

10:40 AM – 11:20 AM

BREAKOUTS (Rotation 1 - all breakouts will repeat at 12:25pm)

Data Procurement, Big Data, Cloud, Operations, Machine Learning and AI

Session 1: Navigating the Regulatory Intersection of Data Procurement, Web Scraping, MNPI and Insider Trading Compliance

Moderated By:

Steve Metzger, Managing Director, Associate General Counsel, Two Sigma Investments, LP

Steve H. Metzger is Managing Director, Associate General Counsel of Two Sigma Investments, LP, an investment manager specializing in algorithmic investing across a broad range of asset classes and countries. Two Sigma and its affiliates currently manage private funds and accounts with over $59 billion in assets under management. Mr. Metzger is responsible for many of the firm’s legal, regulatory and compliance matters. He supervises a team of attorneys who handle data, research, trading, securities and regulatory matters across the firm. Mr. Metzger joined Two Sigma in February 2008.

Prior to joining Two Sigma, Mr. Metzger was an associate in the Investment Management Group of Schulte Roth & Zabel LLP, a New York City-headquartered law firm with an industry-leading hedge fund and private equity fund practice. At Schulte Roth, Mr. Metzger specialized in the formation and structuring of hedge funds and private equity funds, represented registered and unregistered investment advisers, advised clients on regulatory matters, prepared SEC and CFTC filings, and provided overall corporate and securities advice.

Mr. Metzger graduated magna cum laude from Tufts University in 2002 with a B.A. in Political Science and American Studies. In 2005, Mr. Metzger earned a J.D. from Hofstra University School of Law, where he was an editor on the Law Review.

Panelists:

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

Peter Altman represents investment management firms, private and public companies, and individuals in white collar and other government enforcement and regulatory matters, securities class litigation and internal investigations. He also advises investment advisers on day-to-day risk management issues related to topics including securities trading, compliance with the Investment Advisers Act, and the use of big data and alternative forms of electronic communication.

Peter’s experience serving at the SEC provides him with a deep familiarity of the federal securities and commodities laws and the processes of the SEC. He routinely provides advice in investigations and enforcement proceedings involving issues including alleged insider trading and other trading-related matters, and disclosure-related and regulatory compliance issues, including broker-dealer and advertising-related regulations. He also represents multiple clients in government enforcement matters involving cryptocurrencies and initial coin offerings, closely tracking the regulatory trajectory of this quickly evolving field.

Caitlin Farrell-Starbuck, Global Chief Compliance Officer, ExodusPoint Capital Management, LP

Caitlin Farrell-Starbuck is the Global Chief Compliance Officer at ExodusPoint Capital Management LLP. Caitlin joined ExodusPoint in 2018.  Prior to joining ExodusPoint, she was the Global Head of Compliance for AHL Partners, LLP for Man Group plc based in London. Prior to joining Man Group in 2015, Caitlin was the Head of Research and Trading Compliance for Two Sigma Investments, LLC in New York.  She began her career in financial services at Lek Securities Corp.  Caitlin earned a Bachelor of Arts degree in Political Science from American University.

Mark Polemeni, Partner, Chief Compliance Officer and Chief Regulatory Counsel, Perella Weinberg Partners

Mark Polemeni is Chief Compliance Officer, Chief Regulatory Counsel and Partner at Perella Weinberg Partners. Mr. Polemeni is responsible for overseeing the Firm’s compliance programs globally, and managing all regulatory matters globally that impact the Firm.
Mark has more than 20 years of compliance experience in the investment industry. Prior to joining PWP in 2017, Mr. Polemeni was Chief Compliance Officer at Citadel, LLC, where he managed its asset management compliance program globally. Prior to joining Citadel in 2011, he was the Chief Legal and Chief Compliance Officer for Odyssey Investment Management and earlier for Alexandra Investment Management.
Mr. Polemeni was named one of the “20 Rising Stars of Compliance” throughout the United States and the United Kingdom in the 2007 edition of Institutional Investor News. He is a Steering Committee member of the Managed Funds Association’s Investment Adviser Committee, and a member of the Speaking Faculty of the Regulatory Compliance Association. Mr. Polemeni earned Bachelor of Arts and Juris Doctor degrees from Georgetown University.

Session 2: Big Data Update: Emerging Trends, Processing and Monetization

Moderated By:

Chris Beels, Co-Chief Technology Officer, GoldenTree Asset Management

Chris Beels is Co-CTO of GoldenTree Asset Management and manages Applications and Data for the firm.  Chris joined GoldenTree in 2011 and has led the Data Warehousing, Regulatory Reporting, and other data-centric initiatives at the firm.  He has been at GoldenTree since 2011.  Chris is an active member of the AITEC group of Asset Management technology executives and a regular judge of the HFM Hedge Fund Technology Awards.

Chris has over 20 years of experience in managing financial systems and IT teams.  Prior to GoldenTree, he was a Director in the Fixed Income Systems group at Millennium Management and one of the founding employees of RiskMetrics.  Chris holds a BA in Economics from Stanford University and is a CFA Charterholder.

Panelists:

Bryan Dougherty, Head of Technology, Arcesium LLC

Bryan Dougherty is a Managing Director and the Head of Technology for Arcesium, overseeing platform development, infrastructure, and security.

Prior to the formation of Arcesium, Bryan was Head of Middle and Back Office Technology at the D. E. Shaw group for nine years.

Bryan started his career at Random Walk Computing, a technology consultancy focused on the capital markets where he worked on a variety of projects for exchanges / marketplaces, investment banks, and hedge funds. He received a bachelor’s in computer science from Carnegie Mellon University.

Jeffrey D. Neuburger, Partner, Proskauer

Jeff Neuburger is a Partner at Proskauer Rose, where he serves as co-head of the Technology, Media & Telecommunications Group and a member of the Privacy & Cybersecurity Group. He  works with a variety of asset managers in a wide range of matters associated with technology, intellectual property and privacy, including the utilization of emerging technology and the data it generates.  Among other things, Jeff works with many hedge fund managers on alternative data matters, including building policies relating to alternative data, and gets involved in diligence of data providers as well as contract negotiations with those providers. He also represents many organizations in large infrastructure-related projects, such as cloud-based services arrangements, technology acquisitions,  and other complex services agreements.

Prior to practicing law, Jeff began his career working in the information technology field for GE Capital. His undergraduate degree is in computer science and applied mathematics.  Jeff is an Adjunct Professor at Fordham University School of Law teaching E-Commerce Law, and is co-author of two books, Doing Business on the Internet and Emerging Technologies and the Law and is co-editor of a blog that addesses many of these issues, Proskauer’s Technology and New Media blog,  https://newmedialaw.proskauer.com/

Lancelot Comrie, Managing Director, Global Head of Systematic Advisory Sales, Morgan Stanley

Lancelot Comrie is a Managing Director in Morgan Stanley’s Institutional Securities Division.

Lancelot is the global head of Systematic Advisory Sales (SAS) which includes the marketing, sales and distribution of Morgan Stanley’s Quantitative Assets (MSQA). MSQA is Morgan Stanley’s toolkit of content, solutions and services that enables and enhances our clients’ investment strategy, security selection, portfolio analytics & construction, trade implementation and risk management.

Prior to Lancelot’s current role based in NY, he held a variety of roles in Morgan Stanley London & Japan, including spearheading our Electronic Trading and Hedge Fund startup teams. Lancelot received his BSc in Electrical Engineering from Rensselaer Polytechnic Institute (RPI) and is a Chartered Engineer and Fellow at the IET.

Session 3: Modern Cloud Adoption: Deriving Enterprise Value from Managed Services

Moderated By:

Ross Levinsky, Chief Technology Officer, HBK Capital Management

Ross Levinsky has been associated with HBK since 2014 and is a Managing Director. Ross serves as HBK’s Chief Technology Officer, with responsibility for software development and IT infrastructure. From 2011 to 2014, Ross was a Managing Director at Goldman, Sachs & Co., responsible for the electronic trading of credit. Prior to that, Ross held technical and managerial positions at Google, Bridgewater Associates and D.E. Shaw. Ross received a B.S. in Aeronautics and Astronautics (1989), M.S. in Mechanical Engineering (1992) and a Ph.D. in Mechanical Engineering (1995), all from Massachusetts Institute of Technology.

Panelists:

Philip Brittan, Chief Executive Officer, Crux Informatics

Philip Brittan is the founder and CEO of Crux Informatics, Inc., helping companies simplify their data delivery.  He has over 30 years experience as a technology and business leader, primarily in FinTech. In addition to founding four start-ups, he served as CTO and Global Head of Platform for Thomson Reuters’ Financial & Risk division, headed up Google Finance, and ran Bloomberg’s foreign exchange business. Philip grew up on a ranch in Montana, holds a degree in Computer Science from Harvard, and loves making music and spending time outdoors.

Rajiv Garg, Chief Technology Officer, Laurion Capital Management

Rajiv Garg is the CTO of Laurion Capital Management, where he is responsible for the firm’s technology infrastructure. He has over 20 years of experience as a hedge fund technologist, including roles at Highbridge Capital Management, where he managed the technology infrastructure of Highbridge’s Hong Kong and Tokyo offices, and D.E. Shaw, where he started his career as a Systems Engineer. Rajiv graduated from the Management and Technology Program at the University of Pennslyvania with a BS in Biomedical Engineering and a BS in Economics.

Matt Rathbun, Chief Security Officer, Two Sigma Investments, LP

Matt Rathbun serves as Chief Security Officer (CSO) for Two Sigma. In his capacity as CSO, Matt oversees a team charged with protecting the company against technical and physical threats to its global infrastructure. Previously, he worked at Microsoft as the Chief Security Officer for Azure Global where he was responsible for security strategy and implementation across the full suite of Azure products and services globally. Before Microsoft, Matt worked in leadership roles at First Information Technology Services and at the Bank of Washington. Matt holds a Bachelors of Science in Political Science from Kansas State University

Stephen Stryker, Chief Technology Officer, Värde Partners

Session 4: How Managers are Streamlining Operations, Managing 3rd Party Risk, Multiple Data Providers and Vendor Relationships 

Moderated By:

Alfonso Restivo, Head of Information Security, Magnetar Capital LLC

Al Restivo is the head of Information Security at Magnetar Capital, a leading alternative asset manager based in Evanston, Ill.

Al oversees all firm information security initiatives and is responsible for human awareness training, cybersecurity risk management, incident response, security operations and third party vendor risk assessment.

Prior to joining Magnetar more than a decade ago, Al worked at Citadel Investment Group, where he focused on large scale systems automation, configuration and security.

Al earned a Bachelor of Science degree in Networking Communications Management from DeVry University. He is ISC2 CISSP certified and is a member of AITEC and the Financial Services Information Sharing and Analysis Center (FS-ISAC).

Panelists:

Miranda Broderick, Vice President and Head of Data Research and Operations, Tudor Investment Corporation

Scott H. Moss, Partner, Co-chair, Fund Regulatory and 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

Eric Levin, Chief Technology Officer, GCM Grosvenor

Mr. Levin serves as the firm’s Chief Technology Officer. He is responsible for overseeing the strategic implementation of technology and information systems for the firm. Prior to joining GCM Grosvenor, Mr. Levin spent 13 years at PEAK6 Investments, most recently serving as Chief Information Officer of Apex Clearing, PEAK6’s clearing, custody and execution business. He was also an Operating Principal on the firm’s Strategic Capital team and served on the Investment Committee which was responsible for strategic investments made across financial services, technology services, and FinTech. He joined PEAK6 as Chief Security Officer and also served as the IT Director for several years. Previously, Mr. Levin led product management at Qualys, Inc. He began his career at Deloitte Touche Tohmatsu where he was a member of the Global Information Security Office. Mr. Levin received his Bachelor of Science in Management Information Systems from Miami University. He serves as a member of the Advisory Board of the Information System and Analytics Department of Miami University.

11:20 AM - 11:50 AM

Virtual Coffee Break and Live Demos

11:50 AM - 12:20 PM

KEYNOTE

Regulatory Update on Alternative Data Management and a Look Ahead at Washington’s Data Initiatives

Keynote:

S.P. Kothari, Chief Economist and Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission

S.P. Kothari was named the Chief Economist and Director of the Division of Economic and Risk Analysis (DERA) in March 2019. In this role, he oversees economists, data scientists, and other professionals who provide financial economics and data science in support of the SEC’s mission.

Dr. Kothari joined the SEC from the Sloan School of Management at the Massachusetts Institute of Technology (MIT), where he was a professor of accounting and finance and a former Deputy Dean.

Dr. Kothari spent nearly two decades at MIT, both as a professor and as an administrator. His research interests include financial reporting, valuation, asset allocation, international accounting practices, executive compensation, investment performance, and derivatives.

Dr. Kothari has served as the Co-Chair of the Board of Governors Asia School of Business, Kuala Lumpur, faculty director of the MIT-India Program, and editor of the academic publication Journal of Accounting & Economics. In 2008, he served as global head of equity research for Barclays Global Investors, where he was responsible for research supporting the firm’s active equity strategies and for managing a team of approximately 50 PhDs based around the world.

Dr. Kothari received his B.S. in Engineering from the Birla Institute of Technology & Science and his MBA from the Indian Institute of Management. Dr. Kothari earned his PhD from the University of Iowa.

Interviewed By:

Robert G. Leonard, Partner, Proskauer

Robert G. Leonard is a partner in the Hedge Funds Group at Proskauer. For more than 25 years Rob has been structuring, organizing and representing hedge funds, funds of funds and other private investment funds (both domestic and offshore) and investment advisers. He has structured and organized numerous master-feeder, side-by-side and mini-master-feeder funds for hedge fund managers engaged in myriad strategies, including long/short equity, multi-strat, credit, distressed credit, mortgage-backed securities, risk arb, emerging markets, global macro, stat arb, relative value and event driven.

Rob has advised managers on seed deals, founder’s classes, funds of one and placement agreements and develops innovative ways of building asset bases. He also has worked with managers on bringing in and retaining talent through structuring employment, “phantom” equity and true equity arrangements.

Rob has handled a variety of regulatory and other compliance matters, including registrations with the SEC, CFTC and state regulators, filing Form PF and filings with the Treasury Department and Bureau of Economic Analysis. In addition, he works on SEC and other regulatory examinations and investigations, as well as investor and third-party actions.

 

 

12:25 PM - 1:05 PM

BREAKOUTS REPEAT

Data Procurement, Big Data, Cloud, Operations, Machine Learning and AI

Session 1: Navigating the Regulatory Intersection of Data Procurement, Web Scraping, MNPI and Insider Trading Compliance

Moderated By:

Steve Metzger, Managing Director, Associate General Counsel, Two Sigma Investments, LP

Steve H. Metzger is Managing Director, Associate General Counsel of Two Sigma Investments, LP, an investment manager specializing in algorithmic investing across a broad range of asset classes and countries. Two Sigma and its affiliates currently manage private funds and accounts with over $59 billion in assets under management. Mr. Metzger is responsible for many of the firm’s legal, regulatory and compliance matters. He supervises a team of attorneys who handle data, research, trading, securities and regulatory matters across the firm. Mr. Metzger joined Two Sigma in February 2008.

Prior to joining Two Sigma, Mr. Metzger was an associate in the Investment Management Group of Schulte Roth & Zabel LLP, a New York City-headquartered law firm with an industry-leading hedge fund and private equity fund practice. At Schulte Roth, Mr. Metzger specialized in the formation and structuring of hedge funds and private equity funds, represented registered and unregistered investment advisers, advised clients on regulatory matters, prepared SEC and CFTC filings, and provided overall corporate and securities advice.

Mr. Metzger graduated magna cum laude from Tufts University in 2002 with a B.A. in Political Science and American Studies. In 2005, Mr. Metzger earned a J.D. from Hofstra University School of Law, where he was an editor on the Law Review.

Panelists:

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

Peter Altman represents investment management firms, private and public companies, and individuals in white collar and other government enforcement and regulatory matters, securities class litigation and internal investigations. He also advises investment advisers on day-to-day risk management issues related to topics including securities trading, compliance with the Investment Advisers Act, and the use of big data and alternative forms of electronic communication.

Peter’s experience serving at the SEC provides him with a deep familiarity of the federal securities and commodities laws and the processes of the SEC. He routinely provides advice in investigations and enforcement proceedings involving issues including alleged insider trading and other trading-related matters, and disclosure-related and regulatory compliance issues, including broker-dealer and advertising-related regulations. He also represents multiple clients in government enforcement matters involving cryptocurrencies and initial coin offerings, closely tracking the regulatory trajectory of this quickly evolving field.

Caitlin Farrell-Starbuck, Global Chief Compliance Officer, ExodusPoint Capital Management, LP

Caitlin Farrell-Starbuck is the Global Chief Compliance Officer at ExodusPoint Capital Management LLP. Caitlin joined ExodusPoint in 2018.  Prior to joining ExodusPoint, she was the Global Head of Compliance for AHL Partners, LLP for Man Group plc based in London. Prior to joining Man Group in 2015, Caitlin was the Head of Research and Trading Compliance for Two Sigma Investments, LLC in New York.  She began her career in financial services at Lek Securities Corp.  Caitlin earned a Bachelor of Arts degree in Political Science from American University.

Mark Polemeni, Partner, Chief Compliance Officer and Chief Regulatory Counsel, Perella Weinberg Partners

Mark Polemeni is Chief Compliance Officer, Chief Regulatory Counsel and Partner at Perella Weinberg Partners. Mr. Polemeni is responsible for overseeing the Firm’s compliance programs globally, and managing all regulatory matters globally that impact the Firm.
Mark has more than 20 years of compliance experience in the investment industry. Prior to joining PWP in 2017, Mr. Polemeni was Chief Compliance Officer at Citadel, LLC, where he managed its asset management compliance program globally. Prior to joining Citadel in 2011, he was the Chief Legal and Chief Compliance Officer for Odyssey Investment Management and earlier for Alexandra Investment Management.
Mr. Polemeni was named one of the “20 Rising Stars of Compliance” throughout the United States and the United Kingdom in the 2007 edition of Institutional Investor News. He is a Steering Committee member of the Managed Funds Association’s Investment Adviser Committee, and a member of the Speaking Faculty of the Regulatory Compliance Association. Mr. Polemeni earned Bachelor of Arts and Juris Doctor degrees from Georgetown University.

Session 2: Big Data Update: Emerging Trends, Processing and Monetization

Moderated By:

Chris Beels, Co-Chief Technology Officer, GoldenTree Asset Management

Chris Beels is Co-CTO of GoldenTree Asset Management and manages Applications and Data for the firm.  Chris joined GoldenTree in 2011 and has led the Data Warehousing, Regulatory Reporting, and other data-centric initiatives at the firm.  He has been at GoldenTree since 2011.  Chris is an active member of the AITEC group of Asset Management technology executives and a regular judge of the HFM Hedge Fund Technology Awards.

Chris has over 20 years of experience in managing financial systems and IT teams.  Prior to GoldenTree, he was a Director in the Fixed Income Systems group at Millennium Management and one of the founding employees of RiskMetrics.  Chris holds a BA in Economics from Stanford University and is a CFA Charterholder.

Panelists:

Lancelot Comrie, Managing Director, Global Head of Systematic Advisory Sales, Morgan Stanley

Lancelot Comrie is a Managing Director in Morgan Stanley’s Institutional Securities Division.

Lancelot is the global head of Systematic Advisory Sales (SAS) which includes the marketing, sales and distribution of Morgan Stanley’s Quantitative Assets (MSQA). MSQA is Morgan Stanley’s toolkit of content, solutions and services that enables and enhances our clients’ investment strategy, security selection, portfolio analytics & construction, trade implementation and risk management.

Prior to Lancelot’s current role based in NY, he held a variety of roles in Morgan Stanley London & Japan, including spearheading our Electronic Trading and Hedge Fund startup teams. Lancelot received his BSc in Electrical Engineering from Rensselaer Polytechnic Institute (RPI) and is a Chartered Engineer and Fellow at the IET.

Bryan Dougherty, Head of Technology, Arcesium LLC

Bryan Dougherty is a Managing Director and the Head of Technology for Arcesium, overseeing platform development, infrastructure, and security.

Prior to the formation of Arcesium, Bryan was Head of Middle and Back Office Technology at the D. E. Shaw group for nine years.

Bryan started his career at Random Walk Computing, a technology consultancy focused on the capital markets where he worked on a variety of projects for exchanges / marketplaces, investment banks, and hedge funds. He received a bachelor’s in computer science from Carnegie Mellon University.

Jeffrey D. Neuburger, Partner, Proskauer

Jeff Neuburger is a Partner at Proskauer Rose, where he serves as co-head of the Technology, Media & Telecommunications Group and a member of the Privacy & Cybersecurity Group. He  works with a variety of asset managers in a wide range of matters associated with technology, intellectual property and privacy, including the utilization of emerging technology and the data it generates.  Among other things, Jeff works with many hedge fund managers on alternative data matters, including building policies relating to alternative data, and gets involved in diligence of data providers as well as contract negotiations with those providers. He also represents many organizations in large infrastructure-related projects, such as cloud-based services arrangements, technology acquisitions,  and other complex services agreements.

Prior to practicing law, Jeff began his career working in the information technology field for GE Capital. His undergraduate degree is in computer science and applied mathematics.  Jeff is an Adjunct Professor at Fordham University School of Law teaching E-Commerce Law, and is co-author of two books, Doing Business on the Internet and Emerging Technologies and the Law and is co-editor of a blog that addesses many of these issues, Proskauer’s Technology and New Media blog,  https://newmedialaw.proskauer.com/

Session 3: Modern Cloud Adoption: Deriving Enterprise Value from Managed Services

Moderated By:

Ross Levinsky, Chief Technology Officer, HBK Capital Management

Ross Levinsky has been associated with HBK since 2014 and is a Managing Director. Ross serves as HBK’s Chief Technology Officer, with responsibility for software development and IT infrastructure. From 2011 to 2014, Ross was a Managing Director at Goldman, Sachs & Co., responsible for the electronic trading of credit. Prior to that, Ross held technical and managerial positions at Google, Bridgewater Associates and D.E. Shaw. Ross received a B.S. in Aeronautics and Astronautics (1989), M.S. in Mechanical Engineering (1992) and a Ph.D. in Mechanical Engineering (1995), all from Massachusetts Institute of Technology.

Panelists:

Philip Brittan, Chief Executive Officer, Crux Informatics

Philip Brittan is the founder and CEO of Crux Informatics, Inc., helping companies simplify their data delivery.  He has over 30 years experience as a technology and business leader, primarily in FinTech. In addition to founding four start-ups, he served as CTO and Global Head of Platform for Thomson Reuters’ Financial & Risk division, headed up Google Finance, and ran Bloomberg’s foreign exchange business. Philip grew up on a ranch in Montana, holds a degree in Computer Science from Harvard, and loves making music and spending time outdoors.

Rajiv Garg, Chief Technology Officer, Laurion Capital Management

Rajiv Garg is the CTO of Laurion Capital Management, where he is responsible for the firm’s technology infrastructure. He has over 20 years of experience as a hedge fund technologist, including roles at Highbridge Capital Management, where he managed the technology infrastructure of Highbridge’s Hong Kong and Tokyo offices, and D.E. Shaw, where he started his career as a Systems Engineer. Rajiv graduated from the Management and Technology Program at the University of Pennslyvania with a BS in Biomedical Engineering and a BS in Economics.

Matt Rathbun, Chief Security Officer, Two Sigma Investments, LP

Matt Rathbun serves as Chief Security Officer (CSO) for Two Sigma. In his capacity as CSO, Matt oversees a team charged with protecting the company against technical and physical threats to its global infrastructure. Previously, he worked at Microsoft as the Chief Security Officer for Azure Global where he was responsible for security strategy and implementation across the full suite of Azure products and services globally. Before Microsoft, Matt worked in leadership roles at First Information Technology Services and at the Bank of Washington. Matt holds a Bachelors of Science in Political Science from Kansas State University

Stephen Stryker, Chief Technology Officer, Värde Partners

Session 4: How Managers are Streamlining Operations, Managing 3rd Party Risk, Multiple Data Providers and Vendor Relationships 

Moderated By:

Alfonso Restivo, Head of Information Security, Magnetar Capital LLC

Al Restivo is the head of Information Security at Magnetar Capital, a leading alternative asset manager based in Evanston, Ill.

Al oversees all firm information security initiatives and is responsible for human awareness training, cybersecurity risk management, incident response, security operations and third party vendor risk assessment.

Prior to joining Magnetar more than a decade ago, Al worked at Citadel Investment Group, where he focused on large scale systems automation, configuration and security.

Al earned a Bachelor of Science degree in Networking Communications Management from DeVry University. He is ISC2 CISSP certified and is a member of AITEC and the Financial Services Information Sharing and Analysis Center (FS-ISAC).

Panelists:

Miranda Broderick, Vice President and Head of Data Research and Operations, Tudor Investment Corporation

Scott H. Moss, Partner, Co-chair, Fund Regulatory and 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

Eric Levin, Chief Technology Officer, GCM Grosvenor

Mr. Levin serves as the firm’s Chief Technology Officer. He is responsible for overseeing the strategic implementation of technology and information systems for the firm. Prior to joining GCM Grosvenor, Mr. Levin spent 13 years at PEAK6 Investments, most recently serving as Chief Information Officer of Apex Clearing, PEAK6’s clearing, custody and execution business. He was also an Operating Principal on the firm’s Strategic Capital team and served on the Investment Committee which was responsible for strategic investments made across financial services, technology services, and FinTech. He joined PEAK6 as Chief Security Officer and also served as the IT Director for several years. Previously, Mr. Levin led product management at Qualys, Inc. He began his career at Deloitte Touche Tohmatsu where he was a member of the Global Information Security Office. Mr. Levin received his Bachelor of Science in Management Information Systems from Miami University. He serves as a member of the Advisory Board of the Information System and Analytics Department of Miami University.

1:05 PM

Day 2 Closing Remarks

9:45 AM - 10:00 AM

Welcome Remarks

Bryan N. Corbett, President & Chief Executive Officer, Managed Funds Association

Bryan Corbett is MFA’s President and CEO. He is a veteran of Washington and Wall Street. For the past 12 years, he was a senior executive at The Carlyle Group, most recently as Managing Director in the Corporate Private Equity segment and Head of the firm’s OneCarlyle Global Investment Resources Group. In this role, Mr. Corbett and his team provided strategic and operational support to investment teams and portfolio companies across segments.

For the first half of his Carlyle tenure, Mr. Corbett managed U.S. government and regulatory issues affecting Carlyle, its investments and the industry. In this role, he developed legislative and regulatory strategies relating to all of Carlyle’s business segments, including private equity, credit and real estate. In addition to serving on the boards of several Carlyle portfolio companies, Mr. Corbett started the firm’s global corporate citizenship program focused on responsible investing, published Carlyle’s inaugural corporate citizenship report, and started the firm’s initiative to recruit and place diverse individuals on portfolio company boards in the U.S.

Prior to joining Carlyle, Mr. Corbett served in the George W. Bush Administration as a Special Assistant to the President for Economic Policy and as the Senior Advisor to Deputy Secretary Robert Kimmitt at the Treasury Department. He also served as Majority Counsel on the Senate Banking Committee.

Mr. Corbett earned his JD from George Washington University Law School, where he was editor-in-chief of the George Washington Law Review, and earned his BA from University of Notre Dame.

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

D. Brooke Harlow is the Managed Funds Association’s Chief Commercial Officer. Brooke is responsible for strategy and execution of the Association’s education and business development 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 public affairs 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.

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 and served as its spokesperson.

Prior to joining Highbridge, Brooke was a Vice President of Investment Bank Marketing and Communications at J.P.Morgan 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 also was a senior associate at Burson-Marsteller in Washington, D.C., and also worked at CNN serving as a field producer in the Washington, D.C. and Mexico City bureaus.

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 and a Board Member of Surgeons OverSeas and the Women’s Board of the Boys Club of New York. She is also an advisor to the Center for Public Leadership the John F. Kennedy School of Government at Harvard University.

 

10:00 AM - 10:35 AM

KEYNOTE

Bridging the Data Acquisition and Management Gap Between the Public and Private Sectors: A Look at Future Investments in the Federal Government’s Data Infrastructure 

Moderator:

Lee Stephens, Executive Vice President, Global Client Management, BNY Mellon

Lee Stephens currently leads BNY Mellon’s strategic business development efforts with U.S. public sector clients, including the Federal government and its, departments, agencies and government-sponsored enterprises. As a member of the U.S. Client Management leadership team, he is responsible for ensuring that business solutions from across the BNY Mellon enterprise are delivered to clients and prospects in the sector.

He assumed his current responsibilities in June 2010 after returning from a posting in the BNY Mellon’s Hong Kong offices where he served as Chief Administrative Officer for the Asia Pacific Region since October 2008. There he oversaw the build-out of shared-services and infrastructure in the region, which is comprised of sixteen offices in twelve countries. His duties included coordinating the application of consistent policy and practice in the Finance, Human Resources, Information Technology, Corporate Communications, Risk Management & Compliance, Marketing and Legal disciplines serving the country offices and lines of business represented in the region.

Prior to October 2008, Lee managed the BNY Mellon’s Public Sector Banking practice, which included client management and public finance activities for U.S. – based tax exempt institutions. His executive duties included oversight of the sales, marketing, corporate finance and relationship management functions directed towards public funds, government agencies and other municipalities, endowments, foundations and nonprofit hospital/healthcare entities.  Prior to that role, Lee held successive senior managerial positions in the National Government Banking, Fund Managers, Mutual Funds and Securities Industries divisions of the Bank.

Lee has 38 years of commercial banking and securities industry experience.  He joined The Bank of New York in 1990. Before joining BNY Mellon, Lee served in senior official positions with Continental Illinois Bank and Chemical Bank, where his experiences included deployments in Taxable Fixed Income Securities Sales & Trading, as well as Corporate Banking.

Lee received his M.B.A. degree in Finance in 1997 from the Wharton School of the University of Pennsylvania, and his undergraduate degree from Morehouse College in 1981. Lee currently serves as the Chairman of the Advisory Board of the Johns Hopkins University, Center for Talented Youth.  He also serves as Chairman of the Africa Institutional Investors Advisory Council of the NASP – USAID Investment Partnership. Lee is a member of the national Board of Trustees for National Association of Securities Professionals (NASP), as well as the Board of the NASP New York Chapter.  Lee also serves on the Board (as Treasurer) of the Friends of Seamen’s Society for Children and Families on Staten Island, New York. He is a former board member of the Lower Eastside Service Center, Inc. (a nonprofit community service organization serving lower Manhattan) and The Seamen’s Society for Children and Families.

Panelists:

Patrick Corrigan, Senior Advisor, U.S. Office of Management and Budget (OMB)

Patrick Corrigan is a Senior Advisor at the Office of Management and Budget (OMB) focusing on the Office of Federal Financial Management.

Prior to joining OMB, Patrick worked for over 25 years at large international investment banks (i.e. Bankers Trust, Deutsche Bank and Barclays Investment Bank) in a variety of roles within Operations, Trading and Risk.  Most recently, he was the Chief Operating Officer / Business Manager for the US Rates business at Barclays Investment Bank.

Prior to his Investment Banking experience, Patrick was an Auditor with Ernst & Young where he audited the New York City Housing Authority and a variety of financial services companies.

Patrick is a graduate of the Isenberg School of Management at the University of Massachusetts, Amherst where he was the President of Beta Alpha Psi (Honor Society for Accounting, Finance and Information Systems Students). He is a Certified Public Accountant, Chartered Financial Analyst and Certified Financial Planner™ as well as a member of the American Institute of Certified Public Accountants.

When he is not in Washington, DC, Patrick resides with his wife and four children in Garden City, NY.  Patrick likes to spend his free time volunteering as a youth sports coach in Garden City and is an Honorary Usher at St. Patrick’s Cathedral in New York City.

Justin Marsico, Chief Data Officer and Deputy Assistant Commissioner, Bureau of the Fiscal Service, U.S. Department of the Treasury

Justin Marsico is the chief data officer for the Fiscal Service, where he is working to modernize the bureau’s management of data, including data governance and analytics. Justin also oversees the Fiscal Service’s provision of data to the public, including on USAspending.gov. In a previous role at Fiscal, Justin created the federal spending website called the Data Lab, as well as a new team dedicated to conducting enterprise-wide analytics. Before Justin joined the Fiscal Service, he served as a senior advisor in Inspector General’s office at the Department of Commerce, where he investigated ethics matters and employee misconduct. In addition, Justin worked as an analyst at the Consumer Financial Protection Bureau and previously at Treasury as an international economist. Justin holds Masters Degrees from the University of Michigan in applied economics and public policy.

Natalie Rico, Senior Policy Analyst, U.S. Office of Management and Budget (OMB)

Natalie Rico is a Policy Analyst with the Office of Federal Financial Management at OMB. She contributes to government-wide initiatives to improve federal financial policies, processes, and systems. Specifically, Natalie supports government-wide financial data transformation and transparency efforts. In this role, she engages federal and non-federal stakeholders on key issues to foster a more efficient and effective federal management.

10:40 AM – 11:20 AM

BREAKOUTS (Rotation 1 - all breakouts will repeat at 12:25pm)

Cybersecurity, Operational, Data Management, BCP and Remote Data Centers Best Practices Post COVID-19

Session 1: Cybersecurity, Information Security and Privacy Post COVID-19

Moderated By:

Greg Shub, Head of Infrastructure and Information Security, Moore Capital Management

Panelists:

Cary Goldstein, Chief Technologist and Security Officer, Empyrean Capital Partners

Cary Goldstein has 25 years of experience in the global financial technology sector, with experience in the implementation of mission critical infrastructure, portfolio management tools, trading systems, and cybersecurity.  Mr. Goldstein joined Empyrean as Chief Technologist and Security Officer in 2015.  Prior to joining Empyrean, Mr. Goldstein worked as a Managing Director at ConceptONE, LLC, delivering risk and regulatory reporting solutions to alternative investment managers, and as a Director of the Prime Brokerage Hedge Fund Consulting team at Bank of America Merrill Lynch.  Mr. Goldstein also worked for Goldman Sachs from 1998-2005 where he was the Head of IT for the Principal Strategies (GSPS) desk. Mr. Goldstein earned his BS in Business Administration from Washington University in St. Louis in 1995, his Master of Science in Information Systems from New York University in 2001, and a Certificate in Advanced Computer Security from Stanford University in 2015.

John Prendergast, Head of Infrastructure, Viking Global Investors LP

Mr. Prendergast is the Head of Infrastructure at Viking Global Investors, responsible for all technology and security operations. Prior to Viking, Mr. Prendergast was the Co-Chief Technology Officer for Fort LP from 2017-2019 and Co-Chief Technology Officer for Eton Park Capital Managament from 2005 to 2016. Mr. Prendergast has also held IT leadership roles at Andor Capital and Pequot Capital. Mr. Prendergast received his BA in Communications from Fordham University.

Leonid Vayner, Chief Information Security Officer, Elliott Management Corporation

Leonid Vayner is the Chief Information Security Officer of Elliott Management Corporation. Mr. Vayner is responsible for all aspects of Cybersecurity, Technology Risk Management, and Business Resiliency. Prior to joining Elliott in June 2018, he held various cybersecurity management roles during his eight years at Morgan Stanley where he was responsible for establishing and improving Insider Threat, Vulnerability Management, IT Asset Management, Configuration Management, and Data Governance capabilities. Mr. Vayner holds a B.S. in Computer Science from NYU Tandon School of Engineering and an M.B.A. in Strategic Management from Pace University, industry certifications from ISC2 (CISSP) and ISACA (CISM and CRISC), and several patents.

Session 2: Cultural and Operational Changes Driven by Productivity Tools and Applications in the Work from Home Environment

Moderated By:

Daphne Chester, 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.

Panelists:

Ian Clark, Managing Director, Chief Technology Officer, York Capital Management

Ian joined York Capital Management in May 2019 and is a Managing Director and the Chief Technology Officer.  Prior to joining York Capital, Ian worked at Och-Ziff Capital Management, most recently as the IT Chief Operating Officer & Chief Technology Officer.  Previously, he was the Chief Technology Officer at Bain Capital.  Ian received a Diploma in Telecommunications from Army Apprentice College, UK and an M.S. in Information Security from Royal Holloway, University of London.

Bryant Morse, US Head of Business Consulting Services, UBS Securities LLC

Bryant Morse is currently the US Head of Business Consulting Services at UBS.  Most recently, Bryant was Chief Technology Officer at Kingdon Capital where as a member of the Operating Committee, he was responsible for the firm’s Technology vision with oversight of Infrastructure, Cybersecurity, Enterprise Data and Application Development. Previously, Bryant was Chief Information Officer for two separate start up hedge funds, Nexus Asset Management (Global Energy/Utilities) and Tourmalet Advisors (Global L/S Equity). He also spent nine years as Senior Vice President at Pequot Capital, where he was the Head of Data Management.

Rob Newton, Global Head of Technology Infrastructure, Millennium Management LLC

Rob Newton is Global Head of Technology Infrastructure and is responsible for driving the strategic and tactical planning for the global Technology Infrastructure organization covering engineering, data centers, networks, cloud, compute, desktops, servers, telecommunications, and voice technologies.

Prior to joining Millennium in 2015, Rob was with VTB Capital as the London and International CIO, where he led teams across London and various international locations. Prior to VTB Capital, he worked at CIBC World Markets where he had global responsibility for derivatives technology, as well as heading up the Europe and Asia technology teams. Prior to CIBC, he worked at various international banks in technology.

Rob received a BA in European Business Studies from Brunel University.

Session 3: BCP Management, Changes and Lessons Learned

Moderated By:

William Hedden, Partner and Chief Operating Officer, Summit Rock Advisors

William Hedden is a partner and chief operating officer of Summit Rock Advisors. He oversees the firm’s non-investment operations including accounting, legal and compliance, reporting, technology, office management and human resources.  Bill also oversees the operational risk management function.

Bill previously held positions at Blackstone Alternative Asset Management involved in performing operational due diligence on hedge fund managers. He worked in New York and London and helped with manager negotiations, building out the infrastructures for seed investments and performing transactional due diligence for acquisitions.

Bill is a Certified Public Accountant and holds a Master of Science in Accounting from the University of Virginia and a Bachelor of Arts in Economics and Business from Lafayette College.

Panelists:

Bruce S. Darringer, Member and Chief Operating Officer, King Street Capital Management, L.P.

Bruce Darringer is a Member and Chief Operating Officer of King Street Capital Management and a member of the firm’s Management Committee.  Prior to joining King Street in 2003, Mr. Darringer worked for Goldman, Sachs & Co. as a Vice President in the Investment Banking Division, advising on mergers, acquisitions, divestitures and anti-raid and financing transactions.

Previously, Mr. Darringer had co-founded Integrity Capital Management, L.L.C., a global relative value hedge fund, as Principal, Chief Operating Officer and General Counsel, where he was responsible for all operational, legal, regulatory, tax and accounting aspects of the business, as well as investor relations. Mr. Darringer began his career as a corporate attorney for Cravath, Swaine & Moore, where he specialized in high yield underwriting transactions, derivatives and other corporate finance transactions.

Mr. Darringer received a J.D. magna cum laude from Harvard Law School in 1994, and a B.S. in Economics with a concentration in Finance summa cum laude from The Wharton School of Business at the University of Pennsylvania in 1991 (with a dual-degree B.A. from the School of Arts and Sciences).

Ilya Finkelshteyn, Chief Technology Officer, Abrams Capital

Oleg Olovyannikov, Chief Technology Officer, Elliott Management Corporation

Oleg Olovyannikov is the Chief Technology Officer of Elliott Management Corporation where he is responsible for all aspects of Technology of the firm, including Application Development, Infrastructure, Cyber Security, and Technical Operations. Oleg joined Elliott in August of 2016. Prior to joining Elliott, Oleg was the Chief Technology Officer and an equity partner at Tudor Investment Corporation, responsible for all aspects of technology, data, infrastructure, security, and governance. Prior to joining Tudor, Mr. Olovyannikov was the VP of Engineering at Cerberus Capital Management, where he was responsible for all aspects of corporate technology and security. Before joining Cerberus, Mr. Olovyannikov was the Director of High Frequency Trading Technology at the Citadel Investment Group in Chicago, where he was responsible for designing and building the infrastructure to support low-latency and high-frequency trading and market-making. Prior to his experience at Citadel, Mr. Olovyannikov was the CTO of Adirondack Electronic Markets, one of the earliest, all-electronic options market makers. Prior to AEM, Mr. Olovyannikov spent twelve years working at Deutsche Bank, J.P. Morgan, Pfizer, and AT&T Bell Laboratories in a variety of engineering and management roles. Oleg holds a B.S. in Electrical Engineering and an M.S. in Computer Science, both from NYU Tandon School of Engineering.

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.

Session 4: Managing and Growing Remote Data Centers in the Time of COVID-19

Moderated By:

Benjamin Kozinn, Partner, Investment Management Group, Lowenstein Sandler LLP

With more than 15 years of experience in the alternative investment industry–as Vice President & Associate General Counsel of Goldman, Sachs & Co., a Director of hedge fund consulting at Deutsche Bank, and, most recently, as General Counsel of Claren Road Asset Management LLC–Ben offers firsthand knowledge of the issues facing investors, funds, and their financing and derivative counterparties. New and existing funds benefit from his transactional and regulatory experience by providing them with the ability to dodge the pitfalls of a turbulent market and translate legal and regulatory challenges into opportunities.

As a legal advisor, Ben brings value to every stage of the fund life cycle. New managers seeking capital, particularly in the startup market, rely on his experience and insights with respect to structuring, fees, and capacity. He can help identify a fund’s objectives, minimizing risk through proactive counsel regarding the obstacles they are likely to face in today’s market.

Ben offers the comprehensive, practical perspective of a frontline lawyer who has navigated a wide array of issues. His experience includes fund formation and restructuring, counterparty risk and fund financing, separately managed accounts and funds-of-one, ERISA-based vehicles, management company acquisitions and dispositions, and numerous and complex compliance issues ranging from insider trading to SEC exams to difficult valuation and allocation issues. His experience on both the buy side and sell side provides clients a valuable edge as they search for opportunities in a rapidly evolving environment.

Panelists:

Joshua Beggs, Field CTO, Dell Technologies

Joshua Beggs is a strategic technology executive with a proven track record of leading digital transformation in the education, media, publishing and financial services verticals.  Josh has over 20 years of experience partnering closely with customer facing and back-office functions to implement efficient and secure enterprise technology solutions that enable business outcomes.

As a field CTO at Dell Technologies, Josh presents and markets the technical design and business value of proposed solutions, provides technical leadership and guidance on customers’ environments, and communicates business requirements back into Dell Technologies engineering and marketing organizations.

Prior to joining Dell Technologies, Josh served as SVP, Global Infrastructure and Operations for McGraw-Hill Education with responsibilities which included Architecture, Global Network Services, End User Computing, Database Services, Cybersecurity, Solutions Engineering, DevOps, and Global Operations.  Under Josh’s leadership, the team architected and implemented a digital strategy that migrated over 90% of the business applications to a multi cloud environment, increasing stability and availability, while reducing cost.  In addition, the team implanted a CI/CD pipeline to enable developers to reduce release intervals by months. During Josh’s 12-year tenure with McGraw-Hill he held various technology leadership roles including Storage Engineering and Operations and Solution Engineering.

Josh previously led EMC’s NY/NJ technical presales team responsible for driving top line revenue targets of >$250M.  Josh has also held various individual contributor roles with both AOL and NASA during his 20+ year technology career.

Josh is an active member of the Infrastructure Research Board, holds a B.S. from University of Delaware, and maintains his Certified Information Systems Security Professional (CISSP) certification.

Greg Fishbein, Head of Information Technology, Element Capital Management LLC

Mr. Fishbein joined Element in January 2013.  His primary responsibilities include managing the firm’s infrastructure, disaster recovery, cybersecurity, and technology vendors.

Prior to joining Element Capital, Mr. Fishbein was Director of IT at The Raine Group, a technology and media focused Investment Bank/Private Equity fund.  Mr. Fishbein also designed and built the infrastructure for Talpion Fund Management, a start-up hedge fund.  Prior to 2011, Mr. Fishbein spent 5 years at Glenview Capital Management, where he served as infrastructure manager overseeing Glenview trading and operations technology.

Mr. Fishbein holds an M.B.A and a B.S. in Computer Science from Rutgers University.

Matthew Tyson, Vice President and Head of Global Client Services, Tudor Investment Corporation

11:20 AM - 11:45 AM

Virtual Coffee Break and Live Demos

11:45 AM - 12:20 PM

FIRESIDE KEYNOTE CHAT

Applying Innovations in Data Science: A Look at COVID-19 with Big Data

Keynote:

Nicholas A. Christakis, Sterling Professor of Social and Natural Science, Yale University; Author: Apollo's Arrow: The Profound and Enduring Impact of Coronavirus on the Way We Live

Nicholas A. Christakis, MD, PhD, MPH, is a social scientist and physician at Yale University who conducts research in the fields of network science, biosocial science, and behavior genetics. His current work focuses on how human biology and health affect, and are affected by, social interactions and social networks. He directs the Human Nature Lab and is the Co-Director of the Yale Institute for Network Science. He is the Sterling Professor of Social and Natural Science at Yale University, appointed in the Departments of Sociology; Medicine; Ecology and Evolutionary Biology; Biomedical Engineering; and the School of Management.

Dr. Christakis received his BS from Yale in 1984, his MD from Harvard Medical School and his MPH from the Harvard School of Public Health in 1989, and his PhD from the University of Pennsylvania in 1995. He was elected to the National Academy of Medicine in 2006; the American Association for the Advancement of Science in 2010; and the American Academy of Arts and Sciences in 2017.

In 2009, Christakis was named by Time magazine to their annual list of the 100 most influential people in the world. In 2009 and in 2010, he was listed by Foreign Policy magazine in their annual list of Top 100 Global Thinkers.

Dr. Christakis began his career at the University of Chicago in 1995, where he was appointed as a Professor in the Departments of Sociology and Medicine. He moved his lab to Harvard University in 2001, where he was again appointed as a Professor in the Departments of Sociology and Medicine. While at Harvard, he also served as the Master of Pforzheimer House in Harvard College. In 2013, he moved his lab to Yale University.

One body of work in his lab focuses on how health and health behavior in one person can influence analogous outcomes in a person’s social network. This work involves the application of statistical and mathematical models to understand the dynamics of diverse phenomena in longitudinally evolving networks. A related body of work uses experiments to examine the spread of altruism, emotions, and health behaviors along network connections online and offline, including with large-scale field trials in the developing world directed at improving public health (e.g., in Honduras and India). His lab has also examined the genetic and evolutionary determinants of social network structure, showing that social interactions have shaped our genome, with related projects that have mapped networks of populations in Tanzania and Sudan who live as all humans did 10,000 years ago. His most recent work has used artificial intelligence (AI) agents (“bots”) to affect social processes online.

His laboratory also actively develops software and date tools to study social phenomena, and releases these resources publicly. Breadboard allows scientists to conduct online experiments accurately and efficiently. Trellis allows scientists to map social networks in diverse, demanding settings around the world. Christakis is active in teaching, both in the classroom and in the lab. He has mentored students and postdocs from diverse fields, ranging across sociology, anthropology, political science, economics, applied math, physics, computational biology, biomedicine, public health, and other fields.

Dr. Christakis is the author of over 200 articles and several books. His influential book, Connected: The Surprising Power of Our Social Networks and How They Shape Our Lives, documented how social networks affect our lives and was translated into twenty foreign languages. His most recent book, Blueprint: The Evolutionary Origins of a Good Society, was published in March 2019 and is slated to appear in German, Chinese, Dutch, and Greek, and other languages.

Dr. Christakis’ past work was focused on topics related to end-of-life care, such as hospice care, widowhood and caregiver burden, ICU decision-making, and the role of prognostication in medicine (about which he has written three books, including clinical textbooks).

Dr. Christakis has advised startups and established corporations, such as Whoop, Ditto Labs, Gallup, Virgin, and MasterCard. A company called Activate Networks was spun out from his lab in 2010.

Moderated By:

Shantha Ozgen, Managing Director, Healthcare Sector Specialist, Equities Division, Credit Suisse

Shantha Ozgen is a Managing Director of Credit Suisse in the Equities division, based in New York. She is the sector specialist for healthcare – working closely with research, sales, trading and banking to deliver the firm’s resources to the clients and help garner market share and grow revenues. She is a subject matter expert on investor sentiment, clinical progress and regulatory changes impacting the healthcare sector.

Ms. Ozgen joined Credit Suisse in May 2007 from UBS, where she was an Executive Director in the Specialist Sales team. Prior to that, Ms. Ozgen worked at Dresdner Kleinwort Benson for five years as a Pharmaceutical Specialist Salesperson.

Ms. Ozgen holds an M.B.A. in Finance from the University of Rochester.

12:25 PM - 1:05 PM

BREAKOUTS REPEAT

Cybersecurity, Operational, Data Management, BCP and Remote Data Centers Best Practices Post COVID-19

Session 1: Cybersecurity, Information Security and Privacy Post COVID-19

Moderated By:

Greg Shub, Head of Infrastructure and Information Security, Moore Capital Management

Panelists:

Cary Goldstein, Chief Technologist and Security Officer, Empyrean Capital Partners

Cary Goldstein has 25 years of experience in the global financial technology sector, with experience in the implementation of mission critical infrastructure, portfolio management tools, trading systems, and cybersecurity.  Mr. Goldstein joined Empyrean as Chief Technologist and Security Officer in 2015.  Prior to joining Empyrean, Mr. Goldstein worked as a Managing Director at ConceptONE, LLC, delivering risk and regulatory reporting solutions to alternative investment managers, and as a Director of the Prime Brokerage Hedge Fund Consulting team at Bank of America Merrill Lynch.  Mr. Goldstein also worked for Goldman Sachs from 1998-2005 where he was the Head of IT for the Principal Strategies (GSPS) desk. Mr. Goldstein earned his BS in Business Administration from Washington University in St. Louis in 1995, his Master of Science in Information Systems from New York University in 2001, and a Certificate in Advanced Computer Security from Stanford University in 2015.

John Prendergast, Head of Infrastructure, Viking Global Investors LP

Mr. Prendergast is the Head of Infrastructure at Viking Global Investors, responsible for all technology and security operations. Prior to Viking, Mr. Prendergast was the Co-Chief Technology Officer for Fort LP from 2017-2019 and Co-Chief Technology Officer for Eton Park Capital Managament from 2005 to 2016. Mr. Prendergast has also held IT leadership roles at Andor Capital and Pequot Capital. Mr. Prendergast received his BA in Communications from Fordham University.

Leonid Vayner, Chief Information Security Officer, Elliott Management Corporation

Leonid Vayner is the Chief Information Security Officer of Elliott Management Corporation. Mr. Vayner is responsible for all aspects of Cybersecurity, Technology Risk Management, and Business Resiliency. Prior to joining Elliott in June 2018, he held various cybersecurity management roles during his eight years at Morgan Stanley where he was responsible for establishing and improving Insider Threat, Vulnerability Management, IT Asset Management, Configuration Management, and Data Governance capabilities. Mr. Vayner holds a B.S. in Computer Science from NYU Tandon School of Engineering and an M.B.A. in Strategic Management from Pace University, industry certifications from ISC2 (CISSP) and ISACA (CISM and CRISC), and several patents.

Session 2: Cultural and Operational Changes Driven by Productivity Tools and Applications in the Work from Home Environment

Moderated By:

Daphne Chester, 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.

Panelists:

Ian Clark, Managing Director, Chief Technology Officer, York Capital Management

Ian joined York Capital Management in May 2019 and is a Managing Director and the Chief Technology Officer.  Prior to joining York Capital, Ian worked at Och-Ziff Capital Management, most recently as the IT Chief Operating Officer & Chief Technology Officer.  Previously, he was the Chief Technology Officer at Bain Capital.  Ian received a Diploma in Telecommunications from Army Apprentice College, UK and an M.S. in Information Security from Royal Holloway, University of London.

Bryant Morse, US Head of Business Consulting Services, UBS Securities LLC

Bryant Morse is currently the US Head of Business Consulting Services at UBS.  Most recently, Bryant was Chief Technology Officer at Kingdon Capital where as a member of the Operating Committee, he was responsible for the firm’s Technology vision with oversight of Infrastructure, Cybersecurity, Enterprise Data and Application Development. Previously, Bryant was Chief Information Officer for two separate start up hedge funds, Nexus Asset Management (Global Energy/Utilities) and Tourmalet Advisors (Global L/S Equity). He also spent nine years as Senior Vice President at Pequot Capital, where he was the Head of Data Management.

Rob Newton, Global Head of Technology Infrastructure, Millennium Management LLC

Rob Newton is Global Head of Technology Infrastructure and is responsible for driving the strategic and tactical planning for the global Technology Infrastructure organization covering engineering, data centers, networks, cloud, compute, desktops, servers, telecommunications, and voice technologies.

Prior to joining Millennium in 2015, Rob was with VTB Capital as the London and International CIO, where he led teams across London and various international locations. Prior to VTB Capital, he worked at CIBC World Markets where he had global responsibility for derivatives technology, as well as heading up the Europe and Asia technology teams. Prior to CIBC, he worked at various international banks in technology.

Rob received a BA in European Business Studies from Brunel University.

Session 3: BCP Management, Changes and Lessons Learned

Moderated By:

William Hedden, Partner and Chief Operating Officer, Summit Rock Advisors

William Hedden is a partner and chief operating officer of Summit Rock Advisors. He oversees the firm’s non-investment operations including accounting, legal and compliance, reporting, technology, office management and human resources.  Bill also oversees the operational risk management function.

Bill previously held positions at Blackstone Alternative Asset Management involved in performing operational due diligence on hedge fund managers. He worked in New York and London and helped with manager negotiations, building out the infrastructures for seed investments and performing transactional due diligence for acquisitions.

Bill is a Certified Public Accountant and holds a Master of Science in Accounting from the University of Virginia and a Bachelor of Arts in Economics and Business from Lafayette College.

Panelists:

Bruce S. Darringer, Member and Chief Operating Officer, King Street Capital Management, L.P.

Bruce Darringer is a Member and Chief Operating Officer of King Street Capital Management and a member of the firm’s Management Committee.  Prior to joining King Street in 2003, Mr. Darringer worked for Goldman, Sachs & Co. as a Vice President in the Investment Banking Division, advising on mergers, acquisitions, divestitures and anti-raid and financing transactions.

Previously, Mr. Darringer had co-founded Integrity Capital Management, L.L.C., a global relative value hedge fund, as Principal, Chief Operating Officer and General Counsel, where he was responsible for all operational, legal, regulatory, tax and accounting aspects of the business, as well as investor relations. Mr. Darringer began his career as a corporate attorney for Cravath, Swaine & Moore, where he specialized in high yield underwriting transactions, derivatives and other corporate finance transactions.

Mr. Darringer received a J.D. magna cum laude from Harvard Law School in 1994, and a B.S. in Economics with a concentration in Finance summa cum laude from The Wharton School of Business at the University of Pennsylvania in 1991 (with a dual-degree B.A. from the School of Arts and Sciences).

Ilya Finkelshteyn, Chief Technology Officer, Abrams Capital

Oleg Olovyannikov, Chief Technology Officer, Elliott Management Corporation

Oleg Olovyannikov is the Chief Technology Officer of Elliott Management Corporation where he is responsible for all aspects of Technology of the firm, including Application Development, Infrastructure, Cyber Security, and Technical Operations. Oleg joined Elliott in August of 2016. Prior to joining Elliott, Oleg was the Chief Technology Officer and an equity partner at Tudor Investment Corporation, responsible for all aspects of technology, data, infrastructure, security, and governance. Prior to joining Tudor, Mr. Olovyannikov was the VP of Engineering at Cerberus Capital Management, where he was responsible for all aspects of corporate technology and security. Before joining Cerberus, Mr. Olovyannikov was the Director of High Frequency Trading Technology at the Citadel Investment Group in Chicago, where he was responsible for designing and building the infrastructure to support low-latency and high-frequency trading and market-making. Prior to his experience at Citadel, Mr. Olovyannikov was the CTO of Adirondack Electronic Markets, one of the earliest, all-electronic options market makers. Prior to AEM, Mr. Olovyannikov spent twelve years working at Deutsche Bank, J.P. Morgan, Pfizer, and AT&T Bell Laboratories in a variety of engineering and management roles. Oleg holds a B.S. in Electrical Engineering and an M.S. in Computer Science, both from NYU Tandon School of Engineering.

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.

Session 4: Managing and Growing Remote Data Centers in the Time of COVID-19

Moderated By:

Benjamin Kozinn, Partner, Investment Management Group, Lowenstein Sandler LLP

With more than 15 years of experience in the alternative investment industry–as Vice President & Associate General Counsel of Goldman, Sachs & Co., a Director of hedge fund consulting at Deutsche Bank, and, most recently, as General Counsel of Claren Road Asset Management LLC–Ben offers firsthand knowledge of the issues facing investors, funds, and their financing and derivative counterparties. New and existing funds benefit from his transactional and regulatory experience by providing them with the ability to dodge the pitfalls of a turbulent market and translate legal and regulatory challenges into opportunities.

As a legal advisor, Ben brings value to every stage of the fund life cycle. New managers seeking capital, particularly in the startup market, rely on his experience and insights with respect to structuring, fees, and capacity. He can help identify a fund’s objectives, minimizing risk through proactive counsel regarding the obstacles they are likely to face in today’s market.

Ben offers the comprehensive, practical perspective of a frontline lawyer who has navigated a wide array of issues. His experience includes fund formation and restructuring, counterparty risk and fund financing, separately managed accounts and funds-of-one, ERISA-based vehicles, management company acquisitions and dispositions, and numerous and complex compliance issues ranging from insider trading to SEC exams to difficult valuation and allocation issues. His experience on both the buy side and sell side provides clients a valuable edge as they search for opportunities in a rapidly evolving environment.

Panelists:

Joshua Beggs, Field CTO, Dell Technologies

Joshua Beggs is a strategic technology executive with a proven track record of leading digital transformation in the education, media, publishing and financial services verticals.  Josh has over 20 years of experience partnering closely with customer facing and back-office functions to implement efficient and secure enterprise technology solutions that enable business outcomes.

As a field CTO at Dell Technologies, Josh presents and markets the technical design and business value of proposed solutions, provides technical leadership and guidance on customers’ environments, and communicates business requirements back into Dell Technologies engineering and marketing organizations.

Prior to joining Dell Technologies, Josh served as SVP, Global Infrastructure and Operations for McGraw-Hill Education with responsibilities which included Architecture, Global Network Services, End User Computing, Database Services, Cybersecurity, Solutions Engineering, DevOps, and Global Operations.  Under Josh’s leadership, the team architected and implemented a digital strategy that migrated over 90% of the business applications to a multi cloud environment, increasing stability and availability, while reducing cost.  In addition, the team implanted a CI/CD pipeline to enable developers to reduce release intervals by months. During Josh’s 12-year tenure with McGraw-Hill he held various technology leadership roles including Storage Engineering and Operations and Solution Engineering.

Josh previously led EMC’s NY/NJ technical presales team responsible for driving top line revenue targets of >$250M.  Josh has also held various individual contributor roles with both AOL and NASA during his 20+ year technology career.

Josh is an active member of the Infrastructure Research Board, holds a B.S. from University of Delaware, and maintains his Certified Information Systems Security Professional (CISSP) certification.

Greg Fishbein, Head of Information Technology, Element Capital Management LLC

Mr. Fishbein joined Element in January 2013.  His primary responsibilities include managing the firm’s infrastructure, disaster recovery, cybersecurity, and technology vendors.

Prior to joining Element Capital, Mr. Fishbein was Director of IT at The Raine Group, a technology and media focused Investment Bank/Private Equity fund.  Mr. Fishbein also designed and built the infrastructure for Talpion Fund Management, a start-up hedge fund.  Prior to 2011, Mr. Fishbein spent 5 years at Glenview Capital Management, where he served as infrastructure manager overseeing Glenview trading and operations technology.

Mr. Fishbein holds an M.B.A and a B.S. in Computer Science from Rutgers University.

Matthew Tyson, Vice President and Head of Global Client Services, Tudor Investment Corporation

1:05 PM

Day 3 Closing Remarks