Agenda

  • Day 1 - July 21, 2020
  • Day 2 - July 22, 2020

9:45 AM – 10:00 AM

Welcome Remarks

Featuring:

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.

10:00 AM – 10:50 AM

State of Affairs: The Industry Perspective

Moderated By:

Marc E. Elovitz, Partner, Schulte Roth & Zabel LLP

Marc E. Elovitz is co-managing partner of the firm. He serves as chair of the Investment Management Regulatory & Compliance Group and as a member of the firm’s Executive Committee. Marc advises private fund managers on running their businesses consistent with the Investment Advisers Act of 1940 and all other applicable laws, regulations and legal requirements. Marc provides guidance to clients on SEC registration, examination and enforcement matters. He also regularly leads training sessions for investment professionals on complying with insider trading and market manipulation laws, and he has developed and led compliance training sessions for marketing and investor relations professionals. Marc works closely with clients undergoing SEC examinations and responding to deficiency letters and enforcement referrals. He develops new compliance testing programs in areas such as trade allocations and conflicts of interest, and he leads macro-level compliance infrastructure reviews with fund managers, identifying the material risks specific to each particular firm and evaluating the compliance programs in place to address those risks. Marc has a cutting edge practice covering the latest trends of interest to private funds, including blockchain technology and digital assets. He advises on the legal and regulatory considerations involving virtual and digital currency business initiatives and the blockchain technology behind them.

Marc is frequently invited to discuss current industry-related topics of interest at leading professional and trade association events. He has presented on whistleblowing, regulatory and compliance issues for private funds and SEC inspections and examinations of hedge funds and private equity funds, among many other topics. Chambers USA, Chambers Global, The Legal 500 US, Who’s Who Legal: The International Who’s Who of Private Funds Lawyers and New York Super Lawyers have recognized Marc as a leading lawyer. He has been a member of the Steering Committee of the Managed Funds Association’s Outside Counsel Forum, the American Bar Association’s Hedge Funds Subcommittee and the Private Investment Funds Committee of the New York City Bar Association. A recognized thought leader, Marc is regularly interviewed by leading media outlets, including Bloomberg, HFMWeek, HFM Compliance, Compliance Reporter, IA Watch, Private Funds Management and Law360, to name a few. Marc is a co-author of Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), the “Protecting Firms Through Policies and Procedures, Training, and Testing” chapter in the Insider Trading Law and Compliance Answer Book (Practising Law Institute) and the “Market Manipulation” chapter in the leading treatise Federal Securities Exchange Act of 1934 (Matthew Bender). He also wrote the chapter on “The Legal Basis of Investment Management in the U.S.” for The Law of Investment Management (Oxford University Press). Marc received his J.D. from NYU School of Law and his B.A., with honors, from Wesleyan University.

Featuring:

Susanne V. Clark, General Counsel and Senior Managing Director, Centerbridge Partners, L.P.

Susanne V. Clark is a Senior Managing Director and the General Counsel of Centerbridge Partners, L.P., an investment management firm registered with the SEC focused on private equity, credit, distressed strategies & special situations and real estate investing, with its primary offices in New York and London.  Prior to joining Centerbridge, Ms. Clark was the General Counsel and Chief Compliance Officer of Basso Capital Management, L.P. (“Basso”), an SEC-registered investment adviser managing multi-strategy, convertibles and credit funds.  Prior to Basso, Ms. Clark was the Deputy General Counsel of Amaranth Group Inc., an investment adviser for multi-strategy and long/short equity funds.  Before that, Ms. Clark served as Vice President and Assistant General Counsel at Goldman Sachs, where she was responsible for finance and corporate legal matters involving The Goldman Sachs Group, Inc. and, prior to that, for legal matters involving the investment banking business of Goldman, Sachs & Co.  Ms. Clark started her career as an Associate in the New York Office of Shearman & Sterling LLP.  Ms. Clark serves on the Boards of Directors of American Renal Holdings, Inc. (and affiliated entities; NYSE: ARA), KIK Custom Products, Inc. (and affiliated entities), the Managed Funds Association (MFA) and as a director/trustee of certain other professional and non-profit organizations. Ms. Clark graduated with honors from Swarthmore College and received her J.D. from Columbia Law School.

Shawn F. Fagan, Chief Legal Officer and Managing Director, Citadel LLC

Shawn Fagan is Chief Legal Officer of Citadel, responsible for Citadel’s global legal, compliance, transaction management, and regulatory affairs functions. Shawn is a member of Citadel’s Portfolio Committee.

Prior to joining Citadel in 2005, Shawn was a Partner at Bartlit, Beck, Herman, Palenchar & Scott. Previously, he served as a clerk for Chief Justice William Rehnquist of the U.S. Supreme Court and Judge Douglas H. Ginsburg of the U.S. Court of Appeals for the District of Columbia.

Shawn serves on the Board of Directors for the U.S. Chamber of Commerce and the Program on International Financial Systems (PIFS), is a Fellow of the American Bar Foundation (ABF), and is a member of the Economic Club of Chicago. He graduated with honors from the University of Michigan with a B.A. in Political Science and holds a J.D., magna cum laude, from Harvard Law School where he was a recipient of both the Sears Prize and John E. Thayer Award.

Helene Glotzer, Chief Compliance Officer, Bridgewater Associates, LP

Since joining Bridgewater Associates in 2007, Helene Glotzer has been responsible for heading Bridgewater’s compliance program. Helene has led Bridgewater’s participation in various private fund best practices organizations and initiatives, such as the Alternative Investment Management Association, the Standards Board for Alternative Investments (formerly the Hedge Fund Standards Board) and is currently serving as Chair of the Managed Funds Association Investment Adviser Committee. In 2018, Helene was named among the “50 Leading Women in Hedge Funds” by The Hedge Fund Journal. Helene serves on the Board of Directors for Hartford Healthcare and is a member of the Board’s Audit and Compliance Committee.
Before joining Bridgewater, Helene spent ten years as an attorney in the Enforcement Division of the U.S. Securities and Exchange Commission. From 2004-2007, she co-headed the enforcement program for the SEC’s New York Regional Office, where she oversaw investigations and litigation involving insider trading, market manipulation, accounting fraud, Ponzi schemes, and other fraudulent conduct. She started her career as a litigation associate at Brown & Wood LLP, where she represented broker-dealers in securities class actions and SEC investigations. Helene received her JD from the University of Michigan Law School and her BA from Binghamton University. She has participated in a variety of industry and continuing legal educational panels focused on topics such as compliance surveillance and testing, ethics, social media best practices and women in asset management.

Michael C. Neus, General Counsel, ExodusPoint Capital Management, LP

Michael C. Neus is General Counsel of ExodusPoint Capital Management, LP. Mike is also an Adjunct Professor of Law at Fordham Law School, where he teaches a course entitled “Investment Management Regulation and Compliance.”  Mike is a frequent author and lecturer on securities, compliance, hedge fund and private equity topics at industry events and for global regulators.  Mike was previously Senior Fellow with the Program on Corporate Compliance and Enforcement at New York University School of Law in 2017-2018.  From 2005 through 2016, Mike was responsible for all legal, compliance, human resource and administrative matters as Managing Partner and General Counsel of Perry Capital, LLC.  Prior to joining Perry Capital in 2005, Mike was the Chief Operating Officer and General Counsel at RHG Capital, L.P., Chief General Counsel of Andor Capital Management, L.L.C., and General Counsel of Soros Private Funds Management LLC. Mike began his professional career as an associate at the law firm Coudert Brothers, in both the Singapore and New York offices.  Mike is a Senior Fellow of the Regulatory Compliance Association and Vice Chair of the American Bar Association’s Business Law Sub-Committee on Institutional Investors. Mike is a former Director, Chairman of the Investment Advisory Subcommittee, and member of the Executive Committee of the Managed Funds Association.  Mike received his J.D. from Columbia University School of Law and his B.A. from the University of Notre Dame.

10:55 AM – 11:20 AM

Keynote Fireside Chat: SEC Initiatives- Diversity and Inclusion, ESG, New Proxy Rules and Market Data

Keynote:

The Honorable Allison Herren Lee, Commissioner, U.S. Securities and Exchange Commission

Allison Herren Lee was appointed by President Donald Trump to the U.S. Securities and Exchange Commission, unanimously confirmed by the U.S. Senate, and sworn into office on July 8, 2019.

Commissioner Lee brings to the SEC over two decades of experience as a securities law practitioner. Most recently, she has written, lectured, and taught courses internationally in Spain and Italy on financial regulation and corporate law. Commissioner Lee served for over a decade in various roles at the SEC, including as counsel to Commissioner Kara Stein, and as Senior Counsel in the Division of Enforcement’s Complex Financial Instruments Unit. In addition, she has served as a Special Assistant U.S. Attorney, was a member of the American Bar Association’s former Committee on Public Company Disclosure, and participated on a USAID project in Armenia, assisting in the drafting of periodic reporting and disclosure provisions for a comprehensive law of the Republic of Armenia on Securities Market Regulation.

Prior to government service, Commissioner Lee was a partner at Sherman & Howard LLC, focusing on securities, antitrust, and commercial litigation. A member of the Colorado bar, she holds a bachelor’s degree in Business from the University of Colorado and a JD from the University of Denver College of Law, where she was salutatorian, a Chancellor’s Scholar, and served on the Law Review.

Interviewed by:

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

Michael A. Asaro focuses on white-collar criminal defense, U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) investigations, corporate internal investigations and complex commercial litigation.

Mr. Asaro routinely represents companies and individuals in high-stakes white collar and regulatory investigations and litigations. He has extensive experience in matters involving insider trading, market manipulation, accounting irregularities, the Foreign Corrupt Practices Act (FCPA) and investment advisor and broker-dealer regulation. Prior to joining Akin Gump, Mr. Asaro served for five years as a federal prosecutor and four years as an enforcement attorney at the SEC.

Mr. Asaro is a former assistant U.S. attorney from the Eastern District of New York. He served there as deputy chief of the Business and Securities Fraud Section during a period when the office prosecuted numerous complex and high-profile securities fraud, mail fraud, wire fraud, bribery and money laundering cases.

11:20 AM - 11:35 AM

Break

11:35 AM – 12:25 PM

Doing Business Abroad: Global Risk and Legal Challenges in the Middle East, Latin America, and China

Moderated by:

Gil Raviv, Global General Counsel, Millennium Management LLC

Gil Raviv (joined in 2007) ■ Global General Counsel. Mr. Raviv is the Global General Counsel of Millennium Management LLC and is responsible for overseeing the day-to-day legal affairs of Millennium. Mr. Raviv began his legal career at Fried, Frank, Harris, Shriver & Jacobson LLP in 1996 and became a partner in 2004. At Fried Frank, Mr. Raviv specialized in corporate and securities law, focusing primarily on the structuring and offering of hedge funds, funds of funds, private equity funds and a variety of other alternative investment products. Mr. Raviv received his JD from the University of Michigan Law School and his AB, magna cum laude, from Cornell University.

 

Featuring:

Bruce Karpati, Partner, Global Chief Compliance Officer, Kohlberg Kravis Roberts & Co. L.P.

Bruce Karpati joined KKR in 2014 and serves as KKR’s Global Chief Compliance Officer and Counsel. Prior to joining KKR, he was the Chief Compliance Officer of Prudential Investments, the mutual fund and distribution business of Prudential Financial. Mr. Karpati was previously the National Chief of the SEC’s Asset Management Unit which he co-founded. In this role, he supervised a staff of 75 attorneys, industry experts, and other professionals. Mr. Karpati joined the SEC as a staff attorney in 2000, was promoted to Branch Chief in 2002, Assistant Regional Director in 2005, and Co-Chief of the SEC’s Asset Management Unit in 2010. In 2007, he founded the SEC’s Hedge Fund Working Group, a cross-office initiative to combat securities fraud in the hedge fund industry. Mr. Karpati also serves as an adjunct professor at Fordham University Law School. He began his career in private practice at Dechert LLP. Mr. Karpati earned his JD cum laude from the University at Buffalo Law School, and his Bachelor’s degree cum laude in International Relations from Tufts University.

 

Penny Blair, Senior Lawyer, aosphere LLP

Penny is a senior lawyer at aosphere LLP, an affiliate of international legal practice Allen & Overy LLP. Prior to joining the aosphere team, Penny was a Senior Associate in the investment funds practice at Allen & Overy in London, acting as a key advisor to leading asset managers on all types of fund establishments and institutional investors on making fund investments as well as broader regulatory matters. With over 10 years of experience in cross-border marketing advice, Penny currently works with local leading counsel to manage the detailed content which informs aosphere’s leading online fund marketing service, and is often asked to speak on the regulatory framework for cross-border distribution rules, especially looking at regional trends and the practical impact of legislative change.

Lisa Vicens, Partner, Cleary Gottlieb Steen & Hamilton LLP

Lisa Vicens is a partner at Cleary Gottlieb Steen & Hamilton LLP.  Her practice focuses on governmental and internal investigations, white collar defense, and SEC enforcement matters, with a concentration on FCPA and cross-border enforcement issues.  Lisa has extensive experience representing clients around the globe, and in particular in Latin America, on anti-corruption matters. She regularly advises on the development and implementation of effective compliance and integrity programs, conducts risk assessments, and counsels clients in advance of strategic transactions on a broad spectrum of issues, including anti-corruption, export controls and money laundering. She regularly represents public companies and their boards and audit committees in internal investigations and maintains an active securities litigation practice.

With more than a decade of experience, particularly in Latin America, Lisa’s recent matters include investigations of allegations of corruption for GOL Linhas Aereas Inteligentes, M. Dias Braco, and BNDES. She also has experience representing Petrobras in connection with securities class actions filed against it in the Southern District of New York and FCPA investigations by the DOJ and SEC in connection with Operation Lava Jato—reportedly the largest corruption scandal in Latin American history.

Lisa has been recognized by Chambers USA for FCPA, named among Global Investigations Review’s Top 100 Women in Investigations, and was recognized as a Next Generation Lawyer by Benchmark Litigation.  Lisa joined the firm in 2005 and became a partner in 2015.  She received a J.D. from New York University School of Law and an M.A. and B.S. from Georgetown University.

David Sweet, Managing Director and Co-General Counsel, The D. E. Shaw Group

David Sweet is a managing director of D. E. Shaw & Co., L.P. and Co-General Counsel to the D. E. Shaw group. In that capacity, he jointly oversees the D. E. Shaw group’s Legal & Compliance department, with a particular focus on the firm’s investment products, its regulatory compliance effort, and public policy matters.
Mr. Sweet has been a member of the D. E. Shaw group’s Legal & Compliance department since 2012 and has served as Co-General Counsel since 2017. From 1997 to 2001, and again from 2006 to 2012, Mr. Sweet worked for the D. E. Shaw group in a range of commercial roles, contributing to various investor relations, business development, and strategic planning efforts. Prior to rejoining the D. E. Shaw group in 2006, he was a law clerk to the Hon. Wm. Matthew Byrne, Jr. of the U.S. District Court for the Central District of California and an associate at the Los Angeles law firm Munger, Tolles & Olson LLP. Mr. Sweet graduated summa cum laude from Yale College, where he was elected to Phi Beta Kappa and received the award for the outstanding student in English in the senior class. He received his J.D. from Yale Law School, where he was a senior editor of The Yale Law Journal and a Coker Teaching Fellow in constitutional law

Garth Bray, Partner, Sullivan & Cromwell LLP

Garth Bray is a member of the Firm’s Mergers and Acquisitions and Private Equity Groups   and has extensive experience in complex cross-border M&A, joint venture and capital markets transactions. He has been based in Asia since 2009 and focuses on matters arising out of our Tokyo, Beijing and Hong Kong offices.

Mr. Bray has acted on various matters for Alibaba and Ant Financial, as well as certain Alibaba founders.  He has handled private equity and principal investment assignments for the Canada Pension Plan Investment Board, MBK Partners, Aquiline Capital, the Ontario Teachers’ Pension Plan, Lightyear and Silver Lake Partners.

He has acted as M&A adviser to Philips Electronics, including in the sale of its semiconductors business, NXP, to KKR and Silver Lake; the transfer of its computer monitor and flat screen television activities to TPV; the sale of its contract manufacturing unit to Jabil Circuit; and various other acquisitions, dispositions and joint ventures.

Mr. Bray is also a regular speaker on M&A issues, including as a panelist on China M&A activities at an event hosted by the American Chamber of Commerce in Hong Kong, as a speaker at the annual Citibank conference on China-Europe M&A developments in Frankfurt, and as a panelist on FCPA and M&A matters at the Annual Corporate Accountability Conference in Hong Kong.

12:30 PM – 1:20 PM

International Legal and Compliance Risks Ahead: Regulation in the Wake of COVID-19

Moderated By:

Michael Pedroni, Executive Vice President & Managing Director, International Affairs, Managed Funds Association

Michael Pedroni is MFA’s Executive Vice President and Managing Director, International Affairs. In this capacity, Michael leads and directs MFA’s international affairs department, working closely with MFA Members to advance their legislative and regulatory priorities. Reporting directly to MFA’s President and CEO, Michael will have a special focus on European policy priorities and he and his team will collaborate with MFA’s legal and other teams.

Michael brings two decades of experience in financial policy, regulation, markets and central banking. Prior to joining MFA, he served under the last four Treasury Secretaries, beginning his tenure at Treasury as the first Director of the re-established Markets Room, just as the financial crisis was unfolding in the summer of 2008.  After that, Michael directed the Western Hemisphere Office before moving to Brussels for three years as the U.S. Financial Attaché and head of Treasury’s office in Europe. Most recently, he worked at the White House during the previous Administration, acting as Senior Director for Global Economics and Finance, before rejoining Treasury during the current Administration as Senior Executive Director for International Economic Analysis.

Earlier in his career, Michael worked as an international economist at the IMF and ICAP Financial Services, and as a trader/analyst at the Federal Reserve Bank of New York. He graduated from Yale University and received a Master’s Degree in International Affairs from Columbia University. He was also a Fulbright Scholar and is conversational in German, Italian, and French.

Featuring:

James Gange, Managing Director, Chief Compliance Officer and Legal Counsel, DavidsonKempner Capital Management LP

James Gange, Managing Director – Chief Compliance Officer and Legal Counsel, joined Davidson Kempner in April 2009. From 2007 to 2009, Mr. Gange was Director and Chief Compliance Officer/Associate Counsel of DiMaio Ahmad Capital, LLC, an SEC registered investment adviser. From 2005 to 2007, Mr. Gange was counsel in the securities regulatory group of Wilmer Cutler Pickering Hale & Dorr, where he represented investment advisors, hedge funds and broker-dealers in regulatory enforcement proceedings and internal investigations. Prior to entering private practice, from 1999 to 2004, Mr. Gange was Senior Counsel in the Enforcement Division of the Securities and Exchange Commission. Mr. Gange received his J.D., cum laude, from Brooklyn Law School in 1999, and his B.A., magna cum laude, Phi Beta Kappa, from Brooklyn College in 1995.

Courtney E. K. Lewis, Chief Compliance Officer and General Counsel, Marshall Wace North America, LP.

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

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

Leonard Ng, Partner, Sidley Austin, LLP

Leonard Ng (www.sidley.com/leonard-ng) is Co-head of the EU Financial Services Regulatory Group at Sidley Austin LLP in London, and a member of the firm’s Executive Committee. He advises a wide range of financial institutions, including the Managed Funds Association, its members and other alternative investment managers, on the ongoing changes to the UK and EU regulatory landscape. He also works closely with Sidley’s global regulatory team in advising clients on cross-border regulatory reform, in particular clients affected by overlapping US and EU regulations. Leonard spends a significant portion of his time advising clients on Brexit planning, FCA rules, MiFID II, MAR, AIFMD, EMIR, SFTR, Short Selling Regulation, the Basel Regulatory Capital Framework, Solvency II and the proposed regulatory framework for shadow banking. From September 2014 to September 2016 Leonard was a member of the Board of the Managed Funds Association. Leonard is a frequent speaker at industry conferences.

Richard Walz, General Counsel & Chief Compliance Officer, Element Capital Management LLC

Mr. Walz joined Element Capital in October 2011 as General Counsel and Chief Compliance Officer.  His responsibilities include managing all legal, compliance and regulatory matters for Element Capital.  Prior to joining Element Capital, Mr. Walz was General Counsel and Chief Compliance Officer at Moon Capital Management LP, since May 2007.  Prior to May 2007, Mr. Walz practiced law at Bingham McCutchen LLP and Bryan Cave LLP.  Mr. Walz holds a J.D. from Tulane Law School and a B.A. in Sociology from St. Joseph’s College.  He was admitted to practice law in New York in 1998 and Connecticut in 1997.

1:20 PM – 1:35 PM

Break

1:35 PM – 2:25 PM

The SEC Agenda and Priorities: Enforcement, Investment Management and Compliance Inspections and Examinations

Moderated By:

Brendan R. Kalb, Partner, Morgan, Lewis & Bockius LLP

Brendan R. Kalb utilizes his in-house asset management and corporate legal experience to counsel clients on issues relating to the establishment and ongoing operation of global hedge funds, private equity funds, commodity pools, UCITS funds, hybrid customized vehicles, and separately managed accounts, along with providing regulatory, compliance, and trading advice to managers investing in various asset classes in the United States and abroad. He also has deep experience advising on the structuring and operation of various registered fund products, including liquid alternative funds.

Prior to joining Morgan Lewis, Brendan was the managing director and general counsel at AQR Capital Management, LLC, a systematic global asset management firm based in Greenwich, CT, where he was responsible for managing the full spectrum of the firm’s legal affairs, including involvement in all aspects of US and overseas regulatory exams, product structuring, derivatives and operational risk management, quantitative investment practices, drafting of investment guidelines and restrictions, creation and update of compliance policies and procedures, as well as implementation and interpretation of international rules and regulations regarding trading and marketing.

Prior to joining AQR in 2004, he worked as an investment management associate in the New York office of an international law firm, where he regularly represented registered investment companies, investment advisers, commodity pool operators, commodity trading advisors, and broker-dealers.

Earlier in his career, Brendan gained experience as an associate in the financial services and investment management department of a regional law firm, where he dealt in related matters with respect to investment advisers, including commodity pool operation, management company structuring, fund marketing and advertising, employment agreements, joint ventures, and seed capital arrangements.

Brendan has spoken at a number of industry conferences on regulatory matters affecting the financial services industry and previously served as chairman of the Managed Funds Association’s CTA, CPO, and Futures Committee and as a member of MFA’s Investment Adviser, International and Government Affairs Committees. In addition, he has served on the National Futures Association’s board of directors and is an active member of the Investment Company Institute’s Equity Markets, CPO Advisory and Derivatives Markets Advisory Committees. Brendan also serves on the board of advisors of the Institute for Law and Economics, a joint research center between the Law School, the Wharton School, and the Department of Economics at the University of Pennsylvania.

Featuring:

Stephanie Avakian, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission (SEC)

Stephanie Avakian was named Co-Director of the U.S. Securities and Exchange Commission’s Division of Enforcement in June 2017, after serving as Acting Director since December 2016. She was previously the Division of Enforcement’s Deputy Director, serving from June 2014 to December 2016.

Before being named Deputy Director, Ms. Avakian was a partner at Wilmer Cutler Pickering Hale and Dorr LLP, where she served as a vice chair of the firm’s securities practice and focused on representing financial institutions, public companies, boards, and individuals in a broad range of investigations and other matters before the SEC and other agencies.

Ms. Avakian previously worked in the Division of Enforcement as a branch chief in the SEC’s New York Regional Office, and later served as counsel to former SEC Commissioner Paul Carey.

Ms. Avakian received her bachelors degree from the College of New Jersey and a law degree from Temple University’s Beasley School of Law, both with high honors.

Paul G. Cellupica, Deputy Director and Chief Counsel, Division of Investment Management, U.S. Securities & Exchange Commission (SEC)  

Paul G. Cellupica has been Deputy Director of the Division of Investment Management at the U.S. Securities and Exchange Commission (“SEC”) since November 2017, and became Chief Counsel of the Division in June 2018. The Chief Counsel’s Office is responsible for legal guidance (including staff letters and exemptive relief) regarding the Investment Company Act of 1940, the Investment Advisers Act of 1940, and other federal securities laws that apply to investment companies and investment advisers.
From 2014 to 2017 Mr. Cellupica was Managing Director and General Counsel for Securities Law at TIAACREF. From 2004 through 2014 he worked in the Law Department of MetLife, Inc. in various senior roles, including as Chief Counsel for the Americas. Between 1996 and 2004, Mr. Cellupica served at the SEC in a number of capacities in the Division of Investment Management and the Division of Enforcement. From 2001 to 2004, he was Assistant Director in the Division of Investment Management, where he oversaw rulemaking initiatives related to disclosure provided by mutual funds, closed-end funds, business development companies, and variable insurance products. Before joining the SEC, Mr. Cellupica practiced at the law firm of Caplin & Drysdale in Washington, D.C., where his practice focused on securities and commercial litigation. Mr. Cellupica has a B.A. magna cum laude from Harvard College and a J.D. cum laude from Harvard Law School, and was a law clerk for Judge David Nelson of the U.S. Court of Appeals for the Sixth Circuit.

Pete Driscoll, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (SEC)

Peter Driscoll was named Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) in October 2017, after serving as Acting Director since January 2017.

Before that, he served as OCIE’s first Chief Risk and Strategy Officer since March 2016, and was previously OCIE’s Managing Executive from 2013 through February 2016.

He joined the Agency in 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in OCIE’s Investment Adviser and Investment Company examination program.

Prior to the Agency, Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University. He is licensed as a certified public accountant and is a member of the Missouri Bar Association.

2:30 PM – 3:20 PM

Fireside Keynote Chat: Modernizing Market Transparency to Drive Competition

Introduced By:

Mark Epley, Chief Legal Officer, Managed Funds Association

Mark Epley serves as MFA’s Executive Vice President and Managing Director, General Counsel. Before his time at MFA, Mark worked in the office of House Speaker Paul Ryan where he was General Counsel.  Prior to joining the Speaker’s office, Mark served as General Counsel to the House Committee on Ways and Means and Staff Director for its Subcommittee on Oversight, where he was a subject matter expert on tax administration. He has also served as Staff Director of the House Committee on Financial Services’ Subcommittee on Oversight, examining the implementation of the Dodd-Frank Act. In addition, he has held senior positions at the U.S. Departments of Justice and Defense. Mark received his Juris Doctor from William & Mary Law School and is a graduate of Gordon College.

Keynote:

The Honorable Jay Clayton, Chairman, U.S. Securities and Exchange Commission

Jay Clayton was nominated to chair the U.S. Securities and Exchange Commission on January 20, 2017, by President Donald Trump and sworn in on May 4, 2017.  Background, Education and Experience: Chairman Clayton was born at Fort Eustis in Newport News, Virginia, and was raised primarily in central and southeastern Pennsylvania. In his professional career, he has lived in Philadelphia, New York, London, and Washington, DC. Prior to joining the Commission, Chairman Clayton was a partner at Sullivan & Cromwell LLP, where he was a member of the firm’s Management Committee and co-head of the firm’s corporate practice. From 2009 to 2017, Chairman Clayton was a Lecturer in Law and Adjunct Professor at the University of Pennsylvania Law School. Prior to joining Sullivan & Cromwell, Chairman Clayton served as a law clerk for the Honorable Marvin Katz of the U.S. District Court for the Eastern District of Pennsylvania. A member of the New York and Washington, DC bars, Chairman Clayton earned a BS in Engineering from the University of Pennsylvania (summa cum laude), a BA and MA in Economics from the University of Cambridge (Thouron Scholar), and a JD from the University of Pennsylvania Law School (cum laude, Order of the Coif). The Commission Under Chairman Clayton: There are several areas of focus for the SEC under Chairman Clayton: Furthering the interests of America’s Main Street investors—long a priority of the SEC staff; Updating and enhancing the regulation and oversight of our equity and fixed income markets, taking into account advances in technology and increased interconnectedness; Making our capital markets, particularly our public capital markets, more accessible to businesses and investors, ensuring that the United States continues to be the world’s leader in terms of transparency, effective disclosure and investor protection.

Keynote:

The Honorable Makan Delrahim, Assistant Attorney General for the Antitrust Division, U.S. Department of Justice

Makan Delrahim was confirmed on September 27, 2017, as Assistant Attorney General for the Antitrust Division. Mr. Delrahim previously served as Deputy Assistant to the President and Deputy White House Counsel. Mr. Delrahim’s rich antitrust background covers the full range of industries, issues, and institutions touched upon by the work of the Antitrust Division. He is a former partner in the Los Angeles office of a national law firm. He served in the Antitrust Division from 2003 to 2005 as a Deputy Assistant Attorney General, overseeing the Appellate, International, and Policy sections. During that time, he played an integral role in building the Antitrust Division’s engagement with its international counterparts and was involved in civil and criminal matters. He has served on the Attorney General’s Task Force on Intellectual Property and as Chairman of the Merger Working Group of the International Competition Network. Mr. Delrahim also served as a Commissioner on the Antitrust Modernization Commission from 2004 to 2007. Earlier in his career, Mr. Delrahim served as antitrust counsel, and later as the Staff Director and Chief Counsel of the U.S. Senate Judiciary Committee.

Interviewed by:

Peter D. Greene, Vice Chair, Investment Management Group, Lowenstein Sandler LLP

What keeps his clients up at night keeps Peter up at night.
Having served as the General Counsel and Chief Operating Officer of a buy-side investment firm earlier in his career, Peter has a unique understanding of his clients’ goals and the nature of their interactions with investors, regulators, auditors, administrators, employees, and outside counsel. Clients refer to Peter as “an exceptional lawyer,” who “combines an excellent business sense with a strong legal background.”
Peter divides his time between representing top-50 (by assets under management) hedge fund managers and well-pedigreed managers launching their first funds; he enjoys the differing needs of these two client bases. He advises clients on the formation and structuring of funds and management companies, compliance and regulatory matters, and executive and employee compensation (on both the manager and employee sides). He also has particular expertise in advising clients with respect to insider trading determinations, including with respect to the purchase, analysis, and use of alternative/big data. In all of these areas, Peter strives to be a business-minded, solutions-oriented counselor.
Recognized as one of America’s Leading Lawyers for Business by Chambers USA for his work in the areas of Investment Funds and Hedge Funds, Peter is known for his insight and dedication to his clients and their businesses.

 

3:20 PM - 3:25 PM

1st Day Closing Remarks

Featuring:

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.

9:45 AM – 10:00 AM

Welcome Remarks:

Featuring:

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.

10:00 AM - 10:50 AM

PANEL DISCUSSIONS — DATA ACQUISITION, OUTSOURCING COMPLIANCE, FUND STRUCTURING, DERIVATIVES UPDATE, SEC/CFTC/NFA EXAMS

Data Acquisition — Legal and Regulatory Update

Moderated By:

Danny West, Vice President & Counsel, Two Sigma Investments, LP

Danny West serves as lead attorney for Two Sigma’s alternative data research and engineering teams and advises on how to appropriately acquire and leverage big data and technology in the financial markets. He is involved in every aspect of the firm’s data onboarding process, including diligencing novel alternative datasets and developing scalable data and privacy-related policies and procedures.
Prior to joining Two Sigma, Danny was assistant general counsel at American International Group, Inc. (AIG), working with the firm’s big data and science teams to develop cutting-edge healthcare / financial tools and technologies, often utilizing strategically de-identified and/or aggregated data.

Featuring:

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

Michael is the General Counsel and Chief Compliance Officer at Samlyn Capital.  Prior to joining Samlyn Capital in 2009, Michael was a partner at Mintz Levin Cohn Ferris Glovsky and Popeo, P.C. in New York City from 2006 through 2009, and a corporate associate from 2000.  Prior thereto,  he was a litigation associate at Skadden, Arps, Slate, Meagher and Flom LLP in New York City.  Michael began his career as a litigation associate at Whitman, Breed, Abbott & Morgan in New York City.

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

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

 

Stefanie Donath, Chief Compliance Officer and General Counsel, Southpoint Capital Advisors LP

Stefanie joined Southpoint Capital in 2015. Prior to Southpoint, Stefanie was GC/CCO of Tiger Consumer Management.  Prior to TCM, she was the CCO of Sabretooth Capital Management.  Prior to Sabretooth, she was Head of Risk for the alternative investment funds group at Brown Brothers Harriman & Co.  Before joining BBH, she was the CCO of U.S. Trust’s alternative investments and mutual funds, then Head of Product Development for Alternative Investment Group at U.S. Trust / BAML.  Stefanie graduated from the University of Rochester in 1995 with a Bachelor of Arts in Political Science and Art History, and she holds a JD from New York Law School (2000).  She was admitted to the New York State Bar in 2000.

Laurel FitzPatrick, Partner, Ropes & Gray LLP

Laurel FitzPatrick is a partner in the asset management group and serves as leader of the firm’s hedge funds team. Laurel has extensive experience structuring and advising a wide range of hedge funds and other private funds, including domestic and offshore partnerships, limited liability corporations and offshore corporations. Recent fund formations include alternative multi-year incentive fee arrangements and innovative hybrid vehicles as well as more traditional hedge fund structures. In addition to fund formation, Laurel assists clients in creating profit-sharing and other compensation structures which provide appropriate incentives and succession strategies.

A former partner at Tiger Management, LLC, a registered adviser and hedge fund group, Laurel brings practical in-house experience to bear in her work with clients. Laurel works with clients on a wide range of issues including trade structuring and compliance, meeting with regulators on behalf of clients, assisting with regulatory audits, obtaining exemptive and no-action relief from the SEC and helping develop compliance and internal control procedures. She also assists clients in restructuring their funds when necessary and helps them develop legal and risk management policies with respect to prime brokers and other counterparties.

Evaluating and Managing Risks Associated with Outsourcing Compliance

Moderated By:

Mark Peckman, General Counsel, Schonfeld Strategic Advisors LLC

Mark Peckman is the General Counsel of Schonfeld Strategic Advisors LLC, a registered investment adviser, and its affiliates. From 1999 to 2002, Mr. Peckman served as the General Counsel of Broadway Trading, LLC, a broker dealer. In 2002, Mr. Peckman was recruited to join Schonfeld when the organization purchased substantially all of the assets of Broadway Trading. At Schonfeld, Mr. Peckman has been instrumental in significant business and strategy conversions and restructurings over 17 years, as the business evolved from a proprietary trading firm, clearing firm, execution broker and family office, to investment adviser. He leads a 10-person legal and compliance staff which oversees 70+ portfolio management teams engaging in quantitative, fundamental equity and tactical investment strategies in the Americas, Europe and APAC. Mr. Peckman earned a BA from Emory University in 1989 and a law degree from Brooklyn Law School and a MBA from Baruch Business School in 1993.

Featuring:

Daren R. Domina, Partner, Haynes and Boone, LLP

Daren R. Domina is a partner in the Investment Management and Private Equity Practice Groups in the New York office of Haynes and Boone and is the head of the Broker-Dealer Regulatory Practice Group. He provides advice to private investment funds, securities broker-dealers, family offices and registered and unregistered investment advisers on a broad range of formation, structuring, registration, regulatory, compliance and inspection/enforcement/litigation matters.

Owen Schmidt, Partner, General Counsel and Chief Compliance Officer, Valinor Management, L.P.

Owen Schmidt is a Partner, General Counsel and Chief Compliance Officer at Valinor Management. Prior to joining Valinor in 2018, Mr. Schmidt was a Partner, General Counsel and Chief Compliance Officer at Falcon Edge Capital.  Before joining Falcon Edge, Mr. Schmidt worked in the New York and London offices of Schulte Roth & Zabel LLP.  Mr. Schmidt is admitted to the bar in New York and is a member of the American Bar Association and the New York City Bar Association, where he serves on the Private Investment Funds Committee. Mr. Schmidt received his Bachelor of Science in Business Economics and Finance from the University of Arizona in 2004, and his JD from Fordham University School of Law in 2008.

Randy Stuzin, Partner and General Counsel, King Street Capital Management GP, L.L.C.

Randy Stuzin is Managing Director and General Counsel of King Street Capital Management, L.P., where he is responsible for the firm’s global legal and compliance departments and policy analysis function.  Prior to joining King Street in March, 2014, Randy spent 14 years at Goldman, Sachs & Co. , where he was Managing Director and General Counsel of the Investment Banking Division, overseeing a team of securities, capital markets and M&A lawyers around the world, and also served as Global Head of Business Selection and Conflicts Clearance for the Equities and FICC Divisions. Randy was previously a Vice President in the Legal Department at Lehman Brothers and began his career as a corporate associate at Cravath, Swaine and Moore. Randy received a B.S. from Cornell University and a J.D. from New York University School of Law.

 

Brian Traficante, General Counsel, York Capital Management

Navigating the Legal Quagmires of Fund Structuring

Moderated By:

Mark Russo, General Counsel, Zais Group, LLC

Mr. Russo serves as General Counsel and a Managing Director at ZAIS and is also a member of ZAIS’s Management Advisory Committee. Mr. Russo was appointed General Counsel in April 2017. Before joining ZAIS in February of 2007, Mr. Russo was an attorney at Thacher Proffitt & Wood LLP in the Structured Finance Practice Group from 2004 to 2007.  He received a B.S. with distinction from The Pennsylvania State University and a J.D. from St. John’s University School of Law.

Featuring:

Kevin Bloss, Associate General Counsel, CarVal Investors LLC

Kevin Bloss is CarVal Investors’ Associate General Counsel.  He oversees all legal and regulatory matters related to the organization, financing and management of the firm’s credit funds and CLO platform.  Mr. Bloss also advises on legal and regulatory matters affecting CarVal Investors’ management company.

Before joining the firm in 2008, Mr. Bloss began his career advising on a range of corporate matters with a focus on capital markets and private equity transactions at the law firms of Fried Frank, and Cooley LLP in New York.  Mr. Bloss earned his J.D. from the University of Minnesota and received his B.A. from Carleton College in Northfield, Minnesota.

CarVal Investors is a leading, global alternative investment fund manager focused on distressed and credit-intensive assets and market inefficiencies.  The firm currently manages $10 billion in investor equity in five offices across the globe.

Michael Fisch, General Counsel, Farallon Capital Management, L.L.C.

Mike Fisch is the General Counsel for Farallon Capital, a global multi-strategy investment manager based in San Francisco.  Previously, Mike worked as a corporate and tax associate at Covington & Burling and as a law clerk to the Honorable Diana G. Motz on the U.S. Court of Appeals for the Fourth Circuit.  Prior to attending law school, Mike was a research analyst at international trade consulting firm in Washington, D.C.   Mike graduated from the University of Michigan Law School with a J.D., cum laude, and with a B.A. in Political Science from Emory University.

Michael Lewkonia, Senior Vice President and Counsel, The D. E. Shaw Group

Michael Lewkonia is a senior vice president of D. E. Shaw & Co., L.P. and a member of the D. E. Shaw group’s Legal & Compliance department, where he works primarily on legal aspects of the structuring and marketing of the firm’s investment products and related regulatory considerations. From 2007 to 2017, Mr. Lewkonia was a member of the firm’s Investor Relations department, where he led a team that focused on certain legal, operational, and strategic issues. Prior to joining the firm in 2007, he was an associate at the law firm of Cleary Gottlieb Steen & Hamilton LLP. Mr. Lewkonia received his B.A. in economics from the University of British Columbia and a J.D. from Yale Law School.

Daniel F. Spies, Partner, Sidley Austin LLP

DAN SPIES is a partner in Sidley’s Investment Funds practice. He has over 16 years of experience focusing on hedge funds and other alternative investment products and their investment advisers in connection with corporate, regulatory and compliance matters. Dan regularly advises clients on the formation and operation of hedge funds, private equity funds, closed-end credit funds, hybrid funds, commodity pools, funds of funds, managed accounts and single investor funds. He also assists his clients with the formation and operation of their management entities, including compliance with the Investment Advisers Act and the Commodity Exchange Act. Dan’s clients range in size from startup managers to large institutional advisers. Dan has a particular focus on seed capital arrangements, including seed capital funds and seeding transactions, representing both seeders and recipients of seed funding. He has also advised several clients in connection with manager acquisitions.

Sidley’s Investment Funds practice has been ranked in the top band for Hedge Funds by Chambers USA every year since 2008. Dan has been recognized in the 2019 edition of Chambers USA for Investment Funds: Hedge Funds in USA – Nationwide. Chambers USA notes that Dan is described as “extremely responsive” and “very commercial.” Dan has also been recognized by IFLR1000 and Legal Media Group as a “Rising Star” for Investment Funds and has been selected as a “Recommended Lawyer” for Investment Fund Formation and Management: Alternative/Hedge Funds by The Legal 500.

Dan joined the firm in 2003 after having served as a law clerk for Vice Chancellor Stephen P. Lamb of the Delaware Court of Chancery. He earned his law degree from the University of Michigan Law School, where he graduated cum laude and his undergraduate degree from Washington University in St. Louis where he graduated summa cum laude. Dan is also a Certified Public Accountant in the State of Illinois.

Derivatives Update: Uncleared Margin Rules, Initial Margin Segregation and ISDA Protocols

Moderated By:

Scott Hendler, Associate General Counsel, Viking Global Investors LP

Scott Hendler is an Associate General Counsel at Viking Global Investors LP.  Prior to joining Viking, Mr. Hendler was an Executive Director in the Legal & Compliance Division of Morgan Stanley, where he was responsible for advising the Prime Brokerage, Securities Lending and Fund Administration businesses. Before joining Morgan Stanley, Mr. Hendler was an associate in Financial Services department of Cadwalader, Wickersham & Taft LLP and an associate in the Corporate Finance and M&A departments of Skadden, Arps, Slate, Meagher & Flom LLP.  Mr. Hendler received his J.D., cum laude, from New York University School of Law, where he was a Robert McKay Scholar, his M.B.A. from Columbia Business School, and his B.A., summa cum laude, from Binghamton University, where he was elected Phi Beta Kappa.

Featuring:

Fabien Carruzzo, Partner, Kramer Levin Naftalis & Frankel LLP

Fabien Carruzzo, Chair of Kramer Levin’s Derivatives and Structured Products practice, counsels asset managers, investment banks, commodity traders and other market participants in the full spectrum of transactional and regulatory derivatives matters.

Recognized by Chambers Global and Chambers USA as one of the leading practitioners in derivatives and structured products, Fabien’s work covers a wide range of equity, credit, currency, commodity, and fixed-income derivatives and bespoke structures, as well as structured financing swaps, repos and other asset-based financing arrangements. Drawing on his experience advising clients on high-profile financial insolvencies, Fabien counsels clients in assessing and mitigating the liquidity, credit, insolvency and regulatory risks inherent in trading financial products. He also advises market participants on the implementation of regulatory reforms affecting the derivatives and futures industry globally.

Fabien’s work with credit derivatives has also involved advising traders on numerous prominent credit and succession events over the years, including recently, as counsel for the members of the International Swaps and Derivative Association (ISDA) Determinations Committee in the landmark decision in Sears to include a syndicated leveraged loan in the list of instruments that can be used to settle Sears’ Credit Default Swap (CDS) contracts.

Fabien holds a Master of Law degree from The University of Chicago Law School and is a graduate, magna cum laude, of the University of Lausanne Law School and School of Forensic Science and Criminology, in Switzerland, where he received both a J.D. and a Master in Criminology.

Sudhir Jain, Director, OTC Derivatives, National Futures Association (NFA)

Sudhir Jain joined NFA in December 2016 as an Examinations Director of OTC Derivatives. He has 15+ years of experience in consulting, risk management, compliance and audit in Asia Pacific and Americas. Sudhir started his career with an auditing firm before joining India’s largest primary dealer as a Risk Manager. After spending few years as a Risk Manager he moved to Cognizant Business Consulting and led their Risk and Compliance practice in the United States. Sudhir was an Executive Director with JPMorgan before joining NFA.
Sudhir has extensive experience working across risk governance, risk management, capital management, margin and collateral management, regulatory reporting and regulatory change management.
Sudhir is an MBA, FRM (Financial Risk Manager) and Certified Fraud Examiner (CFE).
Sudhir lives in New Jersey with his wife and two daughters.

Boris Liberman, Senior Counsel & Head of Trading Documentation, AQR Capital Management, LLC

Boris is AQR’s Senior Counsel & Head of Trading Documentation, providing global oversight and advice for the firm’s trading documentation agreements across all trading instruments for all of firm’s clients. He sits on the steering committee of the Managed Funds Association’s Derivatives and Swaps Committee, the steering committee of the MFA’s OTC Derivatives Forum and several industrywide working groups related to derivatives trading and related regulations. Prior to AQR, Boris was an associate at Linklaters LLP. He began his career as an associate at Katten Muchin Rosenman LLP. He earned a B.S. in finance at Yeshiva University, graduating cum laude, and a J.D. from New York Law School, graduating cum laude.

Chelsea E. Pizzola, Deputy Chief of Staff & Counsel to the Chairman, Commodity Futures Trading Commission (CFTC)

Chelsea Pizzola is Deputy Chief of Staff and Counsel to the Chairman of the Commodity Futures Trading Commission. In these roles, she assists the Chief of Staff in overseeing the CFTC’s approximately 700 employees and provides legal and policy advice to Chairman Heath Tarbert on a broad range of issues.

Ms. Pizzola joined the CFTC from Allen & Overy LLP, where she focused her practice on derivatives regulatory and enforcement work. She has also previously served as a research fellow at the Committee on Capital Markets Regulation and as a law clerk to former CFTC Chairman J. Christopher Giancarlo.

Education

  • JD, summa cum laude, The George Washington University Law School (2016)
  • BA, with distinction, The University of North Carolina at Chapel Hill (2012)

SEC, CFTC and NFA Oversight and Exams Update

Moderated By:

Steven M. Felsenthal, General Counsel and Chief Compliance Officer, Millburn Ridgefield Corporation

STEVEN M. FELSENTHAL is General Counsel and Chief Compliance Officer of Millburn Ridgefield Corporation, a Registered Investment Adviser, Commodity Pool Operator and Commodity Trading Advisor, and its US and international affiliates.  He focuses on all legal and compliance issues relating to the firm’s operations.  Prior to joining Millburn in January 2004, Mr. Felsenthal was a senior associate in the investment management group at Schulte Roth & Zabel LLP (September 1999-January 2004), where he represented and advised hedge funds, registered investment companies, investment advisers, broker-dealers and banks in connection with all facets of their asset management businesses, and a member of the tax department of Kramer, Levin, Naftalis & Frankel LLP (October 1996-September 1999).  He graduated cum laude from Yeshiva University in 1991 with a bachelor of arts degree in political science, and order of the coif from Fordham University School of Law in 1996, where he also served as an editor of the Fordham Environmental Law Journal.  Mr. Felsenthal received an LL.M degree in taxation from New York University School of Law in 2001 and has written and been quoted in numerous published articles, and spoken at conferences, on various topics related to investment management.  Mr. Felsenthal is a member of the New York State Bar, serves on National Futures Association’s Compliance and Risk Committee, is Vice Chairman of the Managed Funds Association (“MFA”) CTA, CPO and Futures Committee, a past member of the Steering Committee of MFA’s CCO Forum, past Co-Chairman of MFA’s CPO/CTA Advisory Committee and a past member of its Steering Committee, a Faculty Member and Lecturer for the Regulatory Compliance Association and a member of the Editorial Boards of the Journal of Securities Operations & Custody (formerly known as the Journal of Securities Law, Regulation and Compliance) and the Journal of Financial Compliance.  He was also recognized by Institutional Investor as one of its 20 Rising Stars in September 2006.

 

Featuring:

Patricia Cushing, Director, Compliance, National Futures Association (NFA)

Patricia L. Cushing is a Director of Compliance at National Futures Association (“NFA”).  She has worked at NFA since 1990.  Ms. Cushing’s responsibilities include overseeing staff who conduct financial and compliance examinations, investigations and financial surveillance of brokerage firms in the commodity futures industry.  Ms. Cushing manages the design of the department’s exam programs and is responsible for the training of the examination staff.  She leads the Compliance Department’s Member education efforts, advises Members on compliance issues, and presents at industry conferences.  Ms. Cushing has served as a liaison between NFA and the CFTC in the development of rules affecting Commodity Trading Advisors and Commodity Pool Operators.

Ms. Cushing is a graduate of Saint Mary’s College in Notre Dame, Indiana.  She is a Certified Public Accountant, Certified Fraud Examiner and a Certified Regulatory Compliance Professional, having received this designation through the FINRA Institute at The Wharton School of Business.

Pamela M. Geraghty, Associate Director, Division of Swap Dealer & Intermediary Oversight, U.S. Commodity Futures Trading Commission

Pamela Geraghty is an Associate Director in the Managed Funds & Financial Requirements Branch of the Division of Swap Dealer and Intermediary Oversight at the Commodity Futures Trading Commission, where she has focused on drafting regulations, advisories, and no-action letters, in addition to providing guidance to the Commission and industry relating to registration and compliance issues involving commodity pool operators, commodity trading advisors, swap dealers, and other swap market intermediaries. Prior to joining the CFTC in 2013, Pamela was a compliance officer for Prudential Financial’s global investment management business providing compliance support for its private debt investment arm, as well as for its commercial mortgage investment business. Ms. Geraghty began her legal career as an enforcement attorney for the New Jersey Bureau of Securities. She received her J.D. and B.A. in economics from The Catholic University of America.

Tom Lloyd, General Counsel and Chief Compliance Officer, Campbell & Company, LP

Thomas Lloyd, General Counsel
Mr. Lloyd joined Campbell & Company in September 2005 and is involved in all aspects of legal affairs, compliance, and regulatory oversight. In addition he oversees Campbell’s Investment and Trade Operations functions. In October 2011, he was appointed Secretary of Campbell & Company. From July 1999 to September 2005, Mr. Lloyd was employed by Deutsche Bank Securities Inc. (“DBSI”), a broker-dealer subsidiary of a global investment bank, in several positions, including Managing Director and head of the legal group for Deutsche Bank Alex Brown, the Private Client Division of DBSI. Prior to 1999, he served on the staffs of the Division of Enforcement of the United States Securities and Exchange Commission and the Enforcement Department of NASD Regulation (now FINRA). Mr. Lloyd holds a B.A. in Economics from the University of Maryland and a J.D. from the University of Baltimore School of Law. Mr. Lloyd is a member of the Bars of the State of Maryland and the United States Supreme Court.

Campbell & Company

Founded in 1972, Campbell & Company is a pioneer in absolute return investment management, specializing in trend following and other quantitative strategies. The Firm maintains a discipline to developing systematic investment strategies driven by the scientific analysis of technical, macro and econometric data across global financial and commodity markets. Campbell seeks to generate attractive absolute and risk-adjusted returns across a broad range of market conditions through systematic investment in a diversified portfolio of futures, forwards and equities. Campbell currently manages approximately $5 billion in assets for institutional and private investors across the globe. Our team consists of 138 individuals, located in our headquarters in Baltimore, MD, and our office in New York with more than half of our associates directly focused on the development, maintenance and implementation of our investment strategies.

Igor Rozenblit, Assistant Director, Co-Head Private Funds Unit, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission  

Igor Rozenblit is the Co-Head of the SEC’s Private Funds Unit. The Private Funds Unit is part of the Office of Compliance Inspections and Examinations and is responsible for developing expertise in and conducting examinations of advisers to private funds. Before joining the Private Funds Unit, Mr. Rozenblit was a private funds expert in the Division of Enforcement’s Asset Management Unit. Prior to joining the SEC, Mr. Rozenblit managed the North American funds portfolio for a large European asset manager and worked at several advisers to private funds.

Christopher Wells, Partner, Proskauer Rose LLP

Chris Wells heads Proskauer’s Hedge Funds Group and has been a leading lawyer in the hedge fund industry for more than 30 years. During that time, he has assisted on hundreds of hedge fund launches, counselling and assisting hedge fund managers as they grew from often very modest beginnings to become some of the world’s largest and best known hedge funds.

He advises fund managers and investors on all aspects of the hedge fund business, including fund structuring and formation, seed investments, asset manager M&A transactions, agreements among principals, employment and compensation issues, and regulatory and enforcement matters.

Chris’s long and deep experience in the hedge fund industry gives him a unique ability to counsel clients dealing with some of the most challenging situations that fund managers can encounter, including complex fund restructurings, evolving hedge fund investment terms, hybrid and alternative fund structures, liquidity challenges and constraints, internal disputes, and complex enforcement matters.

 

10:55 AM – 11:45 AM

PANEL DISCUSSIONS — ESG, GLOBAL MARKETING UPDATE, DIVERSITY AND INCLUSION, DATA SECURITY, FUTURES AND SWAPS TRADING

ESG Regulation and Compliance

Moderated By:

Israel Friedman, General Counsel and Chief Compliance Officer, Kensico Capital Management, Corp.

Israel Friedman is the general counsel and chief compliance officer at Kensico Capital Management Corp., overseeing all legal, compliance and regulatory matters for the firm.

Prior to joining Kensico in 2010, Mr. Friedman was a branch chief in Enforcement at the Securities & Exchange Commission (New York Office) where he conducted a number of high profile investigations, including those of the Galleon/Rajaratnam insider trading ring, the unraveling of the Madoff ponzi scheme, and the collapses at Bear Stearns and Lehman Brothers.

From 1999 to 2006, Mr. Friedman was an associate at the law firm of Wachtell, Lipton, Rosen & Katz and prior to that he served as a law clerk to Richard A. Posner, Chief Judge of the U.S. Court of Appeals for the Seventh Circuit.

Mr. Friedman graduated with honors from the University of Chicago Law School, where he was Articles editor of the Law Review, and received a bachelor’s degree magna cum laude from Columbia University.

Featuring:

Marc Baum, Chief Operating Officer Catalyst Fund and General Counsel, Pacific Road Capital Management

Marc is the Chief Operating Officer – Catalyst Fund, General Counsel and Chief Compliance Officer of Pacific Road Capital Management.  Prior to taking on this role, Marc was at Serengeti Asset Management LP from 2010 to 2020 where he served as Chief Administrative Officer, General Counsel and Chief Compliance Officer and was a Senior Managing Director.  Before Serengeti, Marc was the General Counsel and a Partner of Offit Capital Advisors and a member of the firm’s Investment Committee. From 2005 to 2009, Marc was a Managing Director, the General Counsel and Chief Compliance Officer for Ramius LLC (now Cowen Inc.), which followed his role as Chief Operating Officer and General Counsel for The Seaport Group. Seaport was formed from the broker dealer subsidiary of the IPO Group where Marc served as the CEO and which published the IPO.com web site.  Previously, Marc served as the Chief Legal Officer and Managing Director for compliance at T.D. Securities/The Toronto-Dominion Bank. Before T.D., Marc practiced capital markets law at J.P. Morgan Securities, Merrill Lynch and Salomon Brothers. Marc began his legal career as an associate at Fried, Frank, Harris, Shriver and Jacobson. Marc has been an active member of the Managed Funds Association where he co-leads the General Counsels’ Forum and served on the steering committees for the Hedge Fund Advisory Committee. Marc received his B.A., magna cum laude, from Harvard College, earned his M.Sc. from The London School of Economics and received his J.D. from the University of Chicago Law School.

 

Julien Bourgeois, Partner, Dechert LLP

Based in Washington, D.C., Julien Bourgeois focuses on the U.S. asset management industry, advising U.S. investment advisers, investment funds and service providers, on regulatory, compliance, governance and enforcement matters.  As a general matter, Julien enjoys working on complex projects involving multidisciplinary advice.  He also represents a number of global asset management groups on U.S. matters that apply to them – under U.S. federal and state securities laws or otherwise. He has extensive experience in global compliance approaches.

Carlo V. di Florio, Global Chief Services Officer, ACA Compliance Group

Carlo di Florio is the Global Chief Services Officer of ACA Compliance Group.  ACA Compliance Group (ACA) is a leading provider of governance, risk management, and compliance consulting services and technology solutions.  Carlo oversees ACA’s global service lines, which include Regulatory Compliance; Cybersecurity and Risk; Performance Services; and AML and Financial Crimes. 

 

Prior to joining ACA, Carlo worked for over 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), where he was a Partner in the Financial Services Risk & Regulatory Practice; the Securities and Exchange Commission (SEC), where he was the Director of the Office of Compliance Inspections and Examinations (OCIE); and the Financial Industry Regulatory Authority (FINRA), where he was the Chief Risk & Strategy Officer. In these roles, Carlo led the design and implementation of large scale regulatory compliance improvements, technology and data analytics transformations, and risk management program enhancements.

Carlo also serves as Co-President and Governor of the Risk Management Association (RMA) NY Chapter and as Adjunct Professor at Columbia University, Master of Science program in Enterprise Risk Management.  Carlo has been named one of the 100 Most Influential Leaders in Corporate Governance by the Association of Corporate Directors; one of the Top Trailblazers & Pioneers in Governance, Risk & Compliance by The National Law Journal; and one of the Most Influential People in Finance by Worth Magazine.

Allen K. Parker, General Counsel, APG Asset Management US Inc.

Allen Parker is General Counsel for APG Asset Management US Inc.. He advises the global private equity and hedge fund platforms, and Americas real estate and infrastructure, on fund investments, co-investments and direct transactions.

Mr. Parker previously held the Assistant General Counsel position at Bain Capital, and before that, at Citigroup Alternative Assets. He started his career at Ropes & Gray.

Mr. Parker is a graduate of New York University School of Law and Miami University.

Jeffrey H. Wechselblatt, General Counsel, Chief Compliance Officer, Lone Pine Capital LLC

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

 

Global Marketing Update: An Analysis of the New Advertising and Solicitation Rules

Moderated By:

Noah Goldberg, Managing Director & Senior Deputy General Counsel, Citadel LLC

Noah Goldberg is a Managing Director and Senior Deputy General Counsel for Citadel.

Prior to joining Citadel in 2007, Mr. Goldberg was a Vice President and Assistant General Counsel at Goldman, Sachs & Co., where he had responsibility for alternative investment products within Goldman’s Asset Management division. Mr. Goldberg began his career at the law firm of Fried, Frank, Harris, Shriver & Jacobson LLP where he advised both hedge funds and private equity funds as an Associate in the firm’s Asset Management practice group.

Mr. Goldberg received a bachelor’s degree from Johns Hopkins University and a law degree from the Benjamin N. Cardozo School of Law.

Featuring:

Kenneth Geller, Senior Vice President & Associate General Counsel, Investment Products, Two Sigma Investments, LP

Rachel Grand, Vice President and Counsel, The D.E. Shaw Group

Rachel Grand is a vice president of D. E. Shaw & Co., L.P. and a member of the D. E. Shaw group’s Legal & Compliance department. Ms. Grand served as an associate in the D. E. Shaw group’s Legal department from 2006 to 2010 and as a vice president in its Legal & Compliance department from 2013 to 2017. Prior to rejoining the firm in 2018, she was general counsel and chief compliance officer at Matarin Capital Management, LLC. Ms. Grand previously served as general counsel and chief compliance officer at Chalkstream Capital Group, L.P. and deputy general counsel at Tower Research Capital, LLC. She began her career as an associate at Fried, Frank, Harris, Shriver & Jacobson LLP. Ms. Grand received a B.A. in political science, with distinction, from Yale University and her J.D. from New York University School of Law, where she was managing editor of the Journal of Legislation and Public Policy.

Isaac Haas, Attorney, HBK Capital Management

Isaac S. Haas is an attorney with HBK Capital Management. Mr. Haas is responsible for legal advice and support on a variety of legal and regulatory matters relating to the asset management business, including investor relations; investment adviser and fund structuring, reporting, and operations; and other securities, tax and regulatory matters. Mr. Haas joined HBK in 2015 from Haynes and Boone, LLP, where he advised investment funds, investment advisers, and operating companies on corporate and securities matters. Mr. Haas began his legal career at Jones Day focused on corporate transactional matters.  Prior to law school, Mr. Haas served as the development analyst for Cooper & Stebbins, L.P.

Mr. Haas received his J.D., magna cum laude, from Southern Methodist University Dedman School of Law in 2011 where he was a Hatton W. Sumners Scholar and served on the editorial board of the SMU Law Review Association. He earned his Bachelor of Business Administration in finance as well as risk management and insurance from Baylor University’s Hankamer School of Business in 2004.

Mr. Haas is a licensed attorney and a member of the State Bar of Texas.

Kevin Neubauer, Partner, Seward & Kissel LLP

Kevin Neubauer is a partner in the Investment Management Group at Seward & Kissel LLP.  Kevin has extensive experience representing sponsors and managers of private investment funds, particularly private equity funds, private credit funds, venture capital funds and hedge funds, on the formation, structuring and offering of interests of such funds. He also has significant experience structuring domestic and offshore partnerships and other types of investment vehicles, including special purpose vehicles, co-investment vehicles, separately managed accounts and funds-of-one. Kevin frequently counsels investment advisers on fund restructurings, capital raising, and fund regulation and compliance, including Hart-Scott-Rodino compliance. He joined the Firm in 2009 and in 2012 went on to serve as in-house counsel in the legal department of a large private equity firm before returning to Seward & Kissel.

Mr. Neubauer received a B.A. from Fairfield University and a J.D. from Boston College Law School.

Diversity and Inclusion: Regulatory Update and Practical Application

Moderated By:

Lilly Farahnakian, Managing Director, Global Chief Compliance Officer, GCM Grosvenor

Ms. Farahnakian serves as GCM Grosvenor’s Global Chief Compliance Officer and is a member of the firm’s Operations Committee. She leads the firm’s Compliance Team and is responsible for ensuring that the firm maintains compliance with various federal, state, and international regulations. Prior to joining GCM Grosvenor, she was a Managing Director and Assistant General Counsel at JPMorgan Chase. During this time, she was also Head of Regulatory and Compliance functions for Research, Americas Investment Banking, Americas Control Room, and Disclosure of Interest. She has also worked as an Executive Director in Legal at Morgan Stanley, where she advised its Global Research Department on legal and compliance issues. Prior to that, she practiced as an in-house litigator and Assistant General Counsel at JPMorgan Chase, covering sales and trading, investment banking, research and retail. She began her legal career as a litigation associate at Willkie Farr & Gallagher LLP. Ms. Farahnakian graduated with distinction, Phi Beta Kappa, from the University of North Carolina at Chapel Hill with a Bachelor of Arts in Political Science and French. She was also a Morehead-Cain Scholar. She received her Juris Doctor from Yale University. Currently, Ms. Farahnakian is a member of the Illinois Bar, the New York Bar, The Adler Planetarium Women’s Board, The Yale Chicago Board, and the YaleWomen Chicago Board, and the Facing History Advisory Board. Recently, she was honored by the ADL at their 25th Women of Achievement award.

Featuring:

Matthew Bogart, General Counsel and Chief Compliance Officer, CarVal Investors LLC

Mr. Bogart is the general counsel and chief compliance officer for CarVal Investors. He oversees all of CarVal Investors’ legal and compliance matters across the globe. Prior to joining CarVal in 2007, Mr. Bogart was a partner at Faegre & Benson in Minneapolis where he practiced for 16 years, specializing in real estate, finance and joint venture law. He received his J.D. from the University of Iowa College of Law, graduating with highest honors, and his B.S. degree in marketing and accounting from the University of Colorado.
CarVal Investors is a leading global alternative investment fund manager focused on distressed and credit-intensive assets and market inefficiencies. Since 1987, our experienced team has navigated through ever-changing credit market cycles, opportunistically investing $87 billion in 5,300 transactions across 76 countries. Today, CarVal Investors has approximately $10 billion in assets under management in both credit and real estate strategies.

Tanaz Faghri Dietz, Assistant General Counsel and Chief Compliance Officer, Empyrean Capital Partners, LP

Tanaz Faghri Dietz is Assistant General Counsel and Chief Compliance Officer at Empyrean Capital Partners, LP. She has ten years of corporate and securities law experience. Ms. Dietz joined Empyrean in 2013 as Counsel & Director of Compliance. She Dietz began her legal career in 2009 at Ares Management LLC, where she focused on corporate governance, transactions and compliance matters. In 2010, she joined Proskauer Rose LLP as a Corporate Associate, specializing in capital markets transactions, mergers & acquisitions, securities law and regulatory matters for public and private asset managers and private funds. Ms. Dietz also completed the FINRA Institute at The Wharton School Executive Program in 2014 and is a Certified Regulatory and Compliance Professional. Ms. Dietz received a BS in Applied Economics and Management from Cornell University in 2006, graduating magna cum laude. In 2009, she received her JD from Washington University School of Law in St. Louis.

Evandro Gigante, Partner, Proskauer

Evandro Gigante is a partner in the Labor & Employment Law Department and co-head of the Employment Litigation & Arbitration group and the Hiring & Terminations group. He represents clients through a variety of labor and employment matters, including allegations of sexual harassment, race, gender, national origin, disability and religious discrimination. Evandro also counsels employers through reductions-in-force, employee relations issues and other sensitive employment matters.

With a focus on discrimination and harassment claims, Evandro has extensive experience defending clients before federal and state courts. He tries cases in court and before arbitrators and routinely represents clients before administrative agencies such as the Equal Employment Opportunity Commission, as well as state and local human rights commissions. Evandro often draws on his extensive litigation experience to help clients avoid the courtroom by effectuating positive change in the workplace through impactful anti-discrimination and harassment training, as well as robust employment policies.

Working in a wide range of industries, Evandro has experience representing clients in financial services (including hedge funds and private equity firms), professional sports, media, retail, law firms, higher education, social service providers and others. Evandro also advises charter schools and other not-for-profit organizations on labor and employment matters on a pro bono basis.

Christopher Patterson, Vice President, Chief Audit Executive, Tudor Investment Corporation

Chris Patterson joined Tudor in November 2002 and is based in the Stamford office.  He is a member of Tudor’s Valuation Committee and a co-chair of the Tudor Affinity Group.  Prior to joining Tudor, he was Vice President at Morgan Stanley where he held various positions in Internal Audit (1989-2002).  He was also a Senior Auditor at Arthur Andersen LLP (1987-1989).  Chris holds a B.S. from Pace University (1987).

Data Privacy, Security and Protection: IP, Regional Updates and Regulatory Ramifications

Moderated By:

Emily Locher, General Counsel and Chief Compliance Officer, Summit Rock Advisors

Emily is the General Counsel and Chief Compliance Officer of Summit Rock Advisors (“SRA”), an independent advisory firm founded in 2007 that provides financial advice and portfolio management to a select number of individuals and their family members, family foundations and trusts and independent foundations and endowments. Emily is responsible for oversight and counsel to SRA’s advisory, investment and operating teams in connection with the firm’s legal, compliance and regulatory obligations.
Emily was previously Deputy General Counsel of AQR Capital Management, Head of Legal for AQR’s European funds and management companies and served on the board of directors for AQR’s EU domiciled entities. Before joining AQR, Emily held positions in the AIG Global Investment Group’s Hedge Fund Strategies Group, Akin Gump Strauss Hauer and Feld’s Investment Funds group and Soros Fund Management.
Emily graduated magna cum laude from the University of Notre Dame with a Bachelor of Arts, double majoring in the Program of Liberal Studies and Russian. Emily received her Juris Doctor from Duke University and her Master of Business Administration from Duke University’s Fuqua School of Business. Emily is a member of the New York State Bar and serves on the Board of Directors of the Youth Services Opportunities Project, a New York non-profit organization founded by Quakers to engage young people in volunteer service.

Featuring:

Thomas Baxley, Chief Information Security Officer, Balyasny Asset Management L.P.

Tom is the Chief Information Security Officer at Balyasny Asset Management, and oversees the firm’s Information Security program. Prior to Balyasny, Tom was the Chief Information Security Officer at Pine River Capital Management. Tom was previously a Security Engineer at Pine River and a Cybersecurity Consultant at Ernst & Young. Tom holds a Bachelor of Science degree in Information Security and Forensics from Rochester Institute of Technology.

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.

Trisha Sircar, Partner, Privacy, Data and Cybersecurity, Katten Muchin Rosenman LLP

The value of data as an asset has increased substantially in today’s global digital economy. In the high-stakes environment of global intellectual property and technology services, businesses, consumers and individuals need protection. With more than a decade of experience in helping to protect a wide range of businesses — including one of the world’s largest insurance companies — Privacy, Data and Cybersecurity partner Trisha Sircar provides practical guidance and creative solutions regarding global privacy and data security risks and compliance issues.

Trisha provides clients with practical advice to help manage and mitigate the risks associated with the collection, use and disclosure of personal data and confidential information. This involves strategizing with clients to develop and maintain a global privacy program and assisting them in managing their day-to-day privacy compliance needs. Trisha reviews, drafts and negotiates global privacy, data security and records management provisions in third-party contracts and cross-border data transfer agreements. She conducts extensive privacy impact assessments to evaluate technology, analytics and innovation projects, and helps implement such projects in compliance with applicable privacy, data security and records management requirements.

Futures and Swaps Trading: SEFs, Position Limits and Electronic Trading Risk Management Principles

Moderated By:

Edgar Ortega Barrales, Vice President & Senior Counsel, Two Sigma Investments, LP

Featuring:

Richard Grant, Global Head of Regulatory and Government Affairs, Associate General Counsel, AQR Capital Management, LLC

Richard Grant is a Managing Director and Global Head of Regulatory and Government Affairs at AQR Capital Management. In this role, Richard is responsible for overseeing AQR’s government and regulatory affairs strategy globally. Prior to AQR, Richard spent eight years at the U.S. Securities and Exchange Commission, where he served in a variety of positions including counsel to two Commissioners and co-chief of staff.  He began his career as an associate at Sutherland Asbill and Brennan LLP in Washington D.C. Richard earned a B.A. in economics from Baylor University and a J.D. from Notre Dame Law School.

Jonah Platt, US Head of Government and Regulatory Policy, Citadel LLC

Jonah Platt is U.S. Head of Government & Regulatory Policy for Citadel, helping to lead the firm’s engagement on legislative and regulatory initiatives across a wide range of asset classes, including fixed income, credit, commodities, and equities.

Prior to joining Citadel, Mr. Platt was an Executive Director for Sales and Trading Legal at UBS Investment Bank. Previously, he was a Derivatives and Capital Markets Associate at Allen & Overy LLP.

Mr. Platt received a bachelor’s degree with high distinction from the University of Michigan and graduated magna cum laude from the University of Michigan Law School.

Petal P. Walker, Special Counsel, WilmerHale

Petal Walker counsels Financial Market Infrastructures (FMIs), banks and intermediaries, as well as innovators in the digital space, in meeting compliance obligations in a complex web of regulatory requirements. She advises companies on futures and swaps compliance and regulation and works closely with attorneys in banking, corporate and energy to deliver comprehensive, multi-faceted legal advice to clients. Ms. Walker rejoined WilmerHale in 2017 after serving as chief counsel for Commissioner Sharon Bowen at the CFTC, where she advised on policy and enforcement issues and served on the Market Risk Advisory Committee.

11:45 AM – 12:00 PM

Break

12:00 PM – 12:50 PM

PANEL DISCUSSIONS — CFTC ENFORCEMENT UPDATE, ENFORCEMENT ACTIONS, LIBOR, CYBERSECURITY, SHAREHOLDER LITIGATION

CFTC Enforcement Priorities and Update: Spoofing, Crypto and Cyber

Moderated By:

Mark Hannafey, Legal and Compliance Counsel, Moore Capital Management, LP

Mark Hannafey has been Legal and Compliance Counsel at Moore Capital Management, LP since 2007. Mr. Hannafey has twenty years of legal experience in asset management.  Mr. Hannafey received his BA from Georgetown University and his JD from St. John’s University School of Law.

Featuring:

Robert Howell, Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission

Robert Howell is currently the Deputy Director for the Division of Enforcement and is in charge of the Division’s Chicago office. Prior to being appointed Deputy Director, he served as a chief trial attorney where he represented the Division in many enforcement actions, including matters stemming from allegations of manipulation, fraud, and trade practice misconduct. Prior to joining the CFTC, Mr. Howell was a litigator at the law firms of Mayer Brown LLP and Wilmer Cutler Pickering Hale and Dorr LLP.

Cynthia Cain Ioannacci, Associate General Counsel, National Futures Association (NFA)

Cynthia Cain Ioannacci is an Associate General Counsel in the General Counsel’s Office of National Futures Association. In her current position, Ms. Cain Ioannacci oversees NFA enforcement matters. Ms. Cain Ioannacci joined NFA in 1985 and has worked in NFA’s Arbitration, Communications and Compliance Departments. Ms. Cain Ioannacci earned her law degree from Loyola University School of Law.

Chris Kemnitz, Partner, Katten Muchin Rosenman LLP

Christian Kemnitz devotes his practice to the defense of financial services firms in litigation, regulatory enforcement proceedings and internal investigations. His work frequently involves disputes over futures, options, swaps, securities and other complex financial products. In particular, he has extensive experience defending matters relating to spoofing, manipulation and other forms of disruptive trading.

Enforcement Actions and Insider Trading Update

Moderated By:

Andrew Genser, General Counsel, Viking Global Investors LP

Andy is General Counsel of Viking Global Investors LP. Prior to joining Viking in June 2018, Andy was a partner for 14 years in the Government, Regulatory & Internal Investigations and Litigation practice groups at Kirkland & Ellis LLP in New York, where he handled a wide variety of white-collar defense and complex litigation matters. From 1998 to 2004, he was an Assistant United States Attorney in the United States Attorney’s Office for the Eastern District of New York, where he prosecuted and tried numerous criminal cases and argued a number of appeals, and also served as Deputy Chief of the General Crimes Section. Andy was an associate at Cravath, Swaine & Moore from 1995 to 1998, and before that served as law clerk to the Hon. Thomas P. Griesa, Chief Judge of the United States District Court for the Southern District of New York. He received his J.D. (cum laude) from Harvard Law School in 1994 and his B.A. (summa cum laude) in English from Cornell University, College of Arts & Sciences in 1991.

Featuring:

Kelly L. Gibson, Director of the Philadelphia Regional Office, U. S. Securities and Exchange Commission (SEC)

Kelly L. Gibson is the Director of the SEC’s Philadelphia Regional Office, where she leads a staff of approximately 160 enforcement attorneys, accountants, and investigators who investigate and enforce the federal securities laws nationwide, and examiners who perform compliance inspections in the Philadelphia region. The Philadelphia office has jurisdiction over nearly 1,200 investment advisers and investment companies with over $10 trillion in assets under management, over 65 mutual fund complexes, and over 240 broker-dealers with over 14,500 branch offices.  Ms. Gibson joined the SEC in 2008 as a staff attorney in the Division of Enforcement. When the division was reorganized in 2010, she joined the Market Abuse Unit. In 2013, she was promoted to Assistant Regional Director and then to Associate Regional Director of the Philadelphia office in 2017.  Ms. Gibson has investigated and supervised a number of significant investigations and litigation involving international cyber, trading, and market manipulation schemes; serial insider trading; broker-dealer and investment adviser regulation; offering frauds; and other securities law violations.  Prior to joining the SEC, Ms. Gibson was a litigation attorney at Ballard Spahr LLP in Philadelphia.

 

Colleen K. Lynch, General Counsel and Chief Compliance Officer, Coatue Management, L.L.C.

Vincent Tortorella, General Counsel and Chief Compliance Officer, Point72 Asset Management, L.P.

Vincent Tortorella is the General Counsel and Chief Compliance Officer of Point72. He is a former Assistant U.S. Attorney and member of the Department of Justice. Mr. Tortorella joined Point72 in April 2014 to create and lead a Surveillance unit, which was later merged with the Firm’s Compliance group under Mr. Tortorella’s leadership. In 2019, he became the Firm’s General Counsel.

Prior to joining Point72, Mr. Tortorella worked at Coatue Management as the General Counsel and Head of Proprietary Research. He was previously the Chief Operating Officer and General Counsel at Guidepoint Global in New York.

Earlier in his career, Mr. Tortorella was a federal prosecutor, serving as an Assistant U.S. Attorney in the Southern District of New York, as well as a trial attorney in the criminal division of the U.S. Department of Justice in Washington, D.C. Prior to that, Mr. Tortorella practiced white collar and commercial litigation in the New York office of Skadden, Arps, Slate, Meagher & Flom, and clerked for the Hon. William H. Pauley III in the Southern District of New York.

Mr. Tortorella received his B.A. in English from Dartmouth College and is an honors graduate of Duke University School of Law. He is a member of the Board of Advisors of Children of Fallen Patriots Foundation.

Craig S. Warkol, Partner, Schulte Roth & Zabel LLP

Craig S. Warkol is a partner at Schulte Roth & Zabel, where he is co-chair of the firm’s Broker-Dealer Regulatory & Enforcement Group. Craig’s practice focuses on enforcement and regulatory matters for broker-dealers, private funds, financial institutions and individuals. Drawing on his experience both as a former enforcement attorney with the U.S. Securities and Exchange Commission and as a Special Assistant U.S. Attorney, Craig advises clients on securities trading matters and, when necessary, represents them in regulatory investigations and enforcement actions by the SEC, DOJ, FINRA, CFTC and other self-regulatory organizations and state regulators. Craig leads training sessions on complying with insider trading and market manipulation laws and assists hedge funds and private equity funds in connection with SEC examinations. He also has experience representing entities and individuals under investigation for, or charged with, securities fraud, mail/wire fraud, accounting fraud, money laundering, Foreign Corrupt Practices Act (FCPA) violations and tax offenses. In his previous roles in the U.S. Attorney’s Office for the Eastern District of New York and the SEC, Craig prosecuted numerous complex and high-profile securities fraud, accounting fraud and insider trading cases.

Craig is recognized as a leading litigation lawyer in Benchmark Litigation: The Definitive Guide to America’s Leading Litigation Firms and Attorneys, The Legal 500 US and New York Super Lawyers. He is a former law clerk to the Hon. Lawrence M. McKenna of the U.S. District Court for the Southern District of New York. Craig has written and spoken about enforcement trends in the private fund space and other industry-related topics. He was interviewed for the article “Execution Enforcement Actions Escalate,” published in The Hedge Fund Journal. Craig earned his J.D., cum laude, from the Benjamin N. Cardozo School of Law and his B.A. from the University of Michigan.

Preparing for the LIBOR Transition

Moderated By:

Serge Todorovich, General Counsel and Chief Compliance Officer, Shenkman Capital Management, Inc.

Serge Todorovich is Senior Vice President, General Counsel and Chief Compliance Officer at Shenkman Capital Management, Inc., a traditional and alternative credit manager based in New York with offices in Stamford, CT and London, UK. Previously, he was General Counsel & Chief Compliance Officer of Prosiris Capital Management LP and Associate General Counsel at Eton Park Capital Management, L.P. Prior to joining Eton Park, Mr. Todorovich was Vice President and Assistant General Counsel at Goldman, Sachs & Co., where he provided legal counsel to the sales and trading desks in the Fixed Income, Currency and Commodities Division. He joined Goldman Sachs from Shearman & Sterling LLP, where he was an Associate in the Asset Management Group in New York. He is an active member of industry and professional association committees and working groups focused on the investment management industry, derivatives, and financial regulation. Mr. Todorovich received his Juris Doctor from the University of Virginia School of Law, a Master of Arts in Law & Diplomacy from the Fletcher School of Law & Diplomacy and a Bachelor of Arts from Tufts University.

Featuring:

Luis Asturizaga, Executive Director, JPMorgan

Luis Asturizaga is an Executive Director at JPMorgan and is part of the Firmwide LIBOR Transition Program team. Prior to this role, he managed various initiatives within the Controls office, with a focus on enhancements to the supervisory controls framework. Prior to joining JPMorgan in 2013, Luis managed teams within the North America Fixed Income Cash Middle Office team at Morgan Stanley.

Anne E. Beaumont, Partner, Friedman Kaplan Seiler & Adelman LLP

Anne Beaumont’s practice focuses on representation of investment and asset management firms and their managers and investors as well as financial services firms in litigation matters and disputes involving complex financial products and transactions. She also counsels and trains financial services industry clients on legal compliance, due diligence, and other issues, and advises investment and asset managers and their professionals on employment and separation issues.  Ms. Beaumont leads Friedman Kaplan’s LIBOR Transition Task Force, and also serves on the firm’s Management Committee.  Ms. Beaumont is a member of 100 Women in Finance and the Managed Funds Association, for which she serves as a member of the Outside Counsel Forum Steering Committee.

David Metzman, Senior Policy Advisor, Trading and Markets, U. S. Securities and Exchange Commission (SEC)

David Metzman is a Senior Policy Advisor in the SEC’s Division of Trading and Markets where he currently focuses on the LIBOR transition and Consolidated Audit Trail and various other matters.  He joined the SEC in 2017 as a Counsel to the Director of Trading and Markets.

Before joining the SEC, David served as General Counsel and Chief Compliance Officer, Aurelius Capital Management, a Registered Investment Advisor of hedge funds focusing on distressed and activist investing, Chief Legal Officer, Gramercy Funds Management, a Registered Investment Advisor of hedge funds focusing on emerging markets and quantitative investing, Associate General Counsel, Lehman Brothers and Associate, Sullivan & Cromwell.

David received his B.A., Phi Beta Kappa, from the University of Miami and his J.D., Order of the Coif, cum laude, from University of Pennsylvania Law School, where he was an Associate Editor of the Journal of International Business Law.

Danforth Townley, General Counsel, Bracebridge Capital LLC

Cybersecurity Update: Data Breaches, Credential Harvesting and Best Practices Post COVID-19

Moderated By:

Christopher D. Moore, General Counsel, Angelo Gordon

Chris Moore is Angelo Gordon’s General Counsel and is responsible for the firm’s legal and compliance matters. Prior to joining Angelo Gordon in April 2020, Chris served as the General Counsel for GE Capital and for GE Corporate Treasury & Capital Markets, where he led the legal and compliance functions of both organizations. Previously, he served as Global Head of Litigation & Legal Policy for GE Capital and Senior Counsel, Litigation & Legal Policy at GE. Before joining GE in 2008, Chris was a Partner at Goodwin Procter LLP in Boston, focused on securities and corporate governance matters, internal and government investigations, and other complex litigation.  His public service positions include Chairman of the Judicial Nominating Commission for the Commonwealth of Massachusetts and Commissioner of the Massachusetts State Ethics Commission.  Chris began his legal career in Washington, D.C. as an associate in the Civil, Criminal, and Constitutional Litigation group at Sidley Austin LLP after serving as a law clerk to the Honorable Michael S. Kanne of the United States Court of Appeals for the Seventh Circuit. He holds a B.A. degree in history from Cornell University and a J.D. degree from the Northwestern University School of Law.

Featuring:

Brad Carpenter, Special Agent, Federal Bureau of Investigation Cyber Division

Daniel Lennard, Associate, Kramer Levin Naftalis & Frankel LLP

Daniel Lennard is a litigator who works on civil litigation, including securities, antitrust and real estate litigation, as well as white collar criminal and regulatory defense. Daniel has assisted in the defense of individuals and corporations in a variety of sensitive and high-profile matters in state and federal courts, regulatory inquiries, and investigations. Daniel is also a member of the firm’s Cybersecurity, Privacy and Data Protection practice group and is a regular contributor to the group’s publications.

George Schultzel, Supervisory Special Agent, Cyber Crime Task Force, Kansas City Field Office, Federal Bureau of Investigation

Shareholder Litigation: Best Practices in Assessing and Monetizing Client Claims Globally

Moderated By:

Steven Smith, Chief Operating Officer and General Counsel, PAR Capital Management, Inc.

Steven M. Smith is a Managing Partner and serves as Chief Operating Officer, General Counsel and Chief Compliance Officer at PAR Capital Management, Inc., a Boston-based hedge fund adviser. Prior to joining PAR in the fall of 2010, Steve was the Chief Legal Officer, Chief Compliance Officer and Head of Technology at Numeric Investors, LLC in Boston. Between September 2006 and November 2010, Steve was responsible for a variety of legal, compliance and business initiatives at Numeric. Before taking his role at Numeric, Steve was Chief of Staff for the Global Chief Investment Officer of Citigroup Asset Management (CAM) in Stamford, CT and New York. Following the acquisition of CAM by Legg Mason in December of 2005, Steve held a senior position in Legg Mason’s Institutional Asset Management group. Before joining CAM, Steve was a partner in the Business Department at the Boston-based law firm of Choate, Hall & Stewart. He graduated with a B.A. from Boston College and a J.D. from Boston College Law School.

Featuring:

Darren J. Check, Partner, Kessler Topaz Meltzer & Check, LLP

Darren J. Check, a partner of the Firm, concentrates his practice in the area of shareholder litigation and client relations. Mr. Check manages the Firm’s Portfolio Monitoring Department and works closely with the Firm’s Case Evaluation Department. Mr. Check received his law degree from Temple University School of Law and is a graduate of Franklin & Marshall College. Mr. Check is admitted to practice in numerous state and federal courts across the United States.

Currently, Mr. Check consults with institutional investors from around the world with regard to their investment rights and responsibilities. He currently works with clients in the United States, Canada, the Netherlands, Sweden, Denmark, Norway, Finland, United Kingdom, Italy, Germany, Austria, Switzerland, France, Australia and throughout Asia and the Middle East.

Mr. Check assists Firm clients in evaluating and analyzing opportunities to take an active role in shareholder litigation, arbitration, and other loss recovery methods. This includes U.S. based litigation and arbitration, as well as an increasing number of cases from jurisdictions around the globe. With an increasingly complex investment and legal landscape, Mr. Check has experience advising on traditional class actions, direct actions, non-U.S. opt-in actions, fiduciary actions, appraisal actions and arbitrations to name a few. Mr. Check is frequently called upon by his clients to help ensure they are taking an active role when their involvement can make a difference, and that they are not leaving money on the table.

Mr. Check regularly speaks on the subjects of shareholder litigation, corporate governance, investor activism, and recovery of investment losses at conferences around the world.

Mr. Check has also been actively involved in the precedent setting Shell and Fortis settlements in the Netherlands, the Olympus shareholder case in Japan, direct actions against Petrobras, BP, Vivendi, and Merck, and securities class actions against Bank of America, Lehman Brothers, Royal Bank of Scotland (U.K.), and Hewlett-Packard. Currently Mr. Check represents investors in numerous high profile actions in the United States, the Netherlands, Germany, Canada, France, Japan, and the United Kingdom.

Scott Pomfret, Founder, Regulatory Counsel LLC, and Board Member, Highfields Capital Ltd.

Scott Pomfret is the founder  of Regulatory Counsel LLC, a law firm that provides regulatory and compliance advice to managers of private investment funds and the independent research firms that serve them. From 2011-2019, Pomfret was Regulatory Counsel and Chief Compliance Officer of Highfields Capital Management LP. Prior to Highfields, Pomfret was a director of the PwC Financial Services Regulatory Group, an SEC enforcement branch chief, a Special Assistant United States Attorney, and a litigator at Ropes & Gray. Pomfret is a member of the board of directors of Highfields Capital Ltd; an independent advisory committee member for Cayman-based private funds managed by Solel Partners; and a member of the advisory committee of Liminality Capital.

Stefanie Sundel, Regulatory Counsel, Sculptor Capital Management

Stefanie J. Sundel, Esq. is Regulatory Counsel at Sculptor Capital LP, the investment adviser of Sculptor Capital Management, Inc., a global alternative asset management firm with fully integrated platforms across Multi-Strategy, Credit, and Real Estate.

Previously, Stefanie was a Securities Compliance Examiner and Attorney in the SEC’s Office of Compliance Inspections and Examinations in the Investment Adviser/ Investment Company Examination Program. During her tenure at the SEC, Stefanie led and conducted complex examinations of investment advisers, including private equity and hedge fund firms, to ensure compliance with federal securities laws such as the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Prior to joining the SEC, Stefanie was an associate at Bernstein Litowitz Berger & Grossmann LLP, where she specialized in private litigation focusing on securities fraud, corporate governance, and shareholder rights.

Stefanie is a Certified Fraud Examiner, holds a Bachelor of Arts in International Relations from Franklin University Switzerland (magna cum laude), and a Juris Doctor from New York Law School (cum laude).

Stephen N. Waldman, General Counsel, Tudor Investment Corporation

Stephen N. Waldman is a managing director, general counsel and partner of Tudor Investment Corporation and its affiliates and is a member of the firm’s Management Committee and Operating Committee.
Prior to joining Tudor in 1995, Mr. Waldman was at the law firm of Debevoise & Plimpton in New York (1992 – 1995) where he specialized in securities, mergers and acquisitions and private investment funds. Previously, Mr. Waldman was an equity securities analyst at Kidder, Peabody & Co. Incorporated (1986-1989). Mr. Waldman holds a B.S. in Economics from The Wharton School of Finance of the University of Pennsylvania and a J.D. from Columbia University School of Law. Mr. Waldman is a Chartered Financial Analyst (CFA).

12:50 PM - 1:05 PM

Break

1:05 PM - 1:35 PM

Keynote Fireside Chat: Lessons Learned - Recent Criminal Prosecutions, SEC War Stories and Life as a General Counsel

Keynote:

Robert S. Khuzami, Managing Partner and Chief Legal Officer, Guggenheim Partners, LLC

Rob Khuzami currently serves as the Chief Legal Officer and Managing Partner at Guggenheim Partners, LLC, a global investment and advisory firm.
From January 2018 through April 2019, Rob served as Deputy United States Attorney in the United States Attorney’s Office for the Southern District of New York. He was the acting United States Attorney in charge of United States v. Cohen, in which Michael Cohen, the ex-counsel to President Trump, was convicted of multiple crimes, including campaign finance violations for arranging secret hush-money payments to two women as part of a “catch and kill” strategy to benefit the president’s 2016 campaign. From 1990 to 2002, Khuzami was an Assistant U.S. Attorney in the Southern District of New York, where he tried ten criminal trials to verdict and also served as chief of its Securities and Commodities Fraud Task Force. Rob was part of the prosecution team in United States v. Abdel Rahman, et al., then the largest terrorism trial in US history. The trial resulted in the conviction of Omar Ahmed Ali Abdel Rahman and nine codefendants for operating an international terrorist organization responsible for, among other crimes, the 1993 World Trade Center bombing and the July 1993 plot to bomb the United Nations, the Lincoln and Holland Tunnels, and the FBI headquarters. For their efforts, the prosecution team was awarded the Attorney General’s Award for Exceptional Service, the highest award offered by the Justice Department. From 2009 to 2013, Rob served as Director of the Division of Enforcement of the United States Securities and Exchange Commission, assuming the role shortly after the 2008 financial crisis and immediately following revelations of Bernard Madoff’s massive Ponzi scheme. He guided the division through the most significant restructuring in its history while it filed cases in record numbers, many of which involved highly complex and emerging financial markets, products, and transactions. He also supervised multiple cases in which the SEC prosecuted financial institutions and individuals for defrauding investors in the sale of complex derivative securities tied to subprime mortgages. President Obama appointed Khuzami to serve as co-chair of two federal-state task forces created to prosecute financial-crisis misconduct, and he testified on 11 occasions before House and Senate congressional committees. In the private sector, previously, he was a partner at Kirkland & Ellis LLP, worked at Deutsche Bank AG as both Global Head of Litigation and Regulatory Investigations and as General Counsel for the Americas, and was an associate at Cadwalader. Rob was a prime-time speaker at the 2004 Republican National Convention, and was the 2018 Commencement Speaker at Boston University School of Law. Khuzami is a 1979 graduate, magna cum laude, from the University of Rochester, where he received his BA in political science and philosophy, and was elected to Phi Beta Kappa. He also served as a law clerk to the Hon. John R. Gibson of the United States Court of Appeals for the Eighth Circuit from 1983 to 1984.

Interviewed By:

Richard B. Zabel, General Counsel and Chief Legal Officer, Elliott Management Corporation

Richard B. Zabel is the General Counsel and Chief Legal Officer at Elliott Management Corporation.  He is formerly the Deputy United States Attorney at the United States Attorney’s Office for the Southern District of New York.  From October 2009 until October 2011, he was the Chief of the Criminal Division.  From 1999 until 2009, prior to rejoining the U.S. Attorney’s Office, Mr. Zabel was a partner at the law firm Akin Gump Strauss Hauer & Feld LLP, where he was co-head of the firmwide litigation practice.  His practice focused on white collar criminal defense, SEC investigations, corporate internal investigations, complex civil litigation and appeals.

Before joining Akin Gump, Mr. Zabel served for eight years as an Assistant U.S. Attorney in the U.S. Attorney’s Office for the Southern District of New York.  During his tenure, he prosecuted a variety of cases involving securities fraud, obstruction of justice, racketeering, murder, firearms and narcotics charges, and argued numerous cases before the U.S. Court of Appeals for the Second Circuit.  Mr. Zabel served as Chief of the Narcotics Unit at the U.S. Attorney’s Office and has received numerous awards, including the Attorney General’s Award for Distinguished Service and the Department of Justice Director’s Award for Superior Performance as an Assistant U.S. Attorney.

Mr. Zabel received his A.B. summa cum laude in 1983 from Princeton University, where he was a member of Phi Beta Kappa.  He was a Fulbright Scholar to France.  He received his J.D. in 1987 from Harvard Law School where he was an Ames Moot Court winner and Best Oralist.  He teaches as an adjunct professor of National Security and Terrorism Investigations and Prosecutions at Columbia Law School.  He has also taught Criminal Law at the Fordham University School of Law.

Written Works

“In Pursuit of Justice, Prosecuting Terrorism Cases in the Federal Courts: 2009 Update and Recent Developments,” Human Rights First, July 2009
“In Pursuit of Justice, Prosecuting Terrorism Cases in the Federal Courts,” Human Rights First, May 2008
“Congress’ Role in Investigating Fraud: Are Legislators’ Aggressive Approaches in Hearings Helping or Hindering the Process?” New York Law Journal
“Reviewing Materiality in Accounting Fraud,” New York Law Journal
“Queen for a Day” or “Courtesan for a Day,” Andrews White Collar Reporter
“Recent Activity by the Sentencing Commission,” White Collar Crime Reporter
“Amending the Sentencing Guidelines,” New York Law Journal

 

 

 

Hosted By:

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

1:40 PM - 2:30 PM

Ethics: Issues of Legal Ethics and Professionalism in Times of Crisis: Remote Work Environments, Human Resources, Ethical Decision-Making and Communications

Moderated By:

Marty Meekins, Chief Operating Officer & General Counsel, Empyrean Capital Partners, LP

Marty Meekins has over 20 years of legal and business experience. Mr. Meekins joined Empyrean in 2011 from Perella Weinberg Partners, a global financial services firm that provides advisory and asset management services, where he was Assistant General Counsel from 2007-2011. Mr. Meekins served as General Counsel to Ace Ventures, a private investment firm from 2006-2007. From 1997 to 2005, Mr. Meekins was a Corporate Associate at several top national law firms, including Vinson & Elkins in Houston, Covington & Burling in Washington, DC, and White and Case LLP in Los Angeles. Mr. Meekins received his BA in 1993 from The University of Texas at Austin in Plan II, with honors, was a Dean’s Distinguished Graduate and a member of Phi Beta Kappa. In 1997, he contemporaneously received both his MBA from The University of Texas McCombs School of Business and JD from The University of Texas School of Law. Mr. Meekins is member of the American Bar Association’s Hedge Funds Subcommittee, as well as a former member of the New York City Bar Association’s Private Investment Fund Committee.

Featuring:

Elizabeth Keeley, Chief Operating Officer & General Counsel, Taconic Capital Advisors LP

Elizabeth Keeley is a Principal, Chief Operating Officer and General Counsel of Taconic Capital Advisors LP. Ms. Keeley joined Taconic in August 2005 as Chief Compliance Officer and Associate General Counsel and became General Counsel and a Principal in January 2013 and Chief Operating Officer in April 2017. Prior to joining Taconic, Ms. Keeley spent over seven years as an Associate at Sidley Austin LLP where she provided legal and regulatory advice to a variety of investment entities including mutual funds, investment banks, investment advisers and private funds. Ms. Keeley also spent over two years at Funds Distributor, Inc., most recently as Vice President and Senior Counsel. Ms. Keeley received a B.S., with distinction, from Cornell University in 1991, and a J.D. from Fordham University School of Law in 1995.

Brian Meyer, Co-Chief Operating Officer and General Counsel, Fir Tree Partners

Brian Meyer is a Partner, Co-Chief Operating officer and General Counsel of Fir Tree Partners.  Brian is responsible for overseeing the firm’s legal, compliance, human resources and regulatory matters.  Prior to joining Fir Tree, Brian was a Managing Director at Veronis Suhler Stevenson, a media-focused private equity firm and investment bank.  From 1997 until 2004, Brian worked closely with Fir Tree Partners as General Counsel of The Official Information Company, a Fir Tree investment.  From 1993 to 1997, he was Senior Corporate Counsel at Revlon, Inc.  Brian began his professional career specializing in M&A, corporate, securities and banking law at the law firms of Latham & Watkins (1990 – 1993) and Milbank Tweed Hadley & McCloy (1986 – 1989).  Brian received a J.D. degree from U.C. Berkeley’s Boalt Hall (1986), where he was Executive Editor of the California Law Review, and received a B.A. in History and graduated magna cum laude from the University of California at Berkeley (1982).

Simon Raykher, General Counsel, Kepos Capital LP

Simon Raykher is general counsel and chief compliance officer of Kepos Capital LP. Kepos Capital LP is a globally focused asset management firm that employs systematic research and investment process.

Before joining Kepos in 2012, Mr. Raykher served as general counsel and chief compliance officer at Lombard Odier Asset Management (USA) Corp, the US asset management subsidiary of one of the oldest and largest private banks in Switzerland. For the previous seven years, he was general counsel, chief compliance officer, and principal of Satellite Asset Management, L.P., a hedge fund manager which managed in excess of $7 billion at its peak across multiple strategies in New York and London.

Prior to Satellite, Mr. Raykher was an attorney with the law firm of Schulte Roth & Zabel LLP. Earlier in his career, he was a prosecutor with the Investigation Division of the New York County District Attorney’s office where Mr. Raykher conducted tax fraud and money laundering investigations.

Mr. Raykher holds a B.B.A. and M.B.A. in Accounting from Pace University and a J.D. from Fordham University School of Law.

Gregory S. Rowland, Partner, Davis Polk & Wardwell LLP

Mr. Rowland is a partner in Davis Polk’s Corporate Department, practicing in the Investment Management Group. He focuses on providing transactional, regulatory and compliance advice relating to investment advisers, mutual funds, closed-end funds, business development companies, private equity funds and hedge funds. He devotes a large portion of his practice to the structuring, launch and operation of registered investment companies and hedge funds and to the sales, acquisitions and restructurings of asset management firms.

Mr. Rowland advises financial institutions, technology companies and asset managers in connection with transactional, regulatory and compliance issues concerning digital currency and blockchain activities, including digital currency fund formation.

In addition, he advises financial institutions, fund sponsors, corporations, employees’ securities companies, and other entities regarding exemptions under the Investment Company Act and Investment Advisers Act.

2:30 PM – 2:35 PM

Closing Remarks

Featuring:

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.