Agenda

  • July 13
  • July 14

10:00am

Welcome Remarks:

Bryan N. Corbett, President and 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.

10:05am–10:55am

State of Affairs: The Industry Perspective

Panelists:

Halit Coussin, Chief Legal Officer and Chief Compliance Officer, Pershing Square Capital Management L.P.

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.

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.

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.

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.

 

Moderator:

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.

10:55am–11:20am

Keynote Fireside Chat with SEC Commissioner Peirce

Keynote:

Commissioner Hester M. Peirce, U.S. Securities and Exchange Commission

Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018. Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims. Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.

Interviewed By:

Kelli Moll, Partner, Proskauer Rose LLP

Kelli Moll is a partner of the Private Funds Group. With over 25 years of experience amassed advising large institutional asset managers to independent sponsors across the spectrum of asset classes, Kelli is considered a leading lawyer in the funds industry.

Kelli’s practice particularly focuses on counseling investment advisors on the formation and ongoing operations of hedge funds, credit funds and growth equity funds. Kelli regularly advises fund sponsors on fund formation, co-investment arrangements, upper tier arrangements, seed capital arrangements, asset manager M&A, complex fund restructurings, funds-of-one, managed accounts and various regulatory issues.

Recognized for her deep knowledge of the industry and superior dedication to her clients, they have deemed Kelli as “fantastic; smart and commercial” and “very knowledgeable” in directories such as Chambers and Legal 500, where she is ranked as a top practitioner in her field year after year.  Kelli is also a staple at industry events, where she is regularly engaged for her thought leadership on business and regulatory trends in the marketplace.

Kelli is impassioned with the arts and serves as a member of the American Ballet Theatre charitable board.

11:20am–11:45am

Keynote Fireside Chat with SEC Commissioner Crenshaw

Keynote:

Commissioner Caroline A. Crenshaw, U.S. Securities and Exchange Commission

Caroline A. Crenshaw was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission, unanimously confirmed by the U.S. Senate, and sworn into office on August 17, 2020.

Commissioner Crenshaw brings to the SEC a range of securities law and policy experience and a commitment to public service and the SEC’s mission. Most recently, she served as Counsel to Commissioners Kara Stein and Robert Jackson, focusing on strengthening investor protections in our increasingly complex markets.

Commissioner Crenshaw also served as a career SEC staff attorney in the Office of Compliance Inspections and Examinations and the Division of Investment Management, helping oversee the institutions that manage millions of Americans’ savings. In addition, Commissioner Crenshaw currently serves as a captain in the United States Army Reserve, Judge Advocate General’s Corps.

Prior to government service Commissioner Crenshaw practiced law in the Washington, D.C., office of Sutherland, Asbill and Brennan LLP.  At Sutherland she represented public companies, broker-dealers, and investment advisers on complex securities law investigations and enforcement matters.

Commissioner Crenshaw graduated cum laude from Harvard College and received a law degree magna cum laude from the University of Minnesota. She is a native of Washington, D.C., where she currently resides.

Interviewed By:

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

Michael A. Asaro is co-head of Akin Gump’s white collar defense and global investigations practice group. He focuses on white collar criminal defense, SEC and Commodity Futures Trading Commission (CFTC) investigations, corporate internal investigations and complex commercial litigation. He also regularly advises investment firms with respect to compliance with the federal securities and commodities laws.

Mr. Asaro is a former assistant U.S. attorney from the Eastern District of New York, where he served as deputy chief of the Business and Securities Fraud Section. During his tenure, the office prosecuted numerous complex and high profile securities fraud, mail fraud, wire fraud, bribery and money laundering cases.

Earlier in his career, Mr. Asaro served as branch chief in the SEC’s New York office, supervising staff attorneys as they worked on regulatory investigations and enforcement actions. While he was at the SEC, he was appointed as a special assistant U.S. attorney in the Southern District of New York.

11:45am–12:30pm

Break

12:30pm-1:00pm

SEC and CFTC Enforcement: Reflection and a Look Forward

Panelists:

Melissa R. Hodgman, Acting Director, Division of Enforcement, U.S. Securities and Exchange Commission

Melissa R. Hodgman is the Acting Director of the Division of Enforcement at the U.S. Securities and Exchange Commission.  She joined the Commission in 2008, became Senior Counsel in 2009, joined the newly formed Market Abuse Unit in 2010, and was promoted to Assistant Director in 2012 and to Associate Director in 2016.  Prior to joining the Commission, she was an Associate at Milbank, Tweed, Hadley & McCloy.  She obtained a BSFS in 1990, a JD Magna cum Laude in 1994, and an LLM in Securities with Distinction in 2007 from Georgetown University.

Vincent McGonagle, Acting Director, Division of Enforcement, Commodity Futures Trading Commission

Vincent McGonagle is the Principal Deputy Director of the Division of Enforcement where he has also served as Acting Director since October 2020. In his current role as Acting Director, Mr. McGonagle is responsible for leading a team of attorneys, investigators, economists, surveillance analysts, and other professional staff who investigate and prosecute alleged violations of the Commodity Exchange Act and CFTC regulations.

A career civil servant and government executive, Mr. McGonagle has spent the last 23 years with the CFTC, including in a number of senior roles. He has led the Division of Enforcement on an acting basis on two other occasions—from October to December 2010 and February to April 2017—and has also led the Division of Market Oversight on two occasions—from October 2013 to January 2017 and on an acting basis from August to September 2019.

While serving as Acting Director of the Division of Market Oversight in 2019, Mr. McGonagle oversaw a number of key rulemakings, and provided guidance and direction to the division’s branches in the handling of time sensitive and complex market issues. While leading the division from 2013 to 2017, Mr. McGonagle oversaw market surveillance, compliance examination, registration and rule review, and the contract market product review programs over trading facilities and swap data repositories. He also oversaw several rulemakings, testified twice before Senate panels, and led the transition of swaps trading to a regulated market, including the first ever permanent registration of SEFs.

From 2002 to 2013, he served as the Senior Deputy Director of the Division of Enforcement where he opened the first regulatory investigation into LIBOR and other global benchmark interest rates and thereafter supervised the CFTC’s landmark enforcement cases for manipulative conduct and false reporting concerning those benchmarks.

Mr. McGonagle joined the agency as a staff attorney in 1997 after working 11years in private practice.
Education
BA, Economics, LaSalle University (1985) JD, Pepperdine University School of Law (1988)

Moderators:

James M. McDonald, Partner, Sullivan & Cromwell LLP

James M. McDonald is a litigation partner and a member of the Firm’s Securities & Commodities Investigations and Enforcement Practice and its Commodities, Futures and Derivatives group. His practice focuses on advising clients on regulatory enforcement matters, white-collar criminal matters, and internal investigations, as well as on corporate governance and compliance related to commodities and derivatives laws.
From 2017 to 2020, Mr. McDonald served as Director of the U.S. Commodity Futures Trading Commission’s Division of Enforcement, where he had overall responsibility for all aspects of the CFTC’s enforcement program, including its investigations and litigations, market surveillance activity, and whistleblower office. During his time at the CFTC, Mr. McDonald was responsible for creating the first task forces within the Division of Enforcement focused on manipulation and spoofing; insider trading; foreign corruption; anti-money laundering and the Bank Secrecy Act; and digital assets. He also coordinated the CFTC’s enforcement activities with the Department of Justice, the SEC, and numerous international regulators.
Prior to joining the CFTC in 2017, Mr. McDonald served as an Assistant United States Attorney in the Southern District of New York, where he investigated and prosecuted white-collar criminal offenses, as well as cases involving international narcotics trafficking and violent crime, and tried numerous jury cases.
Mr. McDonald currently serves as an Adviser to the American Law Institute’s Principles of Compliance, Risk Management, and Enforcement. Mr. McDonald previously served as a Visiting Scholar at Harvard Business School, where he co-taught a course on the intersection of business, regulation, and enforcement, and as a Senior Fellow at NYU Law’s Program on Corporate Compliance and Enforcement. Originally from Oklahoma, Mr. McDonald previously taught Constitutional Law, Federal Courts, Foreign Relations Law, and Supreme Court Decision-making as a Visiting Assistant Professor at the University of Tulsa College of Law.
Mr. McDonald is a frequent featured speaker at bar association and professional organization conferences on issues relating to white-collar enforcement and internal investigations, including the American Bar Association, SIFMA, the Futures Industry Association, the New York City Bar, and PLI. Mr. McDonald’s comments have been reported by numerous major news publications, including The Wall Street Journal, The Financial Times, The New York Times, and Bloomberg.
Mr. McDonald served as a law clerk to John G. Roberts, Jr., Chief Justice of the United States, and Jeffrey S. Sutton, Jr., Judge on the United States Court of Appeals for the Sixth Circuit, and as a Deputy Associate Counsel, in the Office of the White House Counsel, under President George W. Bush.

Steven R. Peikin, Partner, Sullivan & Cromwell LLP

Steven Peikin leads Sullivan & Cromwell’s Securities & Commodities Investigations & Enforcement Practice. Mr. Peikin brings decades of experience at the most senior levels of government and in private practice to his representation of clients in a wide range of regulatory enforcement investigations, white-collar criminal matters, and internal investigations. He has particular expertise in matters involving the federal securities and commodities laws.

From 2017 to 2020, Mr. Peikin served as Co-Director of the U.S. Securities and Exchange Commission’s Division of Enforcement, where he oversaw all aspects of the SEC’s national enforcement program, supervising its more than 1400 attorneys, accountants, and staff across its 12 offices. Among other duties, Mr. Peikin was responsible for executing the Commission’s enforcement priorities, overseeing its thousands of investigations and hundreds of litigations, responding to complex cyber threats, developing a comprehensive enforcement approach to initial coin offerings and other digital assets, and protecting the long-term interests of retail investors. He also coordinated SEC enforcement activities with the Department of Justice, the CFTC, and numerous foreign securities regulators around the world.

During his prior tenure at the Firm, Mr. Peikin led S&C’s Criminal Defense & Investigations Group, advising clients in nearly every major enforcement initiative brought over the course of more than a decade. He represented institutions and individuals in numerous high-profile matters, including those involving alleged violations of federal securities and commodities laws, the FCPA, price-fixing, and compliance with economic sanctions and anti-money laundering regimes.

Before joining S&C, Mr. Peikin served for eight years as a prosecutor in the U.S. Attorney’s Office for the Southern District of New York, including as Chief of the Securities and Commodities Fraud Task Force. He oversaw 40 prosecutors, investigators, and staff responsible for some of the nation’s highest-profile financial statement fraud, insider trading, and obstruction of justice cases. As a prosecutor, Mr. Peikin also investigated and prosecuted a wide variety of securities, commodities, and other investment fraud schemes; an insider trading and money laundering case that resulted in the seizure and repatriation of $200 million; and cases involving racketeering, murder, and other violent crimes.

Mr. Peikin has tried more than 20 criminal jury cases in federal court and argued numerous appeals before the U.S. Court of Appeals for the Second Circuit.

1:00pm-1:30pm

SEC Investment Management: Divisional Agenda and Priorities

Keynote:

Sarah ten Siethoff, Acting Director, Division of Investment Management,  U. S. Securities and Exchange Commission

Sarah G. ten Siethoff is the Acting Director for the SEC’s Division of Investment Management. She also is the Associate Director for the Rulemaking Office of the Division where she leads the development of policy and rulemaking relating to investment advisers and investment companies. Prior to joining the SEC, Ms. ten Siethoff was an associate with Cleary Gottlieb Steen & Hamilton LLP in their New York and Washington, DC offices. Ms. ten Siethoff received her J.D. from Yale Law School, her M.A. in International Relations from Yale University, and her B.A. from the University of Virginia.

Moderator:

Timothy W. Levin, Practice Group Leader and Partner, Morgan, Lewis & Bockius LLP

Timothy W. Levin, leader of the firm’s investment management practice, counsels investment advisers and other financial services firms on the design, development, and management of pooled investment vehicles and investment advisory programs. He also advises fund managers in connection with organization, registration, and ongoing regulatory compliance. Additionally, he represents managers and sponsors of unregistered pooled investment vehicles.

 

Timothy’s clients include many types of registered investment companies, such as mutual funds and registered funds of hedge funds, and funds focused on alternative investment strategies, including business development companies (BDCs). His unregistered pooled investment vehicle clients include private funds, bank collective investment trusts (CITs), and companies seeking exemption from investment company status.

 

Since 2008, Chambers USA: America’s Leading Lawyers for Business has recognized Timothy for his work.

 

He speaks frequently at conferences and moderates panels. He also co-chairs the annual Hedge Fund Conference. Timothy is the editor of Morgan Lewis Hedge Fund Deskbook: Legal and Practical Guide for a New Era and the Mutual Fund Regulation and Compliance Handbook.

1:30pm-1:45pm

Break

1:45pm–2:35pm

The International Agenda: Legal and Compliance Risks Ahead

Panelists:

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.

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

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

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 has particular experience in advising clients on operating under the UK/EU regulatory framework established after the last financial crisis (AIFMD, MiFID II, Short Selling Regulation, etc), and more recently on Brexit, sustainable finance/ESG, LIBOR transition and cryptoasset regulation. 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.

Brigid Rentoul, General Counsel, Winton Group Limited

Ms. Rentoul is General Counsel and Company Secretary of Winton, responsible for legal, compliance ad regulatory matters.  She joined Winton in July 2012 from Linklaters where she had been a leading international securities lawyer and a partner for 15 years. Ms. Rentoul read Law at Cambridge University and was a Mellon Fellow at Yale Law School before joining Davis Polk & Wardwell in New York. She joined Linklaters in 1992 and continued to practice as both a US lawyer and an English solicitor, becoming a Partner in 1997. Ms. Rentoul was appointed as a director of Winton Capital Management Limited in January 2014 and as a director of Winton Group Limited in February 2015.

Moderator:

Michael Pedroni, Executive Vice President and Managing Director, Head of Global Research and Markets, Managed Funds Association

Michael Pedroni is MFA’s Executive Vice President and Managing Director, Head of Global Research and Markets, reporting directly to MFA’s President and CEO. Michael leads the analysis that underpins MFA’s global advocacy and policy engagement. Michael also guides MFA’s research on financial markets, runs MFA Insights—a platform for examining relationships between policy making and investments—and directs MFA’s work on credit.  

Michael draws on 25 years of experience in international affairs, financial policy, markets, regulation, central banking, and U.S.-EU relations. Prior to joining MFA in 2017, Michael served under 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. Michael was deeply involved in helping the White House and Treasury Secretary to assess the financial markets during the Global Financial Crisis and the Euro Crisis.  Michael subsequently directed Treasury’s Western Hemisphere Office before moving to Brussels for three years as the U.S. Financial Attaché and head of Treasury’s office in Europe.  

In 2016, he was detailed to the National Security Council and National Economic Council, acting as Senior Director for Global Economics and Finance for the Obama White House, before rejoining Treasury in late 2016 as Senior Executive Director for International Economic Analysis. Michael has also worked at the Federal Reserve Bank of New York, the International Monetary Fund (IMF), and the inter dealer-broker, ICAP.  

Michael graduated from Yale University and received a Masters Degree in International Affairs from Columbia University. He was also a Fulbright Scholar in Germany and is conversational in German, Italian, and French. Michael is an adjunct professor in the department of economics at George Washington University, where he teaches a course on managing global financial crises. 

2:35pm-3:00pm

Keynote Fireside Chat with CFTC Acting Chairman Rostin Behnam

Keynote:

Acting Chairman Rostin Behnam, Commodity Futures Trading Commission

Rostin Behnam was nominated by President Trump as a Commissioner of the Commodity Futures Trading Commission on July 13, 2017, was unanimously confirmed by the United States Senate on August 3, 2017, and was sworn in to serve as a Commissioner on September 6, 2017 for a term expiring in June 2021.  The members of the Commission elected Commissioner Behnam as Acting Chairman effective Thursday, January 21, 2021.

Acting Chairman Behnam’s arrival at the CFTC followed extensive experiences in financial and agricultural markets.  After graduating from Georgetown University, Acting Chairman Behnam worked as a proprietary equities trader in New York City before pursuing a Juris Doctorate at Syracuse University.  During his legal studies, Acting Chairman Behnam interned with the CFTC’s Division of Enforcement in the New York Regional Office.

Upon graduation, he returned to his home state of New Jersey and joined the Bureau of Securities within the state’s Office of the Attorney General, focusing his work on fulfilling the Bureau’s mission of protecting investors from investment fraud, and regulating the securities industry in New Jersey.  Following his time with the Bureau of Securities, Acting Chairman Behnam practiced law in New York City, representing public and private companies on a range of corporate law and state and federal regulatory matters.

In 2011, Acting Chairman Behnam joined the U.S. Senate Committee of Agriculture, Nutrition, and Forestry, as senior counsel to Senator Debbie Stabenow of Michigan, the Committee’s Chairwoman.  He primarily focused on policy and legislative matters related to the CFTC and the U.S. Department of Agriculture, agencies within the direct jurisdictional purview of the Committee.  Acting Chairman Behnam’s major responsibilities included advising Senator Stabenow on the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act and related matters affecting the Treasury Department, the U.S. prudential regulators, and the Securities and Exchange Commission.

Since joining the CFTC, Acting Chairman Behnam has individually and as sponsor of the CFTC’s Market Risk Advisory Committee (MRAC) advocated for the CFTC to use its authority and expertise to ensure the derivatives markets operate transparently and fairly for participants and customers and innovate responsibly in addressing evolving market structures and products and the emergence and movement of risk across clearinghouses, exchanges, intermediaries, market makers and end-users within an appropriate oversight framework.  Through his MRAC sponsorship, Acting Chairman Behnam convenes leading market experts and public consumer groups to engage in public dialog on such timely issues as interest rate benchmark reform, central counterparty (CCP) risk and governance, market structure, and since 2019, climate-related market risk.

Recognizing that weather and climate present risks to economic productivity, financial stability, and household wealth, Acting Chairman Behnam led the creation of the Climate-Related Market Risk Subcommittee to examine climate-related impacts on the financial system.  The Subcommittee’s efforts resulted in the September 2020 release of the report Managing Climate Risk in the U.S. Financial System, the first of-its-kind effort from a U.S. government entity.  Acting Chairman Behnam followed its release with testimony before the House Select Committee on the Climate Crisis and presentations in other venues focused on climate-related market risk and incorporating sustainability resilience into our financial systems.  More recently, Acting Chairman Behnam established the Climate Risk Unit or “CRU” within the CFTC to focus on the role of the derivatives markets, and the CFTC as a market regulator, in understanding, pricing, and addressing climate-related risk.

During his time as Commissioner, Acting Chairman Behnam spearheaded efforts to invigorate internal discussions on agency-wide diversity and inclusion initiatives. He remains committed to ensuring that the CFTC remains vigilant in building and maintaining an inclusive workforce, supportive of employees and reflective of the diversity in the markets it oversees and the public it serves.

Acting Chairman Behnam lives in Baltimore with his wife and three daughters.

Moderator:

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.”

Dividing his time between representing well-pedigreed hedge fund managers launching their first funds and top-50 (by AUM) managers, Peter 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 experience 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. Business Insider recently recognized Peter as one of “the 29 bankers, advisors, and lawyers to know if you’re thinking about starting your own hedge fund.”

Peter is the Chairperson of the Board of Directors of The Acceleration Project, a female-founded, female-led business advisory non-profit dedicated to keeping local economies vital and channeling talent into the economy.

 

3:00pm–3:30pm

Break

3:30pm–4:20pm

Breakouts

Alternative Data Acquisition Regulatory Update and Application

Panelists:

Brooke Bernstein, Legal Director, Quantitative Trading and Associate General Counsel, Tudor Investment Corporation

Brooke joined Tudor in April 2004 and is based in their Stamford, CT office. Prior to her current role, Brooke served as Tudor’s Global Chief Compliance Officer (April 2004-February 2013) designing and implementing Tudor’s global compliance program and compliance governance framework for offices in the US, UK, Singapore and Australia. Prior to joining Tudor, she (i) was Director and Global COO of Compliance at Credit Suisse First Boston (2002-2004); (ii) served in various legal and compliance positions at Morgan Stanley (1994-2002), including her final role of Executive Director and Global Compliance Operations Officer; and (iii) was a Corporate and Tax Law Attorney at Cahill Gordon & Reindel LLP (1990-1993).  Brooke holds a B.A. in Liberal Arts from St. John’s College, Annapolis (1985) and a J.D. from the University of Chicago, The Law School (1990).

 

 

Brian Fortune, General Counsel, Holocene Advisors, LP

Kelly Koscuiszka, Partner, Schulte Roth & Zabel LLP

Kelly Koscuiszka advises private funds on regulatory and compliance matters, with a particular focus on the Investment Advisers Act of 1940, and works closely with clients undergoing SEC examinations. Kelly also advises clients on privacy and data security as well as the challenges presented by new technologies and alternative data. Kelly regularly leads training sessions for clients, including on topics such as alternative data, insider trading and best practices for electronic communications and technology usage. When necessary, she represents clients in regulatory investigations and enforcement actions by the SEC, DOJ and FINRA as well as in complex civil litigation matters.

Kelly received her J.D. from Georgetown University Law Center and her B.A. from Rutgers University.

Jeff Wechselblatt, General Counsel, Lone Pine Capital LLC

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

 

Moderator:

Matthew H. Bloom, Chief Compliance Officer and Associate General Counsel, Viking Global Investors LP

Matthew Bloom is an Associate General Counsel and the Chief Compliance Officer at Viking Global Investors LP, responsible for legal, regulatory and compliance matters. From 2009 until he joined Viking in 2013, Mr. Bloom was an Associate at Cravath, Swaine & Moore LLP, where he focused on complex civil litigation and internal investigations. From 2008 to 2009, he served as a law clerk to the Hon. Joel M. Flaum of the United States Court of Appeals for the Seventh Circuit. He graduated from Yale Law School (2008) and Yale University (2005). ​

 

Evaluating and Managing Risks Associated with Outsourcing Compliance

Panelists:

Christian B. Hennion, Partner, Katten

Christian Hennion advises US and international asset managers on a variety of transactional and regulatory matters. He helps them with private fund launches and reorganizations, compliance issues under the Investment Advisers Act and Commodity Exchange Act and numerous issues before the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC).

The regulatory advice asset managers need
Fund managers, registered investment advisers, commodity trading advisors and private equity firms all draw on Chris’ advice. He represents them in registrations with the SEC and CFTC. He also works closely with both SEC and CFTC-registered clients undergoing compliance examinations and responding to inquiries from regulators and self-regulatory organizations. Negotiating with regulators over any areas of concern, he helps to reach efficient and favorable resolutions. He is also experienced in preparing offering and advisory documents for asset management firms, and knowledgeable about the SEC and CFTC regulations applicable to them.

For clients with complex institutional structures, Chris consults on how to efficiently structure US-regulated businesses while minimizing disruptions to affiliated domestic and international businesses.

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.

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

Andrew Nathanson serves as General Counsel & Chief Compliance Officer for Suvretta Capital Management, LLC, responsible for legal, regulatory and compliance matters.  Suvretta is a registered investment adviser that currently manages three strategies: a long/short equity strategy, a healthcare strategy and a long equity strategy.  Prior to joining Suvretta in 2014, he served as Chief Compliance Officer and Legal Counsel for Mirae Asset Global Investments (USA), the US subsidiary of a Korean based asset manager.  Mr. Nathanson graduated from Suffolk University Law School and earned his BS in economics from the University of Wisconsin-Madison.

Moderator:

Michael Kitson, Deputy Chief Compliance Officer and Counsel, Bridgewater Associates, LP

Michael Kitson joined Bridgewater in 2015 and is Bridgewater’s Deputy Chief Compliance Officer. Together with Bridgewater’s Chief Compliance Officer, Michael is responsible for the oversight of the firm’s compliance program and advising Bridgewater’s senior leaders on key compliance initiatives and regulatory developments. Michael regularly represents Bridgewater with industry groups and best practices organizations, such as the Managed Funds Association and Alternative Investment Management Association, and is a frequent participant in panel discussions on a variety of topics including investment adviser regulation, financial crimes compliance, cross-border regulatory developments, and the structure and resourcing of in-house legal and compliance functions. Prior to joining Bridgewater, Michael held multiple legal and regulatory roles at global financial institutions and advised on topics such as the sales and trading of securities and derivatives, cross-border trade financing, anti-money laundering, sanctions, and consumer lending. 

Michael received his J.D. from Fordham University School of Law and his B.A. degree from Boston College. He is a member of the New York and New Jersey bars and is Authorized In-House Counsel in Connecticut.

Fund Formation Across Jurisdictions and Evaluating Re-domiciliation

Panelists:

Kevin Bloss, Associate General Counsel, CarVal Investors

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 an established global alternative investment fund manager focused on distressed and credit-intensive assets and market inefficiencies. Since 1987, CarVal’s experienced team has navigated through ever-changing credit market cycles, opportunistically investing $126 billion in 5,510 transactions across 82 countries. Today, CarVal Investors has approximately $10 billion in assets under management in in corporate securities, loan portfolios, structured credit and hard assets.

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.

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.

Heather N. Wyckoff, Partner, Schulte Roth & Zabel LLP

Heather N. Wyckoff, Partner at Schulte Roth & Zabel, focuses her practice on advising private investment funds and has provided comprehensive legal services to institutional and emerging asset managers, proprietary trading firms, family offices and financial institutions on a wide range of issues. She forms private equity funds (including private credit and real estate funds), hybrid funds, hedge funds and managed account platforms, among others, and provides regulatory advice to investment managers. Heather has extensive experience representing funds and advisers who employ a wide range of investment strategies across all asset classes. She also represents fund managers and institutional investors in connection with the negotiation of seed deals, co-investment vehicles, “funds of one” and other strategic relationships.

Moderator:

Mark A. 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.

Derivatives Update: Uncleared Margin Rules, Initial Margin Segregation, ISDA Protocols, SEF Trading Update, Energy Trading

Panelists:

Fabien Carruzzo, Partner, Kramer Levin

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.

Richard Walz, General Counsel and 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.

Moderator:

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.

SEC Exams Update and Priorities

Panelists:

Jennifer A. Duggins, Assistant Director, Co-Head, Private Funds Unit, Division of Examinations, U.S. Securities and Exchange Commission

Jennifer A. Duggins, IACCP® is an Assistant Director and Co-Head of the Private Funds Unit within the SEC’s Office of Compliance Inspections and Examinations. Prior to joining the SEC, Jennifer was a Director in Regulatory Risk Consulting within the Advisory Practice of KPMG. Prior to joining KPMG, Jennifer was Senior Vice President and Chief Compliance Officer of Chilton Investment Company. Prior to Chilton, Jennifer was Vice President, Legal and Compliance at Andor Capital Management. Jennifer has served as a Faculty Member and Director of the Board of the National Society of Compliance Professionals (NSCP) and served as a CCO Roundtable Steering Committee Member with the Managed Funds Association during 2009 and 2010. Jennifer has a B.A. in History from New York University and a M.S. in Human Resource Management from Sacred Heart University John F. Welch College of Business. Jennifer is also an Investment Adviser Certified Compliance Professional, IACCP®

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.

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

Erin Mullen, Chief Compliance Officer, Woodline Partners

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

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.

Moderator:

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.

 

10:00am

Welcome Remarks

10:00am–10:50am

Ethics: Return to the New “Office” – Vaccinations, Taxes and Compensation

Panelists:

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

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.

Robert N. Holtzman, Partner, Kramer Levin

Robert N. Holtzman represents employers in employment law and executive compensation matters and is Co-chair of Kramer Levin’s Executive Compensation practice. Robert counsels employers regarding the full range of legal and business issues that touch upon or concern the employment relationship, including advisory matters involving investigations of discrimination and whistleblower complaints, the design and implementation of appropriate policies and practices and employment issues that arise in connection with corporate transactions. He also designs and conducts training of managers and other employees.
When disputes arise, Robert represents employers in litigation in federal and state court, as well as in administrative proceedings and arbitrations, and in connection with virtually every type of claim that may be asserted by employees – discrimination on the basis of age, race, color, gender, sexual preference, disability and national origin; retaliation; whistleblower claims; claims under the Fair Labor Standards Act and the New York Labor Law; breach of contract; enforcement of restrictive covenants; wrongful discharge; and a wide variety of tort claims. He also has represented employers and senior executives in class action litigations alleging sexual harassment, gender discrimination, pregnancy discrimination and wage and hour violations.Robert advises and represents companies and executives in connection with the design, implementation, drafting and negotiation of executive compensation arrangements, including employment, severance/separation, change-in-control, noncompetition, non-solicitation and nondisclosure agreements. He also represents private equity funds and companies in the design and drafting of equity and other incentive compensation arrangements. Robert also regularly represents buyers, sellers and management teams in connection with mergers and acquisitions, and other transactions.Among his most notable recent work, Robert represented a Big Four accounting firm in connection with an action commenced by a competitor arising out of its hiring of a team of former employees; Roto-Rooter Services Co. in connection with a class and collective action alleging violations of the wage and hours laws of multiple states; and a prominent financial institution in connection with a claim of gender discrimination and sexual harassment. He also represented a $10 billion hedge fund in connection with the exit of one of its founding partners, and advised an asset manager with more than $25 billion in assets under management in connection with the restructuring of its restrictive covenants and long-term incentive compensation arrangements.Best Lawyers and Legal 500 US have repeatedly recognized Robert in the area of employment law.

Neil Margolies, General Counsel, Tilden Park Capital Management LP

Neil Margolies is the General Counsel of Tilden Park Capital Management LP.  In addition to being the General Counsel, Mr. Margolies was the Chief Compliance Officer of Tilden Park from the time he joined the firm in 2013 until early 2017.  Prior to Tilden Park, Mr. Margolies was Associate General Counsel of Millennium Management LLC.  Before Millennium, Mr. Margolies was an Associate in the Investment Management Group of Schulte Roth & Zabel LLP.  Mr. Margolies holds a J.D. from the Fordham University School of Law and a B.A. in Philosophy from the University of Maryland at College Park.

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

Randy Stuzin is a Member and General Counsel of King Street Capital Management, where he is responsible for the firm’s global legal and compliance departments. 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.

 

Moderator:

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.

10:50am–11:40am

DEI: Regulation and Implementation

Panelists:

Susanne 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.

Keisha-Ann G. Gray, Partner, Proskauer Rose LLP

Keisha-Ann Gray is a distinguished trial lawyer who has secured significant victories in federal and state courts (jury trial and otherwise) for organizations facing “bet the company”, high-reaching, reputational risk claims. She is also an award-winning partner in Proskauer’s renowned Labor & Employment department. As important social change movements like Black Lives Matter, #MeToo and LGBTQ Pride continue to shape society and businesses, Keisha-Ann is the go-to advisor when addressing issues related to discrimination, harassment and/or lack of diversity.

With 20+ years in practice, Keisha-Ann frequently speaks and trains on employment matters such as litigation/trial practice, conducting effective investigations (the trauma-based approach), Diversity, Equity & Inclusion, and Anti-Discrimination/Anti-Harassment. Her “real talk” style of delivery provides clients with actionable and practical best practice solutions to today’s most challenging workplace issues.

Christie Oberg, Deputy Chief Compliance Officer, CarVal Investors

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

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

Moderator:

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.

11:40am–12:00pm

Break

12:00pm–12:50pm

Breakouts

ESG Regulation and Compliance

Panelists:

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

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.

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

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.

Elizabeth Shea Fries, Partner, Sidley Austin LLP

Elizabeth Shea Fries (https://www.sidley.com/en/people/f/fries-elizabeth-s) is the Managing Partner of Sidley’s Boston office and a member of the Investment Funds Group. Liz provides clients strategic advice on a broad range of transactions, business and investment structures and regulatory matters covering all aspects of the asset management business. She has deep experience in creating and structuring asset management and other financial businesses, financial services mergers and acquisitions, innovative investment services and products, alternative investments, fiduciary issues and compliance matters. Among other recognitions, Liz has been named as a leading lawyer for Investment Funds in Chambers Global: The World’s Leading Lawyers for Business, Chambers USA: America’s Leading Lawyers for Business, and as a 2019 Lawyer of the Year Private Funds/Hedge Funds Law (Boston).

Moderator:

Brian Traficante, Managing Director, General Counsel and Chief Compliance Officer, York Capital Management

Analysis of the New Advertising and Solicitation Rules

Panelists:

Isaac Haas, Deputy General Counsel, 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.

David R. Mullé, Partner, Seward & Kissel

David R. Mullé is co-head of Seward & Kissel’s Family Office Group as well as a partner in the Investment Management Group at the Firm. He represents sponsors and managers of various private investment funds and other pooled investment vehicles such as hedge funds, private equity funds, commodity pools and various “hybrid” funds, private investors and single- and multi-family offices.

David focuses on the fund formation and structuring of both onshore and offshore partnerships and other investment vehicles, the offering of interests by private investment funds, and the negotiation and documentation of such investments. He also represents fund sponsors in connection with seed-capital investments.

David advises on the structuring of traditional single and multi-family offices, alternative family office vehicles and family offices managing third party capital. He advises family office groups with respect to investments in private funds, direct investments, co-investments and joint ventures. He also advises on complex transactions

David regularly counsels investment advisers, commodity pool operators, commodity trading advisers and family offices on regulatory and compliance matters, including registration requirements and available exemptions, the development of comprehensive compliance programs and regulatory examinations.

David received a B.A. and an M.A. from The Johns Hopkins University and J.D. from the University of Michigan.

Matthew Siano, Managing Director and General Counsel, Two Sigma Investments, LP

Matthew B. Siano, Esq. is Managing Director, General Counsel of Two Sigma Investments, LP and Two Sigma Advisers, LP, a pair of global investment managers specializing in quantitative investing across a broad range of asset classes. Two Sigma and its various affiliates currently manage numerous hedge funds, private investment pools, registered funds and managed accounts with over $32 billion in assets under management. As Two Sigma’s General Counsel, Mr. Siano is responsible for the firm’s legal, regulatory and compliance matters and is the head of both their legal and compliance departments. Mr. Siano joined Two Sigma in July 2004.

From September 1999 through June 30, 2004, Mr. Siano was an associate in the Investment Management Group of Seward & Kissel LLP, a New York City-headquartered law firm with an industry-leading hedge fund practice. At Seward, Mr. Siano specialized in the formation and structuring of private investment funds (including hedge funds and private equity funds), representing registered and unregistered investment advisers, listing private investment funds on non-U.S. exchanges, advising clients on SEC, CFTC and FINRA filings, and providing overall corporate, securities and tax advice.

Mr. Siano graduated cum laude from the College of William and Mary in 1996 with a B.A. in Government and History. While in Williamsburg, he also minored in Religion and published an honors thesis on the New York City public school system. In 1999, Mr. Siano earned a J.D. from Fordham Law School, where he was the Special Publications Editor for the Urban Law Journal and a member of the Fordham Moot Court Board.

Mr. Siano is also an adjunct professor in the undergraduate business school of the College of William and Mary, where he teaches a seminar course on the management of hedge funds. He has also been an active industry speaker at events hosted by the American Bar Association, Fordham Law School, the Corporate Lawyering Association and various U.S. and international law firms.

Moderator:

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.

Data Privacy and Security: Regional and National Update and Regulatory Ramifications

Panelists:

Colleen Theresa Brown, Partner, Sidley Austin LLP

COLLEEN THERESA BROWN focuses on privacy, cybersecurity, data protection and emerging technology issues for a diverse group of companies, including those in the financial, life sciences, telecommunications, media, retail and manufacturing sectors. She also serves on the firm’s COVID-19 Task Force. Over the past decade, she has focused her practice on global data protection compliance, litigation and regulatory enforcement actions, and data breach response, crisis management and internal investigations. Colleen is a recommended lawyer by Legal 500 USA for Cyber Law, and Legal 500 notes, “Colleen Brown demonstrates ‘confidence in making judgment calls on complex issues.’” Washingtonian magazine named Colleen among its “Top Lawyers” for Cybersecurity in 2019.

Her counseling experience includes cyber risk and data breach management, corporate data protection and privacy compliance programs, international data protection and cross-border transfer, Big Data, Internet of Things, electronic surveillance, trade secrets, social media, cloud computing and online brand protection. She also has significant experience in counseling and strategy under CAN-SPAM, CCPA, CFAA, COPPA, ECPA, ESIGN, FCRA, FOIA, GDPR, GLBA, HIPAA, the Privacy Act, TCPA, Unfair and Deceptive Trade Practices, state privacy and common law claims including defamation and privacy torts, privacy regulations and enforcement in federal agencies including the Federal Trade Commission and the Federal Communications Commission, and industry self-regulation on privacy matters, including those related to online advertising and PCI DSS compliance. Colleen is a Certified Information Privacy Professional/United States through the International Association of Privacy Professionals (IAPP).

In addition to counseling and litigation related to data protection, her work also includes counseling and negotiation of data-driven agreements, as well as privacy and cybersecurity diligence and integration planning for mergers and acquisitions.

The following representative types of matters are illustrative of the breadth of Colleen’s practice:

  • Assisting corporations with preparation for and responses to sophisticated cybersecurity incidents.
  • Privacy and cybersecurity litigation, regulatory investigations and compliance counseling.
  • International data protection compliance programs and cross-border transfers.
  • FTC and State Attorney General investigations involving privacy, data security and unfair or deceptive business practices.
  • Diligence counseling for mergers related to data and privacy risks, and post-merger integration.
  • Counseling for privacy and data protection compliance and risk mitigation in Big Data analytics and emerging technologies.

At Sidley, Colleen co-founded Women in Privacy®, a networking group for women working as in-house counsel, compliance officers and other professionals in the field of privacy. Women in Privacy® holds regular meetings in the U.S. and the EU and is dedicated to thought leadership for women privacy professionals. She is also chief editor of the Sidley Blog Data Matters: Cybersecurity, Privacy, Data Protection, Internet Law and Policy.

Gina DiMento, Deputy Chief Compliance Officer, Point72 Asset Management, L.P.

Gina DiMento is the Deputy Chief Compliance Officer of Point72, responsible for supervising the Firm’s global compliance programs.

Ms. DiMento joined the Firm in 2011, and previously was the Global Head of Equities and Research Compliance and a Senior Compliance Officer. Earlier in her career, Ms. DiMento was General Counsel and CCO at PAR Capital Management and served as a Vice President and Regulatory Analyst at Wellington Management Company. She also was founder and managing member of AGS Law Group, specializing in legal and compliance advisory services for alternative investment managers.

Ms. DiMento received her B.S. in Business and Merchandising from University of Vermont, and her J.D. from Suffolk University Law School. She is a member of the Financial Information Services Association of SIIA Alternative Data Council. Ms. DiMento serves on Point72’s Women in Finance Network Leadership Council.

Dera Nevin, Senior Vice President, Data Policy and Strategy Officer, Legal & Compliance Group, Blackstone

Dera Nevin is a Senior Vice President and Data Policy and Strategy Officer in the Legal & Compliance Group at Blackstone. Ms. Nevin provides guidance and support for Blackstone’s privacy, data security, information and data governance and data services functions.

Before joining Blackstone in 2019, Ms. Nevin was Counsel at Baker & McKenzie LLP in the IG and Data Privacy Group, and at Proskauer Rose LLP, where she also served as Director of eDiscovery and Information Governance Services. Prior to that, she has worked as Managing Counsel, eDiscovery at TD Bank Group and in private practice at law firms in Ontario, Canada.

Ms. Nevin received a BA (Hons) and an MA from Queen’s University in Kingston, Canada and a JD from the University of Toronto Faculty of Law, where she was elected Valedictorian and served as the co-Editor in Chief of the Law Review.

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.

Moderator:

Jennifer W. Han, Chief Counsel and Head of Regulatory Affairs, Managed Funds Association

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

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

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

Regulating SPACs: Enforcement, Structuring, Valuation

Panelists:

Sean Denham, National SPAC Leader, Grant Thornton

Sean Denham is the Global Services Industry Leader and Office Managing Partner (OMP) for Grant Thornton’s Philadelphia office. As OMP, Sean has the privilege of leading an exceptional team of high-performing individuals in the Philadelphia region who provide top tier accounting, advisory and tax services for our clients. As an audit partner of the firm, Sean serves some of Grant Thornton’s most prominent clients including public and private companies in the technology, manufacturing, distribution and professional services industries.

Prior to his current role, Sean served as the Regional Managing Partner for Grant Thornton’s Atlantic Coast Region covering Delaware, Eastern Pennsylvania, Maryland, New Jersey, Virginia and Washington, D.C. Sean also served as Assistant Managing Partner for Grant Thornton’s New York Cluster and as Audit Practice Leader for the northeast region. He previously served as the National Partner for Professional Standards, and was involved in solving the most complex accounting, auditing, and risk management matters for clients nationwide.

Sean serves on the CEO Council for Growth, an initiative of the Philadelphia Chamber of Commerce dedicated to enhancing economic growth and prosperity in the 11-county region across northern Delaware, southern New Jersey and southeastern Pennsylvania. Sean is also heavily involved in the civic community and currently serves as a Board Member and Treasurer for the Greater Philadelphia Alliance for Capital and Technologies (PACT), and is a cabinet member of the United Way of Greater Philadelphia and Southern New Jersey.
Sean is a Certified Public Accountant and earned a Bachelor of Science Degree in Accounting from Lehigh University.

Lori A. Martin, Partner, WilmerHale

Lori Martin is a partner in WilmerHale’s Securities and Financial Services Department. She is an experienced litigation and enforcement attorney whose practice focuses on litigation and regulatory proceedings involving investment advisers, open and closed-end investment companies, hedge funds, and broker dealers offering investment advisory services. She was selected as the “Mutual Funds Law Lawyer of the Year” in the New York area by the Best Lawyers in America® 2014 and 2020.

In various editions of Chambers USA, clients praise Ms. Martin as a “very smart and knowledgeable” and “incredibly hard-working and smart” practitioner, “an excellent negotiator” and “a practical and intelligent adviser,” and she is “held in high regard for her expertise in handling complex securities litigation related to mutual funds.” The Legal 500 United States describes her as “an unparalleled star, being very smart, conscientious and experienced with both commercial and regulatory litigation.”

Ms. Martin is a frequent participant in industry conferences regarding the investment advisory industry and complex litigation and has authored numerous publications on securities litigation.

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.

Moderator:

Brian Meyer, Partner, 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).

12:50pm–1:00pm

Break

1:00pm–1:50pm

Breakouts

CFTC Enforcement and NFA Exams: Crypto, Position Limits and Spoofing

Panelists:

Patricia L. Cushing, Director, Compliance, National Futures Association

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.

Brian T. Daly, Partner, Akin Gump Strauss Hauer & Feld LLP

Brian T. Daly advises fund managers on regulatory, compliance and operational matters. He has extensive experience helping clients navigate their regulatory compliance obligations under the rules and regulations of the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA). Brian also regularly represents clients in regulatory examinations, enforcement actions, trading inquiries and in seeking no-action or similar relief. Having spent nearly a decade in-house as general counsel and chief compliance officer at several global investment management firms, Brian is well versed in the wide range of legal and business challenges facing investment advisers, commodity pool operators and commodity trading advisors.

Brian is a recognized leader in advising alternative investment fund managers on regulatory and compliance matters. Chambers Global and Chambers USA list Brian as a “leading individual” in investment funds. Brian is a member of the Managed Funds Association’s Outside Counsel Forum and its CTA/CPO Forum and of the Alternative Investment Management Association’s CFTC Working Group.

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

Robert Howell is currently a 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. Before his legal career, Mr. Howell was a financial analyst for Robertson Stephens, a boutique investment bank focusing primarily on technology companies.

Moderator:

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

Insider Trading Update and Enforcement Actions

Panelists:

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.

Carlo di Florio JD, L.L.M, Partner and Chief Services Officer, ACA Group

Carlo di Florio is the Global Chief Services Officer of ACA Group. At ACA, Carlo is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (“GRC”) service offerings. His responsibilities include oversight, management, and strategic growth of ACA’s global regulatory compliance, cybersecurity and risk, AML and financial crimes, and performance practices. 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.

Kelly L. Gibson, Acting Deputy Director of Enforcement, 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.

 

Elizabeth L. Mitchell, Partner, WilmerHale

Elizabeth Mitchell is a partner in WilmerHale’s Securities and Financial Services Department and a member of the firm’s Management Committee. For more than 15 years, she has successfully guided clients through investigations and enforcement actions involving the federal securities and commodities laws. She has in-depth experience in matters involving trading, market structure, market conduct, and compliance with broker-dealer and adviser regulations, and regularly represents public companies, investment advisers, broker-dealers, futures commission merchants, and proprietary trading firms, as well as their executives and employees. She regularly advises on securities regulatory compliance and conducts internal investigations. She is on the board of Legal Counsel for the Elderly and has an active pro bono practice. From 1999 to 2001, Ms. Mitchell served as a Trial Attorney in the Torts Branch of the United States Department of Justice.

Mark Schein, Global Chief Compliance Officer, Värde Partners

Värde Partners

Global Chief Compliance Officer

 

York Capital Management

Chief Compliance Officer

 

Schwab Capital Markets

Director of Anti-Money Laundering

 

US Trust Company

Director of Broker Dealer Compliance

 

New York Stock Exchange, Division of Enforcement

Trail Counsel

 

Bronx District Attorney’s Office

Assistant District Attorney

 

JD from Vanderbilt Law School

BA from Williams College

Moderator:

Ryan VanGrack, Managing Director and Senior Deputy General Counsel, Citadel

Ryan VanGrack is Managing Director and Senior Deputy General Counsel at Citadel, responsible for managing legal affairs across the company, including overseeing litigation, regulatory enforcement, investigations, and surveillance globally.  Mr. VanGrack previously served at the U.S. Securities and Exchange Commission as Senior Advisor to Chair Mary Jo White, providing counsel on a broad range of regulatory matters, including enforcement, examinations, investment advisers, cybersecurity, and FinTech. Prior to his time at the SEC, Mr. VanGrack served in the White House under President Obama as Deputy Associate Counsel, where he oversaw the selection and confirmation of the President’s Cabinet and handled congressional investigations. Before joining the government, Mr. VanGrack was an attorney at the Washington, DC law firm of Williams & Connolly.  He received a bachelor’s degree from Duke University and a law degree from Harvard Law School.

Preparing for the LIBOR Transition

Panelists:

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 them 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.

Julian Weldon, General Counsel and Chief Compliance Officer, CIFC

Moderator:

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.

 

FBI Cybersecurity Update: Best Practices Post COVID-19

Panelists:

Brad Carpenter, Supervisory Special Agent, FBI Cyber Division

Jason C. Chipman, Partner, WilmerHale

Joseph Lawlor, Supervisory Special Agent, FBI Cyber Division

Moderator:

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.

1:50pm–2:10pm

Break

2:10pm–2:35pm

Digital Assets: The Regulatory Landscape

Panelists:

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.

Commissioner Brian D. Quintenz, Commodity Futures Trading Commission

Brian D. Quintenz was nominated by President Trump to serve as a Commissioner of the U.S. Commodity Futures Trading Commission on May, 12, 2017, was unanimously confirmed by the Senate on August 3, 2017, and was sworn into office on August 15, 2017 for the remainder of a five-year term expiring in April 2020.
Prior to his appointment to the CFTC, Mr. Quintenz founded and served as the Managing Principal and Chief Investment Officer of Saeculum Capital Management, a registered Commodity Pool Operator that specialized in risk management and technical analysis investment strategies.
Mr. Quintenz started his career in finance at Hill-Townsend Capital, a Registered Investment Advisor established to focus solely on U.S. bank and financial company investment opportunities. While there, Mr. Quintenz performed rigorous fundamental valuation analysis on regional and global banks, projected future earnings estimates, and implemented proprietary hedging strategies.
Prior to working in the financial markets, Mr. Quintenz worked for Congresswoman Deborah Pryce (OH-15) for several years ultimately becoming her senior policy advisor.
Mr. Quintenz graduated Magna Cum Laude from Duke University with a major in Public Policy Studies and received an MBA from Georgetown University McDonough School of Business, where he was inducted into the Phi Beta Gamma honors society.

2:35pm–3:20pm

Keynote Fireside Chat: A Reflection on and a Look Forward at the Regulatory Landscape

Keynotes:

Dalia Blass, Senior Managing Director, Head of External Affairs, BlackRock

Dalia Blass, Senior Managing Director, is Head of External Affairs and a member of Blackrock’s Global Executive Committee. Dalia joined BlackRock in June 2021 and is responsible for leading Global Public Policy, Social Impact, Corporate Sustainability and a stakeholder capitalism research initiative. She works with leaders across BlackRock to engage with stakeholders, tell the firm’s story and advocate for clients.

Prior to BlackRock, Dalia was Director of the Division of Investment Management at the U.S. Securities & Exchange Commission (SEC). Under her leadership, the Division of Investment Management finalized more than 70 regulatory initiatives to modernize the regulatory framework for investment companies and investment advisers, improve the investor experience through modernized disclosure and outreach efforts, elevate the standards of conduct for financial professionals, and re-evaluate the role and responsibilities of fund boards of directors. Dalia was a member of the SEC’s senior-level Covid-19 Market Monitoring Group and contributed to the staff’s report on the U.S. Credit Markets Interconnectedness and Effects of the Covid-19 Economic Shock. Dalia also co-chaired the Financial Stability Board’s Technical Experts Group on Money Market Funds.

Dalia previously served in a number of leadership roles in the Division of Investment Management for a total of 14 years at the SEC. Dalia has received the SEC’s Distinguished Service Award and the Manuel F. Cohen Award. Dalia was also named in Barron’s inaugural list of the 100 Most Influential Women in U.S. Finance.

In addition to her time at the SEC, Dalia was in private practice at the law firm Ropes & Gray where she advised on a broad range of investment fund, private equity, and regulatory matters. Earlier in her career, she practiced regulatory law at O’Melveny and Meyers in Washington D.C., and corporate law at Shearman & Sterling in New York and London.

Dalia earned a J.D. from Columbia University School of Law. She received her B.A in international studies from the American University and studied political science at the American University in Cairo.

Jay Clayton, Senior Policy Advisor, Sullivan & Cromwell LLP, and Non-Executive Chair, Apollo Global Management / Former Chairman of the U.S. Securities and Exchange Commission

Jay Clayton served as the Chairman of the U.S. Securities and Exchange Commission from May 2017 to December 2020. He is a Senior Policy Advisor and Of Counsel at Sullivan & Cromwell LLP, advising on corporate governance, capital markets and financial regulatory matters. He also is the Non-Executive Chair and Lead Independent Director of Apollo Global Management, an Adjunct Professor Wharton School and Carey Law School at the University of Pennsylvania and has advisory roles with several privately held companies and non-profit organizations.

As Chairman of the SEC, Mr. Clayton focused on modernizing the regulation and oversight of our equity and fixed income markets, concentrating on the interests of long-term investors. Under his leadership, the SEC updated dozens of rules and regulations, many that had not been revised in decades. The SEC also addressed various market developments and emerging risks, including the digitization of assets and financial transactions, the COVID-19 economic shock, the Brexit and LIBOR transitions, and various cybersecurity matters. He was an active member of the Financial Stability Board, the International Organization of Securities Commissions, the Financial Stability Oversight Council and the President’s Working Group on Financial Markets.

Prior to Mr. Clayton’s time at the SEC, he was a member of Sullivan & Cromwell’s management committee, co-managing partner of its General Practice Group and co-head of its Cybersecurity Group. He was a lead lawyer in an array of complex M&A and capital markets transactions, as well as regulatory and governance matters, in the financial, telecoms, energy, transportation and ecommerce sectors. Mr. Clayton also advised a number of individuals and families in connection with their public and private investments and succession planning matters.

Mr. 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 (Kings College; Thouron Scholar) and a JD from The University of Pennsylvania Carey Law School (cum laude; Order of the coif).

Moderator:

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

 

 

 

Introduced By:

Mark Epley, Partner, Arnold & Porter

Mark Epley brings experience in public policy and crisis management from senior positions in Congress and at the Departments of Justice and Defense to assist clients across a range of industries. He previously served as Senior Advisor and General Counsel to House Speaker Paul Ryan. He also served as General Counsel of the House Ways and Means Committee and Chief Oversight Counsel where his work touched on the full breadth of the committee’s jurisdiction—tax policy, trade and Medicare, as well as investigations. At the House Committee on Financial Services, he was Staff Director of the Subcommittee on Oversight, which focused on examining the implementation of the Dodd-Frank Act.

Most recently, Mr. Epley served as Chief Legal Officer of the Managed Funds Association (MFA), the principal trade association for the hedge fund industry. In this position, he developed and led a government-wide advocacy campaign including rulemaking, tax policy and congressional oversight.

Government / Military Service

  • General Counsel, Office of the Speaker of the US House of Representatives
  • General Counsel & Oversight Staff Director, House Ways and Means Committee
  • Chief Oversight Counsel, House Financial Services Committee
  • Associate Deputy General Counsel, US Department of Defense
  • Senior Counsel to the Deputy Attorney General, US Department of Justice
  • General Counsel, House Armed Services Committee
  • Chief of Staff to the Assistant Attorney General for Justice Programs, US Department of Justice

3:20pm

Closing Remarks