Partner, Akin Gump Strauss Hauer & Feld LLP
Peter Altman represents investment management firms, private and public companies, and individuals in white collar and other government enforcement and regulatory matters, securities class litigation and internal investigations. He also advises investment advisers on day-to-day risk management issues related to topics including securities trading, compliance with the Investment Advisers Act, and the use of big data and alternative forms of electronic communication.
Peter’s experience serving at the SEC provides him with a deep familiarity of the federal securities and commodities laws and the processes of the SEC. He routinely provides advice in investigations and enforcement proceedings involving issues including alleged insider trading and other trading-related matters, and disclosure-related and regulatory compliance issues, including broker-dealer and advertising-related regulations. He also represents multiple clients in government enforcement matters involving cryptocurrencies and initial coin offerings, closely tracking the regulatory trajectory of this quickly evolving field.
James J. Angel
Associate Professor of Finance, McDonough School of Business, Georgetown University
James Angel is an associate professor of finance at the McDonough School of Business at Georgetown University who specializes in financial market structure. His interests include fintech, cryptocurrencies, and payments. He has visited over 70 stock and commodities exchanges around the world in his quest to learn the details of how markets really operate.
Professor Angel has served as a Visiting Academic Fellow in residence at the National Association of Securities Dealers (NASD – now FINRA) and also as a visiting economist at the Shanghai Stock Exchange. He served as chairman of the Nasdaq Economic Advisory Board and later on the board of directors of the Direct Edge stock exchanges prior to their acquisition by BATS Global Markets. He is now the Academic Director of the FINRA CRCP® program.
Jim is a co-inventor on 12 fintech patents. He has testified six times before Congress about issues relating to the design of financial markets. In addition, he has been quoted in thousands of media articles and has appeared numerous times on radio and television.
He began his professional career as a rate engineer at Pacific Gas and Electric, where he worked on FERC and CPUC related issues in electricity regulation. After earning his MBA at Harvard, he worked at BARRA (later part of Morgan Stanley) where he developed transactions cost prediction and equity risk models used in portfolio management.
Jim earned his B.S. from the California Institute of Technology, his MBA from Harvard Business School, and his Ph.D. from the University of California at Berkeley. He has been a professor at Georgetown University since 1991. From 2012 to 2014 he was a visiting associate professor at the Wharton School of the University of Pennsylvania. The courses he has taught include Investments, Capital Markets, World Equity Markets, Investments, as well as Complex Financial Instruments and Derivatives.
Chief Operating Officer and Chief Financial Officer, Palestra Capital Management LLC
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.
Principal, DavidsonKempner Capital Management LP
Yehuda Biber is a Principal and the Deputy Tax Director at Davidson Kempner Capital Management. Most recently, from 2010 to 2019 he was the Head of Tax at Viking Global Investors, responsible for all matters of taxation. Prior to joining Viking in 2010, Mr. Biber spent four years at the D.E. Shaw Group, where he was most recently a Vice President responsible for tax matters relating to all D.E. Shaw entities. Previous to that, Mr. Biber was with Deloitte Tax and Ernst & Young, where he provided tax services to financial service clients. Mr. Biber graduated cum laude from Yeshiva University.
U.S. Senator Shelley Moore Capito
Shelley Moore Capito was elected by the people of West Virginia to the United States Senate in 2014, and re-elected in 2020. She is the first female U.S. senator in West Virginia’s history and was elected with the largest margin of victory for a Republican in state history—winning more than 70 percent of the vote and all 55 counties, surpassing the previous mark she set in 2014 when she won more than 62 percent of the vote and all 55 counties.
After serving West Virginia’s Second Congressional District in the U.S. House of Representatives for 14 years, and as a member of the West Virginia House of Delegates for four years prior, Senator Capito decided to run for Senate to be an even stronger voice for the Mountain State. She also saw an opportunity to restore order to a Senate stuck in gridlock for far too long. She believes that today’s challenges demand bipartisan solutions and cooperation across the aisle to advance legislation that benefits West Virginia and the country as a whole. Senator Capito is committed to being accessible and responsive to her fellow West Virginians and regularly travels, with proper health and safety precautions in place, to hear from and meet with West Virginians.
Senator Capito serves on the Appropriations Committee; the Commerce, Science, and Transportation Committee; the Environment and Public Works (EPW) Committee; and the Rules and Administration Committee. This committee portfolio puts her in a strong position to create new opportunities in the Mountain State and fight for West Virginia priorities, jobs, and families.
As a member of the Committee on Appropriations, Senator Capito works to ensure West Virginia’s priorities are represented when our nation’s funding decisions are made. During her time on the committee, she has served as chair of the Legislative Branch Subcommittee, the Financial Services and General Government Subcommittee, and the Homeland Security Subcommittee. Senator Capito currently serves as the top Republican on the Homeland Security Subcommittee, where she oversees funding for a range of national security resources and agencies. She has been a member of the Appropriations Committee since she became a Senator in 2015.
On the EPW Committee, the senator serves as Ranking Member. As the top Republican on the committee, Ranking Member Capito has advocated for policies that protect vital West Virginia energy and manufacturing jobs and encourage investment in West Virginia’s infrastructure. As a leader on the EPW Committee, Ranking Member Capito is committed to promoting a commonsense regulatory strategy and protecting affordable, reliable energy production; building our nation’s infrastructure, and encourage economic development. She has been a member of the EPW Committee since she became a Senator in 2015.
On the Commerce Committee, Senator Capito oversees ways to address many issues that are critical to West Virginia, most notably broadband expansion, which she has been a leading voice on since she came to Congress. This committee assignment allows Senator Capito to continue advocating for improved connectivity in West Virginia.
A lifelong West Virginian herself, Senator Capito was born in Glen Dale in the Northern Panhandle. She holds a B.S. in Zoology from Duke University and a M.Ed. from the University of Virginia. She and her husband Charles L. Capito Jr. reside in Charleston. They have three adult children: two sons, Charles (wife Laura) and Moore, and one daughter, Shelley (husband Colin Macleod). They have also been blessed with seven grandchildren: Celia, Charlie, Eliza, Rose, Arch, Macaulay, and Lewis.
Managing Director, Head of Operational Due Diligence, Agility
Adam Cohen is a Managing Director at Agility and is Head of Operational Due Diligence, where his duties include performing operational due diligence on Agility’s underlying investment managers and overseeing the Operational Due Diligence program.
Prior to joining Agility, Adam was an Executive Director in the Alternative Investments Group at Morgan Stanley Wealth Management (formerly known as Morgan Stanley Smith Barney), where he served as Head of Operational Due Diligence. Prior to this role, Adam served as Head of Operational Due Diligence at Citi Global Wealth Management. In both of these roles, Adam was responsible for conducting operational due diligence on a broad range of alternative investments globally, as well as managing a team of analysts. Adam brings more than 20 years of industry experience, including his tenure in previous roles as a controller and a senior financial officer.
Adam earned a BBS with Honors in Finance from the University of Cape Town and has earned the Chartered Alternative Investment Analyst (CAIA) designation.
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.
Brynn Coursey Heegan
Managing Director and Global Head of Operational Due Diligence, Lyxor Asset Management Inc
Brynn Coursey Heegan joined Lyxor Asset Management Inc.’s predecessor firm in 2006 to lead the Operational Due Diligence team. In her role, she implemented the global operational due diligence program. Ms. Heegan oversees a team of professionals each with over 20 years of experience in liquid alternative strategies. She has kept Lyxor’s team at the forefront of mitigating operational risks related to hedge fund investing.
As a member of the firm’s Manager Universe, Risk and Valuation Committees, Ms. Heegan retains independent veto rights on all hedge fund investments across the organization. Ms. Heegan participated in the 2013 Columbia Leadership Program with Société Générale Corporate and Investment Banking and is an active alumna of the 2014 SG AMER CEO Club Leadership Program. She frequently participates in Société Générale Americas Mentoring and the Americas Women Programs. Ms. Heegan was selected as one of the Top 50 Leading Women in Hedge Funds in 2018.
She previously served as the Controller of Kensico Capital Management Corporation, from 2002 through 2005. From 2000 to 2002, Ms. Heegan served as an Analyst within Morgan Stanley’s Prime Brokerage Group. From 1997 to 2000, she worked at Arthur Andersen LLP as an experienced Senior Accountant in their Financial Markets Audit Division and Tax Advisory Services Practices.
Ms. Heegan received a B.S. in Public Accounting with a specialization in Legal and Ethical Studies from Fordham University.
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.
Bruce S. Darringer
Member and Chief Operating Officer, King Street Capital Management
Bruce Darringer is a Member and Chief Operating Officer of King Street Capital Management and a member of the firm’s Management Committee. Prior to joining King Street in 2003, Mr. Darringer worked for Goldman, Sachs & Co. as a Vice President in the Investment Banking Division, advising on mergers, acquisitions, divestitures and anti-raid and financing transactions.
Previously, Mr. Darringer had co-founded Integrity Capital Management, L.L.C., a global relative value hedge fund, as Principal, Chief Operating Officer and General Counsel, where he was responsible for all operational, legal, regulatory, tax and accounting aspects of the business, as well as investor relations. Mr. Darringer began his career as a corporate attorney for Cravath, Swaine & Moore, where he specialized in high yield underwriting transactions, derivatives and other corporate finance transactions.
Mr. Darringer received a J.D. magna cum laude from Harvard Law School in 1994, and a B.S. in Economics with a concentration in Finance summa cum laude from The Wharton School of Business at the University of Pennsylvania in 1991 (with a dual-degree B.A. from the School of Arts and Sciences).
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.
Special Counsel and Chair, Financial Markets and Regulation, Katten
Gary DeWaal brings substantial experience from both industry and government to his practice counseling clients on exchange-traded derivatives and cryptoassets. He advises a worldwide client base on transactional and regulatory matters relating to those and other complex financial products. Gary’s clients benefit from his deep well of contacts and practical knowledge from his prior work with the world’s largest exchange-traded derivatives broker and, before that, as a senior trial attorney at the US Commodity Futures Trading Commission (CFTC).
Gary understands the urgency that drives the financial industry. His business background also gives him a unique understanding of his clients’ products. This allows him to provide fast and practical responses to clients, often consulting directly with business executives as opposed to legal staff.
Before joining Katten, Gary interacted with regulators worldwide as the group general counsel of Fimat (later known as Newedge), the exchange-traded derivatives and securities broker. He also served in both business and legal roles for Brody, White & Co., and, before that, as a senior trial attorney with the CFTC’s Division of Enforcement.
On multiple occasions, Gary’s detailed knowledge of his clients’ business has helped him prevail with regulators to close investigations before taking enforcement action. When a financial exchange was investigating one of his clients, a multinational investment bank, Gary went beyond avoiding disciplinary activity; he worked with the exchange to amend a rule predicated on an outdated trading environment to accommodate his client’s current business. In another probe, Gary’s knowledge of algorithmic trading and futures markets in China and the United States helped him persuade a principal US derivatives exchange not to bring any charges against a China-based proprietary trading firm and solely issue a cautionary letter instead.
U.S. Senator Chris Dodd
Senior Counsel, Arnold & Porter
Senator Christopher J. Dodd served for thirty years in the United States Senate and six years in the United States House of Representatives, representing the people and the state of Connecticut.
During his tenure in the U.S. Senate, Senator Dodd served as Chairman of the Senate Banking Committee, Acting Chairman of the Senate Health, Education, Labor, and Pensions Committee, and as a senior member of the Senate Foreign Relations Committee.
Over his three decade career in the Senate, Senator Dodd was an active legislator, authoring and co-authoring several landmark laws, including the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Affordable Care Act, the Private Securities Litigation Reform Act, the Family and Medical Leave Act, the Child Care Development Block Grant, and the Help America Vote Act.
After retiring from public service in 2010, Senator Dodd served as Chairman of the Board and Chief Executive Officer of the Motion Picture Association for seven years before joining the law firm Arnold & Porter, where he presently serves as Senior Counsel.
General Counsel and Chief Compliance Officer, EMSO Asset Management Limited
Adams Distinguished Professor of Management and Professor of Finance, Stanford University
Darrell Duffie is the Adams Distinguished Professor of Management and Professor of Finance at Stanford University’s Graduate School of Business, and Professor (by courtesy) in the Department of Economics, Stanford University. He is a Fellow of the Econometric Society, a Research Fellow of the National Bureau of Economic Research, a Fellow of the American Finance Association, and a Fellow of the American Academy of Arts and Sciences. He was the 2009 president of the American Finance Association. Duffie chaired the Financial Stability Board’s Market Participants Group on Reference Rate Reform. He is a Project Advisor of The G30 Working Group on Digital Currencies, a member of the Systemic Risk Council, a co-director of the Hoover Institution’s Study of the Global Implications of China’s Central Bank Digital Currency, and a member of the Advisory Council of the Future of Digital Currency Initiative at Stanford University.
Senior Associate – Investment Operations, Alfred I. duPont Charitable Trust
Paige Ernst joined the Alfred I. duPont Charitable Trust in 2017 and holds the position of Senior Associate – Operations. Her primary responsibilities include conducting due diligence reviews of existing and potential asset managers and service providers. Prior to joining the Alfred I. duPont Charitable Trust she worked as an auditor for Ernst and Young. Ms. Ernst earned her bachelor’s degree in accounting as well as her master’s degree in accounting from The University of Tennessee. She is a Certified Public Accountant.
Independent Risk Oversight, UAW Retiree Medical Benefits Trust
Matt Hartsough is a Manager, Independent Risk Oversight at the UAW Retiree Medical Benefits Trust and is responsible for the operational due diligence program. Matt was previously the Director of Operational Due Diligence at East End Advisors, LLC. He started his career as an auditor in the financial services practice of CohnReznick LLP in New York, NY.
Matt holds a Master of Science in Accounting and Bachelor of Science in Business Administration from Northeastern University. He is a Certified Public Accountant in New York State.
Chief Financial Officer, CarVal Investors
Mr. Hedberg is chief financial officer for CarVal Investors. In addition to leading finance and operations globally for the firm, Mr. Hedberg also manages capital formation activities, including investor relations and fund financing strategy. Mr. Hedberg joined Cargill in 1996 and has held a variety of financial management positions, including serving as global controller for CarVal’s corporate credit business and manager in Cargill’s internal audit department. Prior to joining Cargill, Mr. Hedberg was with Dain Bosworth. Mr. Hedberg received his M.B.A. from the University of St. Thomas and his B.S. in finance, magna cum laude from the University of Colorado.
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 $17 billion in 5,390 transactions across 80 countries. Today, CarVal Investors has approximately $10 billion in assets under management in in corporate securities, loan portfolios, structured credit and hard assets.
Partner, Chief Operating Officer, Summit Rock Advisors, LP
William Hedden is a partner and chief operating officer of Summit Rock Advisors. He oversees the firm’s non-investment operations including accounting, legal and compliance, reporting, technology, office management and human resources. Bill also oversees the operational risk management function.
Bill previously held positions at Blackstone Alternative Asset Management involved in performing operational due diligence on hedge fund managers. He worked in New York and London and helped with manager negotiations, building out the infrastructures for seed investments and performing transactional due diligence for acquisitions.
Bill is a Certified Public Accountant and holds a Master of Science in Accounting from the University of Virginia and a Bachelor of Arts in Economics and Business from Lafayette College.
Partner, Southwest Market Financial Services Tax Practice Leader, PwC
Rusty is an asset management tax partner based in Los Angeles who leads PwC’s Southwest Market Financial Services Tax practice. He has been with the firm since 2007 and has over 22 years of tax experience focused primarily in the financial services industry, with clients including alternative investment funds, regulated investment companies, Business Development Companies, variable annuity products, and other financial institutions.
Rusty advises his clients on a number of tax issues including fund structuring, the taxation of financial products and complex securities including debt and derivative transactions, distressed debt issues, and investor considerations.
Rusty is a member of the AICPA and is a licensed certified public account in California, New York and Mississippi. Rusty is also the tax leader for the firm’s BDC practice and is actively involved in the development and instruction of the firm’s asset management training courses.
Nathan A. Howell
Partner, Sidley Austin LLP
NATE HOWELL is a partner in Sidley’s Chicago office in the Investment Funds practice group. He also serves as a member of Sidley’s End-User Derivatives team and the Securities Enforcement and Regulatory practice group.
Nate’s practice focuses on futures and derivatives regulation, transactions and compliance, with a core focus on Commodity Exchange Act (CEA), Commodity Futures Trading Commission (CFTC) and Dodd-Frank Act matters.
Nate’s clients include clearing organizations, derivatives exchanges and other trading facilities, self-regulatory organizations, commodity pool operators, commodity trading advisors, futures commission merchants, introducing brokers, swap dealers, banks, hedge funds, commercial end-users of derivatives (including manufacturing and energy companies) and companies that are actively engaged in the cryptocurrency and digital assets space. He also advises a number of non-U.S. financial institutions on the cross-border aspects of U.S. derivatives regulations.
The National Law Journal named Nate to its 2018 “Cryptocurrency/Blockchain/Fintech Trailblazers” special supplement. Among other things, he was recognized for first-of-its-kind financial work on custodial issues for banks that hope to hold custody for regulated entities.
Sidley’s Investment Funds practice team has won numerous top awards as a provider of legal services to the private funds industry: two-time winner of Chambers and Partners’ “Investment Funds Team of the Year for the U.S.”; Institutional Investor’s Alpha magazine’s 2014 Alpha Awards top “onshore” (U.S.) law firm serving the hedge fund industry; four-time recipient of first-tier national rankings in the U.S. News – Best Lawyers “Best Law Firms” rankings for Private Funds/Hedge Funds Law, and Derivatives and Futures Law; and ranked in the top band for Hedge Funds by Chambers USA every year since 2008.
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.
Author -T-Minus AI: Humanity’s Countdown to Artificial Intelligence and the New Pursuit of Global Power, Former Chairperson of AI, U.S. Air Force, HQ Pentagon
Michael Kanaan is the author of T-Minus AI: Humanity’s Countdown to Artificial Intelligence and the New Pursuit of Global Power and former chairperson of artificial intelligence for the U.S. Air Force, Headquarters Pentagon. In that role, he authored and guided the research, development, and implementation strategies for AI technology and machine learning activities across its global operations, and is currently the Director of Operations for Air Force / MIT Artificial Intelligence Accelerator. He was named to the 2019 Forbes “30 Under 30” list, Fast Company Impact Council, and received the US Government’s Arthur S. Flemming Award (an honor shared by past recipients Neil Armstrong, Robert Gates, and Elizabeth Dole).
Principal, Taconic Capital Advisors LP
Elizabeth Keeley is a Principal, Chief Operating Officer and General Counsel of Taconic Capital Advisors LP. Ms. Keeley joined Taconic in August 2005 as Chief Compliance Officer and Associate General Counsel and became General Counsel and a Principal in January 2013 and Chief Operating Officer in April 2017. Prior to joining Taconic, Ms. Keeley spent over seven years as an Associate at Sidley Austin LLP where she provided legal and regulatory advice to a variety of investment entities including mutual funds, investment banks, investment advisers and private funds. Ms. Keeley also spent over two years at Funds Distributor, Inc., most recently as Vice President and Senior Counsel. Ms. Keeley received a B.S., with distinction, from Cornell University in 1991, and a J.D. from Fordham University School of Law in 1995.
Head of Asset Management, Galaxy Digital
Steve Kurz is Head of Asset Management at Galaxy Digital. Prior to joining the firm, he was a Co-Founder of Outer Realm VR, an enterprise focused immersive software company. Previously, he was a Principal and Head of Business Development at River Birch Capital, where he was responsible for raising over $1 billion in assets. Prior to that, he was a Vice President at Fortress Investment Group. He started his career in the Fixed Income Division of Lehman Brothers. Steve serves on the New York Advisory Board of a music charity called Little Kids Rock, is a Board Observer for a life sciences company called MicroCures, Inc., and is an active member of NextGen Venture Partners. He holds a B.A. in Economics from Cornell University.
Partner, Morgan, Lewis & Bockius LLP
Christine Lombardo advises investment managers and broker-dealers on financial regulatory matters. She concentrates her practice on securities regulation for a broad range of financial firms including retail asset managers, private fund managers, family offices, broker-dealers, other professional traders, and high-net-worth individuals. Christine also counsels legal, compliance, and business personnel on the structure, operation, and distribution of advisory programs, including digital advisory offerings, and investment products, including hedge funds, private equity funds, venture capital funds, real estate funds, and other alternative investment products.
Christine also counsels financial firms through examinations by industry regulators, as well as on enforcement related matters. Before joining Morgan Lewis, she was an associate at an international law firm in New York and worked for the Division of Enforcement at FINRA.
Colleen K. Lynch
General Counsel, Coatue Management, L.L.C.
Dr. Cindy Ma
Managing Director and Global Head of Houlihan Lokey’s Portfolio Valuation and Fund Advisory Services practice, Houlihan Lokey
Dr. Ma is a Managing Director and Global Head of Houlihan Lokey’s Portfolio Valuation and Fund Advisory Services practice, focusing on illiquid and complex securities valuation. She has over 20 years of extensive training, academic expertise, and hands-on experience in commodities, derivatives, securities, foreign exchange, fixed incomes, structured transactions, hedging strategies, and risk management issues. She is a member of the firm’s Technical Standards Committee and is also a member of the Standards Board of the International Valuation Standards Council (IVSC).
Since the start of the global credit crisis that began in July 2007, Dr. Ma has been focused on valuing illiquid securities, including asset-backed securities, collateralized debt obligations, collateralized loan obligations, mortgage derivatives, auction rate securities, distressed debt instruments, and private equity investments for financial reporting, transaction advisory, restructuring alternatives, and litigation support purposes.
On October 29, 2008, she served as a panelist in the Securities and Exchange Commission’s roundtable concerning mark-to-market accounting. Dr. Ma participated as the valuation expert, focusing on potential improvements to the current accounting model and implications of possible changes.
Dr. Ma joined Houlihan Lokey from NERA Economic Consulting, where she established and led the Employee Stock Options Valuation practice. Before that, she was a partner at Ernst & Young. She directed a number of significant litigation and dispute resolution projects related to derivatives valuation, securities trading, hedging, and risk management. She also advised the boards of directors of energy and financial companies on risk management, valuation, and corporate governance issues. For over five years, she traded derivatives and designed new risk management products for a global commodity firm.
Dr. Ma served as an adjunct professor at Columbia University, where she taught an MBA-level course in futures and options. She also developed several corporate training programs on the complex aspects of capital markets. Dr. Ma has qualified and testified as an expert witness in U.S. District Court, U.S. Bankruptcy Court, and arbitration and deposition proceedings. She has also worked as a consulting and testifying expert for the U.S. Securities and Exchange Commission.
Dr. Ma graduated from Columbia University’s Graduate School of Business with a Ph.D. in Finance and from Indiana University with highest distinction with a B.S. in Accounting. She holds the designation of Chartered Financial Analyst. She obtained her CPA license (now inactive) in the State of Colorado. She was also a member of the Financial Accounting Standards Board’s Option Valuation Group. Dr. Ma has published numerous articles on energy, derivatives, risk management, valuation, and corporate governance, and she is a frequent speaker at industry conferences and on academic panels. Her Ph.D. thesis addressed energy futures and options markets. She also co-authored a college textbook on futures and options.
Executive Director, Americas Head of Partners and Alliances, Enfusion
Labib Mahfouz is Executive Director, Americas Head of Partners and Alliances. He drives the development of mutually beneficial relationships with Enfusion’s partners across the whole investment management lifecycle ecosystem in order to deliver exceptional experiences to Enfusion clients.
Quote: As investment management firms continue to evolve their best-in-class operations, outsourcing to third-party providers has proved to be an efficient, scalable, and cost effective solution. With our open architecture, forging alliances and a strong network of partners enables Enfusion to anticipate industry trends and client needs and remain at the forefront of investment operations solutions.
Mahfouz joined Enfusion in 2021. He has over 25 years of financial industry experience, including serving as Chief Operating Officer and Chief Financial Officer at Evince Asset Management LP, a quantitative global macro fund seeded by Tudor Capital.
Previously, Mahfouz served as President and Chief Operating Officer at Axonic Capital, Chief Operating Officer at Tricadia Capital Management, and spent over 10 years at Barclays Capital where he served for the last two years as the Chief Operating Officer of the Credit Derivatives business. He began his career at Bankers Trust in New York and London, where he was responsible for global trade execution, treasury financing and futures operations.
Mahfouz holds a B.S. in Economics and Finance from Lehigh University.
Chief Executive Officer, FireEye
Kevin has been FireEye CEO since June 2016 and a member of the FireEye Board of Directors since February 2016. He previously served as FireEye President, from February 2015 until his appointment as CEO. Kevin joined the company as Senior Vice President and Chief operating Officer in December 2013, when FireEye acquired Mandiant, the company he founded in 2004.
As CEO of Mandiant, Kevin grew the company to nearly 500 employees and more than $100 million in revenue. Widely recognized as the leading provider of security incident management products and services prior to the acquisition, Mandiant remains the core of the highly successful FireEye consulting business.
Kevin has spent more than 20 years in information security and has been on the front lines helping organizations respond to computer security breaches. Before Mandiant, he was the Director of Computer Forensics at Foundstone (acquired by McAfee Corporation) from 2000 to 2003, and he was the Director of Information Security for Sytex (later acquired by Lockheed Martin) from 1998 to 2000. Kevin was also a United States Air Force Officer, serving as a computer security officer in the 7th Communications Group at the Pentagon, and a special agent in the Air Force Office of Special Investigations (AFOSI). He holds a B.S. in computer science from Lafayette College and a M.S. in forensic science from The George Washington University.
Global Head of Equity Financing Distribution, Bank of America
Edouard Matitia-Cohen is a Managing Director and Global Head of Equity Financing Distribution at Bank of America, based in New York.
In his role, he is responsible for all sales globally across Prime Brokerage, Equity Synthetics and Stock Loan, ensuring the delivery of an integrated coverage and distribution strategy worldwide. He joined the firm in 2012 and was previously Americas Head of Equity Sales.
Prior to joining Bank of America, Matitia-Cohen was the European Head of Equity Derivatives, Convertibles and Delta One sales at Credit Suisse, based in London. He was a member of Credit Suisse’s European Equity Management Committee and Global Equity Management Committee.
Previously, Matitia-Cohen worked at Morgan Stanley for over 11 years and held various roles including the Head of U.S. Capital Structure and Special Situations business in New York, and a member of the Equity Derivatives trading team in London.
He holds a B.A. (Hons.) in economics from ICADE University in Madrid and Ecole Superieure de Commerce in Reims, France.
Matitia-Cohen is a board member of the Managed Fund Association (MFA), a term corporate member of the Council of Foreign Relations (CFR) and serves as an outside advisor to the Institute for the Study of War (ISW).
Michael F. Mavrides
Michael F. Mavrides is a partner in the Hedge Funds Group. Mike focuses his practice on representing domestic and offshore hedge funds, funds of funds and other private investment funds, including private equity and real estate investment funds. He regularly advises funds and their managers on a wide variety of issues, including formation and structuring, seed capital, anchor capital and other strategic arrangements, placement agency, solicitation and other marketing arrangements, succession planning, separately managed accounts, and all types of portfolio management, trading and operational issues.
Mike advises clients on federal and state investment adviser registration, commodity pool operator and/or commodity trading adviser registration, regulatory reporting (including Form PF, Forms 13D, F, G and H and the various Treasury Department and Bureau of Economic Analysis forms), and a wide range of other compliance matters. He has significant experience advising clients on structuring their management companies and acquiring and retaining talent, including through employment, equity and “phantom equity” arrangements. In addition, Mike advises clients on a variety of transactional matters, including joint venture agreements, derivative and structured product transactions and credit arrangements. He also counsels clients in connection with examinations and investigations by the SEC, the NFA and other federal as well as state regulators.
A recognized leader in the industry, Mike has been named one of the leading up-and-coming lawyers in the U.S. by The Lawdragon: 500 New Stars, New Worlds.
Mike is a frequent speaker at conferences on investment funds and money managers, as well as hedge fund and other investment management-related seminars and workshops, and is the author of various articles and alerts.
Before joining Proskauer in 2014, Mike was a partner at Bingham.
Head of Equity Finance Americas, HSBC
Warren McCormick is a Managing Director and a member of the HSBC Securities Finance management team in the Americas having relocated to US from UK in 2008.
Warren has extensive experience across Sales and Trading in Equities including cash and derivative products in both the US and Europe. Warren is currently Head of Equity Finance & Delta One, America’s, based in New York, and leads a team of 10 traders delivering client solutions across a range of Prime products. He is engaged in building new and expanding existing products through collaboration with many business lines (Legal, Compliance, Risk & IT etc) such as HSBC’s existing SPAC offering and ongoing work to develop HSBC’s Cash Prime Brokerage in US.
Warren is a subject matter expert in Prime Brokerage and has wide ranging knowledge of overall Global Markets activities and what drives them. He works collaboratively with colleagues at all levels to ensure that we deliver consistently for clients, HSBC and each other.
FINRA Series 17, 24, 57, 63. 99
Managing Director, Head of Capital Consulting, Wells Fargo
Patrick McCurdy is a Managing Director and Head of Capital Consulting at Wells Fargo. In his role he coordinates the delivery of Capital Introduction and Consulting services to clients across the investment bank. As the founder of Wells Fargo’s Capital Introduction team, Patrick has spent over a decade at Wells Fargo assisting hedge fund managers on their capital raising mandates and liaising with institutional investor relationships on behalf of the Firm.
Prior to this role, Patrick served as a Partner and Head of Capital Development for Merlin Securities. Merlin was acquired by Wells Fargo in August of 2012 to create Wells Fargo Prime Services. Patrick began his career at Morgan Stanley where he spent seven years working in their Prime Brokerage Department. As a member of Morgan Stanley’s Capital Introductions team, Patrick managed relationships for more than 150 managers and investors, and developed a proprietary network of global investors.
Patrick holds a B.A. in economics from Williams College and maintains his series 7, 63 and 24 licenses.
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.
Chief Investment Officer, Fairfax County Police Officers Retirement System
Ms. Molnar joined Fairfax County Retirement Systems in 2013 and currently serves as Chief Investment Officer of the Fairfax County Police Officers Retirement System, a $1.8 billion plan. Her responsibilities include all aspects of portfolio management and oversight, including strategic and tactical asset and risk allocation, selection and supervision of external investment managers and risk management. From 2001 until 2012, Ms. Molnar was Vice President, Senior Research Analyst at AIG Investments’ Hedge Fund Solutions Group – both in London and New York. At AIG Investments, Ms. Molnar was responsible for due diligence procedures and research including: sourcing new managers, monitoring current hedge funds, analyzing portfolio risk and performance, making new investment recommendations to an investment committee as well as hedge fund asset allocation recommendations for portfolio construction. She was additionally responsible for portfolio reviews and overall asset allocation recommendations for external client portfolios. Previously, she was Vice President, Market Research Analyst at Citigroup Investments’ Alternative Investment Strategies group. Prior investment management experience includes positions at Paribas Asset Management as well as Trevor Stewart Burton & Jacobsen. Additionally, Ms. Molnar spent one year in Warsaw, Poland launching the first retail mutual funds available to the Polish market as well as two years in Frankfurt, Germany as an intern with J.P. Morgan. Ms. Molnar received a B.S. in Business Administration/Finance from the University of North Carolina at Chapel Hill. She is a CFA charterholder.
Founder and Chief Executive Officer, Pantera Capital
Dan founded Pantera Capital in 2003 – managing a billion dollars in hedge fund strategies. He previously served as Head of Macro Trading and CFO at Tiger Management with Julian Robertson. Dan began his career as a Collateralized Mortgage Obligation trader at Goldman Sachs. Dan graduated magna cum laude from Princeton University with a B.S. in Structural Engineering and received the Carmichael Prize for his thesis. Pantera Capital is the first institutional investment firm focused exclusively on bitcoin, other digital currencies, and companies in the blockchain tech ecosystem. Pantera launched the first cryptocurrency fund in the United States when bitcoin was at $65/BTC in 2013. The firm subsequently launched the first exclusively-blockchain venture fund and recently concluded raising its third venture fund. In 2017 Pantera was the first firm to offer a pre-auction ICO fund. Pantera Bitcoin Fund has returned over 16,000% in seven years and has returned billions to its investors. Pantera manages $3.2bn across three strategies – passive, hedge, and venture — exclusively focused on bitcoin, other digital currencies, and companies in the blockchain tech ecosystem.
Americas Head of Business Consulting Services, UBS Securities LLC
Bryant Morse is currently the Americas Head of Business Consulting Services at UBS. Most recently, Bryant was Chief Technology Officer at Kingdon Capital where as a member of the Operating Committee, he was responsible for the firm’s Technology vision with oversight of Infrastructure, Cybersecurity, Enterprise Data and Application Development. Previously, Bryant was Chief Information Officer for two separate start up hedge funds, Nexus Asset Management (Global Energy/Utilities) and Tourmalet Advisors (Global L/S Equity). He also spent nine years as Senior Vice President at Pequot Capital, where he was the Head of Data Management.
Patricia C. Mosser
Director, MPA in Economic Policy Management, Columbia University SIPA
Patricia C. Mosser is Director of the MPA Program in Economic Policy Management at Columbia University’s School of International and Public Affairs and leads the school’s Initiative on Central Banking and Financial Policy. Previously, she was head of Research and Analysis at the Office of Financial Research, U.S. Treasury. Mosser spent over 20 years at the Federal Reserve Bank of New York where she was senior manager at the New York Fed’s open market desk overseeing financial market analysis, monetary policy implementation, crisis-related facilities, foreign exchange and investment operations, and analysis of financial stability. In 2009, she was SOMA manager for the FOMC. She previously served as an economist and manager in the New York Fed Research Department and as an assistant professor in the Economics Department at Columbia. Mosser has written on financial stability and monetary policy topics including financial reform, crisis policy tools, cyber risks to financial stability, and the monetary transmission mechanism. She received a BA from Wellesley College, an MSc with distinction from the LSE, and a PhD from MIT.
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.
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.
Managing Director of Operational Risk, Lighthouse Partners
Jim is responsible for managing the operational risk management process. He leads Lighthouse’s efforts in conducting sub-advisor operational reviews and monitoring overall operational risk. Jim is a member of Lighthouse’s Pricing and Risk and Valuation Committees and a member of the Lighthouse Operations Management Team. Jim worked with the National Futures Association as a Supervisor of Compliance and as a Manager if the Treasurer’s Office. Prior to joining Lighthouse, Jim served as the Chief Financial Officer of Kottke Associates, LLC, a clearing firm at the Chicago Board of Trade and the Chicago Mercantile Exchange. Jim served on the Business Conduct Committee at the National Futures Association from 2008 to 2020, the last five years as its Chairman. Jim graduated from Northern Illinois University with a Bachelor of Science in Accounting. He is a Certified Public Accountant and is a member of the American Institute of CPAs and the Illinois CPA Society.
C. Dabney O’Riordan
Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
C. Dabney O’Riordan has been Co-Chief of the SEC Enforcement Division’s Asset Management Unit since June 2016. The AMU is a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds. Ms. O’Riordan joined the SEC in 2005, and has served in multiple roles including Senior Counsel, Counsel to the Director and Assistant Director. Before joining the SEC, Ms. O’Riordan served as a law clerk to the Honorable David R. Thompson of the U.S. Court of Appeals for the Ninth Circuit and worked in private practice in Los Angeles, California at the law firm Munger, Tolles & Olson LLP. Ms. O’Riordan received her undergraduate degree from Wellesley College, where she majored in environmental sciences, and her J.D. from the University of California, Los Angeles.
Amanda L. Olear
Acting Director, Deputy Director, Registration and Compliance, Market Participants Division, Commodity Futures Trading Commission
Amanda Olear is the Acting Director of the Market Participants Division (MPD) at the Commodity Futures Trading Commission (CFTC), as well as Deputy Director for Registration and Compliance in MPD. Ms. Olear has worked at the CFTC since 2007 and has primarily focused on the operations of commodity pool operators and commodity trading advisors, but more recently has expanded her responsibilities to include registration and compliance issues involving swap dealers, introducing brokers, and associated persons. She regularly advises members of the public regarding the application of Part 4 of the CFTC’s regulations.
Ms. Olear received her J.D., with honors, from the University of Maryland School of Law in 2004, where she was inducted into the Order of the Coif.
Director, Citadel LLC
Laura Payne is a Director in the Client and Partner Group at Citadel.
Prior to joining Citadel, Ms. Payne served as Director of Investor Relations and Business Development at JHL Capital Group.
Previously, Laura served as Vice President at Goldman Sachs, where she was responsible for managing the capital introductions and prime brokerage efforts in the central region. She began her professional career as an institutional allocator at The University of Chicago Investment Office, followed by Glenwood Capital and The Pritzker Group.
Laura serves on the Board of Directors for the Alliance for the Great Lakes and the Advisory Board for the Hyde Park School of Dance.
Ms. Payne received a master’s degree from The University of Chicago Booth School of Business and both a master’s and bachelor’s degree from Marquette University.
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.
Global Head of Account Management, Enfusion
Alan Polo was appointed Managing Director, Global Head of Account Management at Enfusion in January 2021 to lead, grow and develop Enfusion’s global team of Account Managers and Technical Account Managers. Alan’s team represents the Voice of the Client internally and ensures consistent delivery of an exceptional client experience. As needed, his team brings the full resources of the firm to bear for Enfusion clients, meeting and exceeding their daily and long-term strategic needs.
Alan has spent more than 20 years in the financial services industry with a focus on electronic trading, trading analytics, market structure and OEMS sales. Prior to joining Enfusion, Alan was Director of Global Electronic Sales & Trading at Sanford Bernstein, where he cared for the equity trading needs of institutional asset managers and hedge funds.
Previously, Alan was a Managing Director, in the Global Electronic Sales and Trading team at ITG and a Senior Vice President at Lehman Brothers in their Electronic Trading group. Earlier in his career he spent many years working for OEMS vendors such as LongView/LineData Systems and Merrin Financial/Macgregor Group. He started his career at Fidelity Investments as a settlements analyst on their equity trading desk in 1997.
Alan holds a bachelor’s degree in Finance and International Business from Northeastern University’s D’Amore-McKim School of Business.
Principal, Head of Operational Due Diligence, Bessemer Trust
Ms. Portnoff is Principal and Head of Operational Due Diligence at Bessemer Trust. In this role, she is responsible for managing operational due diligence reviews of external managers within the Alternative Investments and External Manager Solutions advisory programs. She also manages the operational and business risk reviews of Sub-Advisers selected by the Old Westbury mutual funds. She is a member of the firm’s Hedge Funds, Private Equity, Real Assets, and External Manager Solutions Investment Committees.
Prior to joining Bessemer, Beste was Hedge Fund Analyst at 3G Capital (formerly Synthesis Asset Management) in New York. She has held financial analyst positions at Global Securities (USA) in New York, Premier Farnell in Chicago, and Kocbank Investment Banking in Istanbul, Turkey.
Beste earned an M.A. in economics from New York University and a B.A. in economics from the University of Wisconsin at Madison.
Partner, Sidley Austin LLP
SUJIT RAMAN joins Sidley after nearly a dozen years as a federal prosecutor, culminating in his service as Associate Deputy Attorney General at the U.S. Department of Justice (DOJ). In that role, he personally advised the Attorney General and Deputy Attorney General in their oversight of the nation’s cyber-related criminal and national security investigations and prosecutions. Sujit also led DOJ’s policy formulation in a number of critical areas, including cybersecurity, cross-border data transfers and protection, 5G/supply chain security, and emerging technologies such as facial recognition, cryptocurrency, and encryption. He brings clients a deep understanding of substantive and procedural issues involved in white collar defense, corporate internal investigations, cyber/data protection, and national security matters.
Sujit was a lead U.S. representative in high-profile international data-sharing negotiations with the United Kingdom, Australia, and the European Union. He also coordinated DOJ’s response to the Schrems II decision of the EU Court of Justice and, from 2018–2020, chaired the Attorney General’s Cyber-Digital Task Force, leading formulation of DOJ’s policy and operational response to transnational cybercrime, nation-state-sponsored malign cyber activity, and online foreign influence operations. Sujit was instrumental in drafting the legislation for the Clarifying Lawful Overseas Use of Data (CLOUD) Act and led the team that worked with industry and Capitol Hill to secure the legislation’s bipartisan passage.
In addition to his extensive experience in cybersecurity, data protection, and national security issues, Sujit served for over eight years as an Assistant United States Attorney in Maryland where he led numerous complex white collar fraud and public corruption investigations, and tried six cases to jury verdict. He also served as the office’s chief of appeals, supervising the appellate work of over 80 federal prosecutors across the spectrum of federal criminal law, arguing 20 cases in the federal court of appeals, and personally litigating matters of first impression in areas as diverse as export control and economic sanctions compliance; the RICO statute; the border search doctrine and the third-party doctrine as they apply to electronic evidence; and other leading issues at the intersection of law, technology, and privacy.
Sujit is a sought-after speaker and thinker on international regulatory and geopolitical issues and has appeared in national media and testified before the U.S. Senate on these topics. His professional achievements and service to the legal community have earned him public recognition, including the “Attorney General’s Award for Distinguished Service” (2018), the National Asian Pacific American Bar Association “Best Lawyers Under 40” Award (2015), the National South Asian Bar Association “Cornerstone Award” (2015), and the U.S. Secret Service “Director’s Award” (2013).
A term member of the Council on Foreign Relations, Sujit is a graduate of Harvard College, Harvard Law School, and the University of Bristol (UK), where he studied as a Marshall Scholar and served as head coach of the women’s varsity rowing program.
Chief Operating Officer & General Counsel, Ionic Capital Management LLC
Mr. Richardson joined Ionic pre-launch in 2006 and oversees all non-investment related aspects of the firm. Prior to joining Ionic, Mr. Richardson was a senior attorney in the hedge fund practice group in the New York office of Bingham McCutchen LLP where his practice focused on counselling investment advisers in connection with the formation and management of private investment funds. Mr. Richardson obtained a JD from the University of South Carolina cum laude and a BS in Business Administration from the College of Charleston cum laude.
Deputy General Counsel & Head of Human Resources, Fir Tree Partners
John Ringwood joined Fir Tree in 2017 and serves as Deputy General Counsel, Head of Human Resources, and is a Partner of the firm. Mr. Ringwood’s responsibilities include advising on the formation and offering of Fir Tree’s investment funds and separately managed accounts, managing HR functions, supervising litigation, and general corporate operations. Prior to Fir Tree, he was Senior Counsel at Bridgewater Associates, where he was responsible for the development and launch of numerous multi-billion dollar hedge fund products and customized accounts. Mr. Ringwood began his legal career at Skadden, Arps, Slate, Meagher & Flom LLP, where he practiced mergers & acquisitions and investment management. He earned his J.D. degree cum laude from the University of Michigan Law School, where he served on the Michigan Law Review as a Contributing Editor.
Chief Operating Officer & Chief Financial Officer, Magnetar Capital LLC
Ernie Rogers is the Chief Operating Officer and Chief Financial Officer at Magnetar Capital, where he oversees all aspects of the firm’s operations and finances. He manages the fund accounting, business unit control, treasury, portfolio finance, operations, IT, legal, compliance, risk management, research and data analytics, human resources and public relations teams. He is also a member of the Management, Investment and Valuation committees, and a non-voting member of the Executive Committee.
Ernie began his tenure at Magnetar on the fixed income team and previously served as COO of that business, where he was instrumental in building the firm’s fixed income strategy.
Before joining Magnetar in 2005, Ernie was a managing director and a portfolio manager for the Quantitative Strategies Fund at Black River Asset Management. In that role, he focused on all operations of the fund including execution, strategic planning, and strategy development and deployment.
Prior to joining Black River, Ernie held a variety of positions at hedge funds and corporations focused on the investing and portfolio management process. His experience spans fixed income, equity, and energy markets.
Ernie earned a Bachelor of Science in accounting and financial management from the Kansas State University College of Business Administration.
Portfolio Advisory, Partner, Albourne Partners
Devinder is a Partner at Albourne Partners Limited (“Albourne”). He joined the firm in 2006 and is responsible for operational due diligence coverage across all alternative asset classes, including hedge funds and private markets. Devinder manages client relationships and has been a leader in the development of Albourne’s Implementation Services platform, offering comprehensive monitoring of investors’ alternatives portfolios and providing organizational guidance to institutional investment offices. From 2004 to 2006, Devinder worked at Citco Fund Services, where he was responsible for preparing financing reporting for hedge funds, including the determination of NAVs and review of capital account statements. Devinder holds a Bachelor of Business Administration (Honours) degree from Wilfrid Laurier University and is a CFA charterholder.
Global Chief Compliance Officer, 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
Bronx District Attorney’s Office
Assistant District Attorney
JD from Vanderbilt Law School
BA from Williams College
Partner, Global Head of Tax, Ares Management
Mr. Schmidt is a Partner and the Global Head of Tax in the Ares Legal Department. Prior to joining Ares in 2013, Mr. Schmidt was a Partner in the Financial Services Office of Ernst & Young LLP, where he focused on fund structuring and other alternative asset management related tax issues. Previously, Mr. Schmidt was Director of Tax at Highbridge Capital Management LLC and an Analyst at Goldman Sachs, where he focused on sell-side research. Mr. Schmidt holds a B.S. from the University of Southern California in Accounting, a Masters of Business Taxation from the University of Southern California and an M.B.A. from the University of Pennsylvania Wharton School of Business. He holds a CPA license.
Chief, Cyber & Intellectual Property Crimes Section, U.S. Attorney’s Office for the Central District of California
Nathan P. Shields
Supervisory Special Agent, Federal Bureau of Investigation
Associate General Counsel, Two Sigma Investments LP
Kristin A. Snyder
Associate Regional Director, San Francisco and Deputy Director, U.S. Securities and Exchange Commission, OCIE
Kristin Snyder is the Co-Deputy Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE) as well as OCIE’s National Associate Director of the Investment Adviser/Investment Company Examination Program. Ms. Snyder also serves as the Co-Acting Regional Director and Associate Regional Director for Examinations in the SEC’s San Francisco Regional Office, where she leads the examinations program. Ms. Snyder has worked at the SEC for more than fifteen years, and previously served as a Branch Chief and a Senior Counsel in the San Francisco office’s enforcement program. Prior to joining the SEC staff, Ms. Snyder practiced with Sidley Austin Brown & Wood LLP in San Francisco. She earned her law degree from the University of California Hastings College of the Law, and received her bachelor’s degree from the University of California at Davis.
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.
Global Head of Operational Due Diligence, Goldman Sachs
Wesley Tellie is a vice president in the Alternative Investments & Manager Selection (AIMS) Group, based in New York, where he is a Head of the Operational Due Diligence Team. He is also a member of the AIMS Management Assessment & Controls Committee and Multi-Manager Investment Committee. Previously, he was the director of the operational due diligence practice at Duff & Phelps and vice president at Royal Bank of Canada’s Emerging Manager Platform. He also has experience in forensic accounting with KPMG. He received a BS in Accounting from the Pennsylvania State University and JD from New York Law School.
Senior Vice President, Compliance, National Futures Association
Regina G. Thoele is Senior Vice President of Compliance at NFA. Her current responsibilities include overseeing the Compliance Department’s exam, investigation, financial surveillance, and risk management programs; working on enforcement cases; advising Members on compliance issues; assisting NFA Member committees; participating in industry conferences; and developing and monitoring Compliance Department goals. In addition, Ms. Thoele works with NFA’s Legal Department to develop rules and interpretive guidance, makes presentations to NFA’s Executive Committee and Board of Directors and to other outside organizations, and develops strategic plans and initiatives for NFA’s Compliance Department. From July 1994 until March 1998, Ms. Thoele held the position of Arbitration Manager and was responsible for supervising staff and helping manage the Arbitration program. Ms. Thoele has also served as an adjunct faculty member at the Illinois Institute of Technology, where she taught a compliance course.
Ms. Thoele attended Indiana University and received a B.S. degree in finance. Ms. Thoele also received her designation as a Certified Regulatory and Compliance Professional through the NASD Institute at The Wharton School, as well as her designation as a Certified Fraud Examiner through the Association of Certified Fraud Examiners.
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.
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.
Heather L. Traeger
General Counsel & CCO, Teacher Retirement System of Texas
Heather L. Traeger serves as the Chief Compliance Officer and General Counsel for the Teacher Retirement System of Texas. TRS is one of the largest public pension plans in the country.
Ms. Traeger has significant experience advising a variety of financial institutions. Immediately prior to joining TRS, Ms. Traeger was a partner at O’Melveny & Myers LLP, in Washington, D.C., in the Financial Services Practice. Previously, she served as an Associate Counsel at the Investment Company Institute (ICI) and in several positions at the U.S. Securities and Exchange
Commission, including as the Senior Counsel to Commissioner Roel Campos, Counsel to Commissioner Issac Hunt, and Senior Counsel in the Division of Market Regulation (now Trading and Markets). She also clerked for the Texas First Court of Appeals.
Ms. Traeger has written numerous articles and chapters on investment adviser and broker dealer regulatory and compliance issues. She also participates regularly in industry panels. Ms. Traeger is a faculty member for the Regulatory Compliance Association’s CCO University, a member of the ILPA Legal Advisory Council, and serves on the Board of the Association of Securities and Exchange Commission Alumni. She is a member of Texas Wall Street Women, serving on the Philanthropy Committee, and participates in the National Society of Compliance Professionals, the Austin and Houston Compliance Roundtables, and the Council of Public Fund Compliance Officers.
In addition, Ms. Traeger serves on the board of Make-A-Wish Central & South Texas. While in Washington, D.C., she served as a member of the Board of Editors for the Investment Lawyer, and was a faculty member for Operation HOPE, Banking on Our Future, as well as a member of the Women’s White Collar Defense Association and Women in Housing and Finance.
Ms. Traeger is a member of the Texas and District of Columbia bars.
Managing Director, Global Regulatory & Compliance, SEI
Jeanette Turner is Managing Director, Global Regulatory and Compliance, at SEI. An attorney with more than 15 years of experience working with the financial services industry, 10 of which have been concentrated in the FinTech and RegTech space, she is focused on how investment managers can create efficiencies around regulatory compliance matters. Ms. Turner is a frequent author and speaker on regulatory compliance and technology. She has a JD from Georgetown University Law Center and is a CAIA charter holder.
Sam J. Waldon
Sam Waldon is a partner in the Litigation Department and a member of the Securities Litigation, White Collar Defense & Investigations and Asset Management Litigation Groups.
Sam’s practice focuses on securities litigation, enforcement and regulatory matters. He represents corporations and financial institutions, and their officers, directors and employees, in investigations, exams, internal investigations and litigation. Sam has in-depth experience in a broad range of Securities and Exchange Commission (SEC) enforcement matters, including financial disclosure, accounting, investment adviser, asset management, private equity, broker dealer, FCPA, cyber-related misconduct, insider trading and market abuse.
Before joining Proskauer, Sam served as Assistant Chief Counsel in the SEC’s Division of Enforcement for eight years. In that role, Sam helped develop and implement many of the Division’s policies and procedures, and advised the Division’s senior leadership, investigative staff and trial unit attorneys on a wide range of legal and policy issues. He regularly provided guidance on the terms of negotiated settlements and charging decisions in litigated matters. Sam also worked closely with staff in other Divisions and Offices throughout the SEC on enforcement related issues, including playing a key role in the drafting of the rules establishing the SEC’s whistleblower program.
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.
Mark W. Yusko
Chief Executive Officer and Chief Investment Officer, Morgan Creek; Managing Partner, Morgan Creek Digital Assets
Mark Yusko is the Founder, CEO and Chief Investment Officer of Morgan Creek Capital Management. He is also the Managing Partner of Morgan Creek Digital Assets. Morgan Creek Capital Management was founded in 2004 and currently manages close to $2 billion in discretionary and non‐discretionary assets. Prior to founding Morgan Creek, Mr. Yusko was CIO and Founder of UNC Management Company (UNCMC), the Endowment investment office for the University of North Carolina at Chapel Hill. Before that, he was Senior Investment Director for the University of Notre Dame Investment Office.
Mr. Yusko has been at the forefront of institutional investing throughout his career. An early investor in alternative asset classes at Notre Dame, he brought the Endowment Model of investing to UNC, which contributed to significant performance gains for the Endowment. The Endowment Model is the cornerstone philosophy of Morgan Creek, as is the mandate to Invest in Innovation. Mr. Yusko is again at the forefront of investing through Morgan Creek Digital Assets, which was formed in 2018. Morgan Creek Digital is an early stage investor in blockchain technology, digital currency and digital assets through the firm’s Venture Capital and Digital Asset Index Fund.
Mr. Yusko received a BA with Honors from the University of Notre Dame and an MBA in Accounting and Finance from the University of Chicago.