MFA WEST 2022
March 7 – March 8, 2022
Four Seasons Hotel Los Angeles at Beverly Hills – Los Angeles, CA
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.
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.
Head of Operations Workflows, Symphony
Kate Chatzopoulos is a senior client and product lifecycle enablement leader dedicated to client development within the Capital Markets sector. Kate has spent her career in Front Ofﬁce and Operations at leading ﬁnancial institutions, including Goldman Sachs, Barclays, and Blackrock. She is currently the Head of Operations Workﬂow at Symphony Communications, where she spearheads product innovation for Client and Transaction Lifecycle Management. She is known for her seamless ability to deliver on business and operational needs.
Kate is also a certiﬁed coach and mentor committed to supporting professionals in their career growth to see their value, ﬁnd their voices, and realize a greater vision for their potential. Her vision for her own and others’ personal and career development is focused on being present, self-aware, and having gratitude, which drives her on a daily basis.
Kate’s dedication to nonproﬁt causes around youth began when she and friends founded the George C Fund, which was created in honor of her late brother. As a way to honor his legacy, the George C Fund focused on enabling young adults’ growth through action sports, via supporting Stoked.Org and other youth organizations. When she’s not traveling or exploring New York City, she spends her time with her family, learning about alchemy, and planning a bright future for all humans.
Senior Vice President, Relationship Management, Northern Trust Hedge Fund Services, LLC
Greg manages Northern Trust Hedge Fund Services Relationship Management team in Chicago and Minnesota covering a broad array of alternative investment strategies. He joined Northern Trust as part of the 2011 acquisition of Omnium LLC and has 15 years of experience in financial operations and client servicing roles.
Greg began his career in operations as a securitization analyst at Bank of America (formerly LaSalle Bank) servicing Collateralized Debt Obligations. He later held roles in hedge fund administration for Bank of America leading Transaction Services.
He holds a bachelor’s degree in Economics from DePauw University and is a Chartered Alternative Investment Analyst (CAIA) designee.
Director of ESG Investing, San Francisco Employees’ Retirement System (SFERS)
Andrew Collins joined the San Francisco Employees’ Retirement System (SFERS) as Director of ESG Investing in 2018. In this role, he leads responsible investing and corporate governance activities across the $30 billion Plan. He joined SFERS from State Street Global Advisors where he was an ESG Investment Strategist. Prior to that he was Technical Director of Standards Setting at the Sustainability Accounting Standards Board (SASB) where he was the lead author and key architect of SASB’s 77 industry standards. He has also held roles in environmental auditing and consulting, and he began his career as a corporate sustainability manager for the Indian conglomerate Mahindra & Mahindra. Andrew holds a BS from Yale University and is a Fundamentals of Sustainability Accounting (FSA) credential holder.
Chief Compliance Officer, Private Investments, Wellington Management Company
Sarah Curran is Chief Compliance Officer of Private Investments at Wellington Capital Management. In her role, she leads a compliance team which is responsible for advising and supporting the firm’s private investments business. Prior to joining Wellington Sarah co-led the private funds consulting practice at Promontory Financial Group. Prior to that, Sarah spent 13 years at the U.S. Securities and Exchange Commission in the Division of Examinations. Sarah started her career as a sell-side fixed income sales trader.
General Counsel and Chief Compliance Officer, EMSO Asset Management Limited
Managing Director & Associate General Counsel, Farallon Capital Management, L.L.C.
Ms. Dunn joined Farallon in 2007. Prior to joining Farallon, Ms. Dunn served as an associate in Sidley Austin LLP’s investment funds, advisers and derivatives practice group. She graduated from the University of California, Berkeley School of Law with a J.D. and the University of Notre Dame with a B.A. in History and Anthropology. She is a co-author of the first edition of the book U.S. Regulation of Hedge Funds
Hon. J. Christopher Giancarlo
Senior Counsel, Willkie Farr & Gallagher LLP
Former Chairman, US Commodity Futures Trading Commission
Author: “CryptoDad – The Fight for the Future of Money”
Chief Operating Officer, General Counsel and Partner, Cadian Capital Management
Currently, Chief Operating Officer, General Counsel, and Partner at Cadian Capital Management.
Previously, from 2008 – 20111, worked at BlueCrest Capital Management, where he was Principal, Member of the Operating Committee, and in charge of U.S. Legal and Compliance.
Prior to that, was an Associate at Sidley Austin (Chicago), Covington & Burling (NY) and David Polk & Wardwell (NY).
Cornell Law School, JD, 2000 (Magna cum laude and Order of the Coif)
Williams College, BA, 1995
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.
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.
Director of Administration and Risk, Tufts University Endowment
David joined the Tufts University Investment Office in July 2007 as the Director of Administration and Risk. He is responsible for investment operations, technology and systems, operational risk management and due diligence, regulatory matter, investment/performance analytics & reporting, and other non-investment related business operations. Mr. Hohmann joined Tufts from his position as the Director of Operations for Bank of America’s Alternative Investment Group, where he spent over ten years focused on operational support for bank sponsored private equity, real estate and hedge fund products. Prior to that David was in the audit practice for PricewaterhouseCoopers where he earned his CPA designation.
Director of Operational Due Diligence, UTIMCO
Justin Holm is the Director of Operational Due Diligence for UTIMCO. He and his team are responsible for operational due diligence reviews of managers and ongoing manager monitoring for the endowments. Prior to joining UTIMCO in 2020, Mr. Holm worked as a Manager of Operational Risk for Lighthouse Investment Partners and as a Vice President for Mesirow Advanced Strategies, Inc. where he spent a combined six years performing operational due diligence on alternative investment managers.
Mr. Holm started his career with Mesirow Advanced Strategies, Inc as accounting and valuation analyst. He received a B.S. in management and finance from Iowa State University. In addition, Mr. Holm is a CFA charterholder.
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.
Michele Wein Layne
Director, Los Angeles Regional Office, U.S. Securities and Exchange Commission
Michele Wein Layne is the Regional Director of the U.S. Securities and Exchange Commission’s Los Angeles Regional Office. The Regional Office has a staff of over 180 people and is responsible for the SEC’s enforcement and examination programs in Southern California, Arizona, Nevada, Hawaii, and Guam with more than 1000 investment advisers, more than 60 mutual fund complexes and nearly 300 broker-dealers located in the region. Prior to her appointment as Director of the Regional Office in 2012, Ms. Layne served as the Associate Regional Director of the Los Angeles Regional Office’s enforcement program. She has conducted and supervised investigations and litigation involving financial reporting fraud, insider trading, misconduct by investment advisers and brokers, market manipulation, FCPA and other securities law violations. Ms. Layne received the SEC’s 2009 Distinguished Service Award, the agency’s highest honorary award.
Before joining the SEC staff, Ms. Layne worked as a litigator in private practice. She received her law degree from the University of Southern California and her undergraduate degree from the University of California at Los Angeles.
Partner, Lowenstein Sandler LLP
Boris provides strategic advice to U.S. and international hedge funds, mutual funds, CITs, UCITS, managed accounts, superannuation plans, sovereign wealth funds, and other asset owners regarding all aspects of implementing their investment and trading strategy while remaining compliant with appropriate regulatory regimes. With years of experience advising funds and institutional investors on the trading of securities, commodities, derivatives, and other asset classes, Boris is also proficient in a multitude of agreements with varying complexity required by market participants in order to invest in and trade such assets, including the retention and onboarding of prime brokerages and other counterparties to facilitate and coordinate complex funding instruments like derivatives.
Deeply knowledgeable about the wide range of both U.S. and non-U.S. laws and regulations that impact the trade of assets, Boris helps investors optimize, and think more strategically about, their trading strategy, treasury function, financing costs, and counterparty risk management. He also helps to implement these strategies through the creation of trading compliance manuals and effective best practices.
From his years of leading a team at a global investment management firm, as well as in private practice representing funds and private equity clients, Boris has developed a unique set of skills and acquired wide-ranging experience in dealing with all aspects of investment strategy implementation, encompassing all types of activity and structures.
He has specialized knowledge of relevant rules and regulations impacting trading documentation globally, including in key emerging markets such as China, Brazil, Saudi Arabia, India, Turkey, and Russia. Boris provides counsel to investment managers and asset owners who wish to access these markets across various investment instruments. He helps asset owners optimize their due diligence process in evaluating investment managers, and he provides strategic advice as to how asset owners should think about investment managers and dealers, as well as various trading instruments.
As an active member of various buy-side industry groups, Boris has been involved in conversations dealing with most key regulatory developments impacting investment strategy implementation worldwide. Over the course of the last 12 years, he has negotiated thousands of agreements, spanning all asset classes including:
- Complex committed financing arrangements for hedge funds and managed accounts
- ISDA agreements
- Global master swaps confirmation agreements
- Futures agreements
- OTC clearing agreements
- Tri-party custody agreements
- Enhanced custody agreements
- Give-up agreements
- TBA agreements
- Repurchase agreements
- Main custody agreements
- Unique guarantee arrangements
Before joining the firm, Boris served as Senior Counsel at AQR Capital Management LLC, where he counseled members of the investor, trading, research, compliance, portfolio implementation, and business development teams.
Earlier in his career, Boris represented private equity firms and hedge funds at the global law firms of Linklaters LP and Katten Muchin Rosenman LLP.
He is fluent in Russian.
- New York Law School (J.D. 2005), cum laude
- Yeshiva University (B.S. 1997), cum laude
- New York
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.
Chief Executive Officer and Co-Founder, Honte Investments
Christopher Lutton is Co-Founder, CEO and CCO of HonTe Advisors, LLC. Chris has been involved in global markets for over 25 years. After several years as an analyst in Asia, Chris joined Goldman Sachs’ FICC team in 1999; marketing currencies, interest rates and emerging markets from the firm’s trading desks in New York and Tokyo. From 2005 to 2015, Chris was responsible for building out three regional FX marketing platforms at BAML, DB and Nomura that focused on global macro and multi-strat hedge funds. Since 2015, Chris has been responsible for HonTe’s non-investment operations focused on building out the firm’s infrastructure according to the industry’s best practices. Chris was born in Japan and raised in the Bay Area and Chicago. He earned his undergraduate degree in Japanese and Economics from Bucknell University and received his MBA from Northwestern’s Kellogg Graduate School of Management.
Senior Investment Operations Analyst, Georgia Tech Foundation, Inc.
Megan McDougall is a Senior Investment Operations Analyst at the Georgia Tech Foundation. In this role, she is responsible for managing portfolio operations, operational due diligence, and reporting. Prior to joining the Foundation in 2018, Megan worked as an Investment Compliance Analyst at the UPS Group Trust, where she focused on operational due diligence and internal audit. She holds a B.B.A. in Finance from the University of Mississippi and is currently an MBA candidate at Georgia Tech’s Scheller College of Business.
Head of Legal and Compliance, DUMAC, Inc
Principal and General Counsel, Taconic Capital Advisors LP
Peyton McNutt is a Principal and General Counsel. Ms. McNutt joined Taconic in June 2010 as Associate General Counsel and became Deputy General Counsel in January 2018. In January 2021, she became General Counsel and in January 2022, she became a Principal. Prior to joining Taconic, Ms. McNutt was a vice president & counsel at D.E. Shaw. Previously, she spent four years as an associate at Sidley Austin LLP. Ms. McNutt earned a B.A. in Psychology from the University of Texas and a J.D. from the New York University School of Law.
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.
Managing Director, Associate General Counsel, Two Sigma Investments, LP
Steve H. Metzger is Managing Director, Associate General Counsel of Two Sigma Investments, LP, an investment manager specializing in algorithmic investing across a broad range of asset classes and countries. Two Sigma and its affiliates currently manage private funds and accounts with over $59 billion in assets under management. Mr. Metzger is responsible for many of the firm’s legal, regulatory and compliance matters. He supervises a team of attorneys who handle data, research, trading, securities and regulatory matters across the firm. Mr. Metzger joined Two Sigma in February 2008.
Prior to joining Two Sigma, Mr. Metzger was an associate in the Investment Management Group of Schulte Roth & Zabel LLP, a New York City-headquartered law firm with an industry-leading hedge fund and private equity fund practice. At Schulte Roth, Mr. Metzger specialized in the formation and structuring of hedge funds and private equity funds, represented registered and unregistered investment advisers, advised clients on regulatory matters, prepared SEC and CFTC filings, and provided overall corporate and securities advice.
Mr. Metzger graduated magna cum laude from Tufts University in 2002 with a B.A. in Political Science and American Studies. In 2005, Mr. Metzger earned a J.D. from Hofstra University School of Law, where he was an editor on the Law Review.
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.
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.
Stephanie Miranda Pries
Director of Investment Legal Affairs, Notre Dame Investment Office
Stephanie Miranda Pries serves as the Director of Investment Legal Affairs at the University of Notre Dame’s Investment Office, which manages the University’s $13.8 billion endowment pool. Serving in this role since 2007, Ms. Pries assists the investment team in carrying out its investment mandate as in-house counsel. She negotiates the legal agreements for private equity, public equity and multi-strategy investment funds. This includes reviewing offering memoranda, limited partnership agreements and other investment agreements, as well as conducting operational due diligence of the fund managers. She leads initiatives to improve legal operations for the Office utilizing various proprietary technologies. She also chairs the Office’s Operational Risk Management Committee and oversees its student intern program.
Prior to joining Notre Dame’s Investment Office, Ms. Pries served as the Vice President and Senior Legal Counsel at Managed Funds Association (MFA), a trade association representing the hedge fund industry from 2002-2007. Since then, Ms. Pries continues to participate in various MFA conferences.
Ms. Pries received her B.A. in History from Princeton University (1991), her M.A. in Latin American Studies from Stanford University (1992) and her J.D. at the Santa Clara University School of Law (1998) where she was Editor-in-Chief for the Santa Clara Law Review. In her early legal career, Ms. Pries was a corporate and securities associate for two large law firms in Palo Alto, California and Washington, D.C.
Ms. Pries currently lives in South Bend, Indiana with her husband of over 20 years, an economics professor at Notre Dame, and two teenage sons.
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.
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.
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
Chief, Cyber & Intellectual Property Crimes Section, U.S. Attorney’s Office for the Central District of California
Supervisory Special Agent (SSA), Federal Bureau of Investigation (FBI)
Supervisory Special Agent (SSA) Michael Sohn is currently an embedded FBI Cyber Division liaison to the National Cyber-Forensics & Training Alliance (NCFTA) in Los Angeles (NCFTA is a 501c3 non-profit corporation, focused on identifying, mitigating, and neutralizing cybercrime threats globally). His cyber investigative experience includes cyber terrorism, nation-state and criminal cyber intrusion matters. Prior to his employment with the FBI, he worked as a Counterintelligence Officer for the Department of the Army, a Counter Terrorism officer for the Defense Intelligence Agency, a consultant at Booz Allen Hamilton and a U.S. Army Officer. Mr. Sohn received a Bachelor of Science in Computer Science from the United States Military Academy, West Point and a Master of Science in Computer Information Systems from Boston University, Boston.
Chief Operating Officer and General Counsel, Sequoia Capital Global Equities
Kimberly Summe serves as the Chief Operating Officer, General Counsel, and Chief Compliance Officer of Sequoia Capital Global Equities, a multi-billion technology-focused hedge fund affiliated with Sequoia Capital, a venture capital firm established in 1972 in Menlo Park, California. Previously, Kimberly was the Chief Operating Officer and General Counsel of Partner Fund Management, L.P. and Stillwater Investment Management, L.P. She has served as a Managing Director at Lehman Brothers and General Counsel at the International Swaps and Derivatives Association. Kimberly started her career as an associate at Sullivan & Cromwell LLP and Pillsbury Winthrop Shaw Pittman LLP.
Kimberly received a Bachelor of Arts in History from Oklahoma State University, a Master of Science in International Relations from The London School of Economics, a Bachelor of Laws and a Master of Arts from The University of Cambridge, and a Juris Doctorate from The University of Chicago. She has published over twenty articles on a variety of corporate law topics, including bankruptcy, derivatives, and insider trading laws. She also is a Lecturer in Law at the Stanford Law School and is a member of the Hoover Institute’s working group on bankruptcy reform.
Kimberly previously served for four years on the Board of Directors and the Executive Committee of the Managed Funds Association. She is on the Investment Committee of the Oklahoma State University Foundation, a Board member of the Oklahoma State University Multilateral Endowment Management Company, a member of the Board of Trustees for Sacred Heart Schools, Atherton and its Investment Committee, and Chairman of the Edgewood Center for Children and Families, a 172 year-old charity based in San Francisco, California.
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.
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.
Senior Associate General Counsel, Vanderbilt University
With over ten years of experience in-house at institutional investors, Angela has had a frontline view of evolving documentation, structuring, regulatory and asset allocation trends. She is currently Senior Associate Counsel at Vanderbilt University. Since 2014, she has been the primary attorney supporting the ~$11 billion endowment. Angela also advises the university’s public/private debt issuances, securitizations and P3 initiatives. Previously, Angela worked at the Teacher Retirement System of Texas as the public pension plan emerged from the great recession and built a sweeping and sophisticated investment program.
Before entering the non-profit institutional investor world, Angela was in-house at Citigroup and in private practice at Sidley (both in New York City). She earned a BS from Texas A&M University and a JD from the Washington College of Law, American University.
General Counsel, 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.