MFA Legal & Compliance London 2023 - Agenda
November 8, 2023
Conference
Frameless
London, United Kingdom
Register
Wednesday, November 8, 2023
9:30AM – 10:00AM
Registration
10:00AM – 10:15AM
Welcome Remarks
10:15AM – 10:45AM
The EU & UK Regulatory Maze: Charting a Course for Success
Speakers
Stephanie Shepard Cobb
,
Head of Compliance, EMEA, Millennium
Stephanie is the Head of Compliance, EMEA for Millennium Capital Partners. Prior to joining Millennium in 2019, Stephanie was the Head of European Compliance at Ares Management. Before joining Ares, she held General Counsel and Chief Compliance Officer roles at other asset managers. Prior to that Stephanie was Counsel at Freshfields Bruckhaus Deringer in their London and Amsterdam offices. She began her career in private practice in the United States.
Stephanie holds a J.D. from the University of Virginia School of Law and a B.S. with a joint degree in finance and marketing from the University of Virginia McIntire School of Commerce. She serves as a Trustee of the London Children’s Ballet, a member of the McIntire School of Commerce Global Advisory Board and a member of the University of Virginia European Regional Board.
Jillien Flores
,
Executive Vice President and Managing Director, Head of Global Government Affairs
,
MFA
Jillien Flores serves as Executive Vice President, Managing Director, Head of Global Government Affairs at MFA.
Flores joined MFA after six years at Vanguard, one of the world’s leading asset managers. There, she advocated before Washington policymakers on a range of issues related to US capital markets, tax, and retirement policy. Leveraging policy depth, strategy, and relationships, Flores achieved policy outcomes beneficial to Vanguard’s clients on issues including equity market structure, ESG and corporate governance, and systemic risk.
Throughout her career, Flores has sought opportunities to advance Diversity, Equity, and Inclusion within the financial services sector, serving in leadership roles of related efforts at Vanguard.
Prior to joining Vanguard, Flores was Director of Government Relations at Porterfield, Lowenthal, Fettig & Sears, where she represented clients before Congress and the federal financial regulators in the asset management, insurance, securities, and biotechnology sectors. She was involved in the legislative and rule-writing process for several financial services laws and regulations, including the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Jumpstart Our Business Startups Act.
Flores earned a B.A. from the George Washington University in Washington, DC.
Virginie Saade
,
Head of Government & Regulatory Policy, EMEA, Citadel
Virginie Saade is Head of Government and Regulatory Policy for Citadel in EMEA.
She is responsible for engaging with policymakers and regulators across EM EA on legislative and regulatory initiatives that are significant to the financial services industry.
Prior to joining Citadel, Ms. Saade was Head of European Regulatory Affairs and Strategy for KCG Europe (now part of Virtu Financial). She originally joined Getco Execution Services as Head of Sales before taking on the management of Getco Execution Services. Prior to that, Ms. Saade held a number of senior roles at NYSE Euronext, including Head of NYSE Arca Europe.
Ms. Saade is a member of the ESMA Securities and Markets Stakeholders Group and a member of the FCA Secondary Markets Advisory Committee.
Ms. Saade received a Graduate Diploma in Law (GDL) from the University of Law (London, United Kingdom) and an MBA from the Montpellier Graduate Institute of Business (Montpellier, France). She also received a bachelor’s degree in Politics and a master’s degree in Media and Communication Management from Toulouse University (Toulouse, France).
Moderated by
Leonard Ng
,
Partner
,
Sidley Austin LLP
LEONARD NG is a member of Sidley Austin LLP’s Executive Committee and heads the firm’s UK/EU Financial Services Regulatory Group. Based in the firm’s London office, Leonard advises a wide range of global financial institutions on complex UK/EU financial services regulatory issues. He has particular experience in advising clients on operating under the regulatory framework established after the last financial crisis, and more recently on Brexit, sustainable finance/ESG, and crypto-asset regulation. Leonard is a past member of the Board of MFA, the trade association for the global alternative asset management industry, and is a frequent speaker at industry conferences. Leonard has received acknowledgements from numerous industry ranking guides, including Chambers UK (2012–2024). In 2022 and again in 2023, Leonard was selected by Financial News as one of Financial News’ ‘Fifty Most Influential Lawyers’. Leonard earned a LLB from the National University of Singapore Faculty of Law and an LLM from the University of Chicago Law School.
10:45AM - 11:15AM
Fireside Chat
11:15AM - 11:45AM
Where There is Risk, There is Opportunity: Investing in Niche Markets
Speakers
Additional Speakers TBA
Moderated by
Muneer Khan
,
Partner Financial Markets, Middle East Regional Head, Simmons & Simmons Middle East LLP
11:45AM – 12:45PM
Lunch
12:45PM – 1:15PM
Bridging Capital and Opportunity: Unleashing the UK’s Private Credit Potential
Speakers
Anna Siakotos
,
General Counsel- Europe, Cerberus
Additional Speakers TBA
1:15PM - 1:45PM
Private Funds Rule Unveiled: Litigation Insights and Legal Perspectives
Speakers
Jennifer Han
,
Executive Vice President, Chief Counsel, Head of Global Regulatory Affairs
,
MFA
Jennifer Han serves as Associate General Counsel at Managed Funds Association (MFA). In her position, she advocates and shapes legislative and regulatory policies affecting the alternative investment industry in the U.S., Europe and Asia. She advises on, develops and implements strategies for MFA members in seeking legal, regulatory and compliance changes and/or guidance for investment advisers, commodity trading advisors and commodity pool operators. She has extensive experience working with policy makers and regulators, such as throughout the financial crisis, post-crisis and to refinement of today’s regulatory framework. She works regularly with legislative policy makers and regulators, including the SEC, CFTC, Department of Treasury, Federal Reserve, NFA, ESMA, UK FCA and IOSCO, among many others.
As background, MFA represents the global alternative investment industry and its investors by advocating for sound industry practices and public policies that foster efficient, transparent, and fair capital markets. MFA, based in Washington, DC, is an advocacy, education, and communications organization established to enable hedge fund and managed futures firms in the alternative investment industry to participate in public policy discourse, share best practices and learn from peers, and communicate the industry’s contributions to the global economy. MFA members help pension plans, university endowments, charitable organizations, qualified individuals and other institutional investors to diversify their investments, manage risk, and generate attractive returns over time. MFA has cultivated a global membership and actively engages with regulators and policy makers in Asia, Europe, the Americas, Australia and many other regions where MFA members are market participants.
Prior to joining MFA, Jennifer was a staff attorney in the Office of Compliance Inspections and Examinations at the SEC, where she conducted inspections and examinations, and advised on legal and compliance matters relating to developments in securities regulations and industry practices. Jennifer began her legal career as an associate with Pickard and Djinis LLP, a boutique securities law firm in Washington, D.C. She received her Bachelor of Arts degree from Cornell University and her Juris Doctor from American University. While in law school, she was an Editor of the American University International Law Review. Jennifer is a member in good standing of the Virginia bar.
Hunter Landrum
,
Associate General Counsel
,
Two Sigma
Hunter Landrum serves as Associate General Counsel at Two Sigma, an investment manager specializing in trading assets in liquid global markets across a range of conditions using a disciplined, scientific approach. Hunter is responsible for the firm’s engagement with governments and regulators as well as litigation and enforcement matters. Hunter serves as Chair of the MFA’s EMEA-APAC Forum and is an active participant in the global financial regulatory community. He is currently based in London having previously practiced in New York City and Washington D.C.
Hunter joined the firm in 2015. Before joining Two Sigma, Hunter was an attorney at WilmerHale in Washington D.C. In this role, he focused on government affairs and representing international financial institutions in high-profile investigations before a variety of domestic and international regulators. Hunter holds a J.D. from the University of Virginia School of Law and a B.A. in Political Science from the University of Alabama.
Moderated by
Ian Meade
,
Partner, Akin
Ian Meade advises asset managers, particularly hedge fund managers, on a broad range of issues relevant to their businesses. He is particularly experienced in structuring and establishing hedge funds and in the ongoing operations of those funds. He provides advice to asset managers on the negotiation of investments in funds and other products by institutional investors, including sovereign wealth funds, pension funds, insurance companies and a range of other institutional investors. Ian also advises clients on transactions involving asset management businesses and financial services regulatory matters.
Prior to joining Akin Gump, Ian was a partner at a large London-based international law firm. He is a frequent writer and speaker on hedge funds and related topics at industry conferences internationally.
1:45PM - 2:15PM
AI Across Borders: Bridging the Regulatory Divide in the UK, EU and US
Speakers
Sven Jones
,
Global Head of Compliance, Marshall Wace LLP
Sven Jones joined Marshall Wace in 2000 and is Chief Compliance Officer of Marshall Wace LLP and Global Head of Compliance with responsibility for oversight of the firm’s global Compliance teams. Prior to becoming Head of Compliance in 2017, he was Head of Operations Control for 12 years. Sven originally joined the firm in an Operations role. He is a member of the Operating Committee.
Prior to joining Marshall Wace, Sven worked as a Senior Manager at Coutts & Co. responsible for portfolio valuation.
Sven gained Bachelor of Engineering and Master of Science degrees from Imperial College, London.
Andrew Nathanson
,
General Counsel and Chief Compliance Officer
,
Suvretta Capital Management, LLC
Andrew Nathanson is the General Counsel and Chief Compliance Officer of Suvretta Capital Management, LLC. Prior to joining Suvretta Capital, Mr. Nathanson served as Legal Counsel & Chief Compliance Officer for Mirae Asset Global Investments (USA). Mr. Nathanson earned his BS in economics from the University of Wisconsin-Madison and a J.D. from Suffolk University Law School.
Neil Robson
,
Partner, Financial Markets and Funds, Katten Muchin Rosenman UK LLP
Neil Robson decodes complex UK and EU regulations to provide practical regulatory and compliance advice to financial services firms. He represents a range of financial market participants — hedge and private equity fund managers, investment advisors, broker-dealers and proprietary traders — that are based or doing business in the UK or the EU. Neil’s extensive working knowledge of this complicated sector allows his clients to both meet their business objectives and satisfy regulatory requirements.
2:15PM - 2:45PM
Refreshment Break
2:45PM – 3:15PM
Traversing the ESG Terrain in the World of Alternative Strategies
Speakers
Stephanie Maier
,
Global Head of Sustainable and Impact Investment, GAM Investments
Stephanie Maier is Global Head of Sustainable and Impact Investment, responsible for leading GAM’s sustainable and ESG (environmental, social and governance) strategy.
Stephanie joined GAM Investments in January 2021 from HSBC Global Asset Management, where she was Director for Responsible Investment. Prior to that, she spent seven years at Aviva Investors, latterly as Head of Responsible Investment Strategy and Research, and was formerly Head of Research for EIRIS, an ESG research and consultancy firm. Stephanie holds an MSc in Environmental Technology from Imperial College London, a BA in Biological Sciences from Oxford University and the Investment Management Certificate (IMC).
Jason Mitchell
,
Head of Responsible Investment Research, Man Group
Jason Mitchell is Head of Responsible Investment Research at Man Group and co-chairs Man Group’s Stewardship Committee. Previously, Jason was Co-Head of Responsible Investment at
Man Group.
Jason worked at Man GLG from 2004 to 2008 as a portfolio manager. Between 2008 to 2010, he advised the UK government on infrastructure development across Sub-Saharan Africa. He returned to Man GLG in 2010 as a portfolio manager, before becoming a sustainability strategist across Man Group in 2017. Prior to Man GLG, he was a Vice President at Andor Capital Management and an investment research analyst with Pequot Capital Management.
Besides having managed environmental and sustainability strategies, he speaks and publishes widely on responsible investment. Jason’s articles and comments on sustainable investing have been quoted in a number of top-tier publications, including Institutional Investor, Wall Street Journal, CNBC Squawk Box, Responsible Investor, Aftenposten, Global Times, AIMA Journal and Investment Europe. He has written widely on the European refugee migrant crisis. He also hosts the award-winning podcast series, A Sustainable Future.
Jason serves on the Esmée Fairbairn Foundation Investment Committee, SASB (Sustainable Accounting Standards Board) Investor Advisory Group, the CFA Institute’s ESG Technical Committee, the World Bank Carbon Pricing Leadership Coalition (CPLC) Advisory Group and the United Nations-supported Principles for Responsible Investment (PRI) Academic Advisory Committee. He previously served on the EFRAG (European Financial Reporting Advisory Group) Lab Steering Group and chaired the PRI Hedge Funds Advisory Committee. He is a contributing author to: CFA UK’s Certificate in ESG Investing Textbook (Ed. 2 & 3, 2021); Responsible Investing: A Guide to Environmental, Social, and Governance Investments (Routledge: 2018); Sustainable Investing: Revolutions in Theory and Practice (Routledge: 2017) and Evolutions in Sustainable Investing: Strategies, Funds and Thought Leadership (Wiley Finance: 2012).
Jason holds a MSc in International Political Economy from the London School of Economics and a bachelor’s degree in English literature and classics. He is a Fellow of the Royal Society of the Arts and the British-American Project. He was named one of Institutional Investor’s 2011 Hedge Fund Rising Stars and one of the 50 most influential people in sustainable finance by Financial News in 2022.
3:15PM - 3:45PM
Regulatory Ripples: Impact on Investment Advisors
Speakers
Jennifer Han
,
Executive Vice President, Chief Counsel, Head of Global Regulatory Affairs
,
MFA
Jennifer Han serves as Associate General Counsel at Managed Funds Association (MFA). In her position, she advocates and shapes legislative and regulatory policies affecting the alternative investment industry in the U.S., Europe and Asia. She advises on, develops and implements strategies for MFA members in seeking legal, regulatory and compliance changes and/or guidance for investment advisers, commodity trading advisors and commodity pool operators. She has extensive experience working with policy makers and regulators, such as throughout the financial crisis, post-crisis and to refinement of today’s regulatory framework. She works regularly with legislative policy makers and regulators, including the SEC, CFTC, Department of Treasury, Federal Reserve, NFA, ESMA, UK FCA and IOSCO, among many others.
As background, MFA represents the global alternative investment industry and its investors by advocating for sound industry practices and public policies that foster efficient, transparent, and fair capital markets. MFA, based in Washington, DC, is an advocacy, education, and communications organization established to enable hedge fund and managed futures firms in the alternative investment industry to participate in public policy discourse, share best practices and learn from peers, and communicate the industry’s contributions to the global economy. MFA members help pension plans, university endowments, charitable organizations, qualified individuals and other institutional investors to diversify their investments, manage risk, and generate attractive returns over time. MFA has cultivated a global membership and actively engages with regulators and policy makers in Asia, Europe, the Americas, Australia and many other regions where MFA members are market participants.
Prior to joining MFA, Jennifer was a staff attorney in the Office of Compliance Inspections and Examinations at the SEC, where she conducted inspections and examinations, and advised on legal and compliance matters relating to developments in securities regulations and industry practices. Jennifer began her legal career as an associate with Pickard and Djinis LLP, a boutique securities law firm in Washington, D.C. She received her Bachelor of Arts degree from Cornell University and her Juris Doctor from American University. While in law school, she was an Editor of the American University International Law Review. Jennifer is a member in good standing of the Virginia bar.
Jessica Wachter
,
Chief Economist and Director of the Division of Economic and Risk Analysis (DERA), U.S. Securities and Exchange Commission
Jessica Wachter was named the Chief Economist and Director of the Division of Economic and Risk Analysis (DERA) in May 2021. In this role, she oversees economists, data scientists, and other professionals who provide economic analysis and data analytics in support of the SEC’s mission.
Dr. Wachter joined the SEC from the Wharton School, University of Pennsylvania where she was the Dr. Bruce I. Jacobs Chair of Quantitative Finance and a Research Associate with the National Bureau of Economic Research. Prior to Wharton, Dr. Wachter taught at New York University’s Stern School of Business. She previously served on the boards of the American Finance Association and the Western Finance Association and as associate editor of the academic publications Review of Financial Studies and Journal of Economic Theory. Dr. Wachter graduated with an A.B. in Mathematics magna cum laude and a Ph.D. in Business Economics from Harvard University. Her research focuses on behavioral finance, capital markets, and financial crises.
Moderated by
Anna Maleva-Otto
,
Partner, Schulte Roth & Zabel LLP
Anna Maleva-Otto concentrates her practice on a range of UK financial services regulatory matters, including the impact of EU directives and regulations. She advises on all aspects of the establishment and operation of FCA-regulated businesses in the United Kingdom, as well as trading on UK and EU markets. Anna frequently participates in industry working groups in connection with new and emerging regulatory initiatives, and has advised asset managers on several key pieces of recent EU legislation (including GDPR, Short Selling Regulation, AIFMD, MiFID II, MAR, EMIR, SFTR and Securitisation Regulation). Anna also frequently assists clients with the design of their compliance policies and procedures, internal investigations and staff training.
Anna is listed in The Legal 500 UK as a “Leading Individual” in Investment Fund Formation and Management — Hedge Funds and a “Recommended” lawyer in Financial Services: Non-Contentious Regulatory. An interviewee described her as “excellent — highly responsive, well informed and pragmatic in her advice, and a pleasure to work with.” She has also been named among the world’s “50 Leading Women in Hedge Funds” by The Hedge Fund Journal. Anna frequently speaks and writes on topics related to her areas of expertise. For the past three years, Anna has co-authored the UK chapter in the Chambers Alternative Funds Guide — a guide examining key industry trends and regulatory and tax matters impacting funds, managers and investors. Anna has also worked with AIMA to produce MiFID2 — A Guide for Investment Managers and authored the “Insider Trading Law in the United Kingdom” chapter in the Insider Trading Law and Compliance Answer Book (Practising Law Institute). Her recent speaking engagements have addressed topics such as market abuse, insider dealing, best practices for electronic communications and MiFID II. Anna is admitted to practice in England and Wales, and New York.
3:45PM - 4:15PM
Fireside Chat
4:15PM - 4:45PM
Election Horizons 2024: UK, EU and US Perspectives
Speakers
Jillien Flores
,
Executive Vice President and Managing Director, Head of Global Government Affairs
,
MFA
Jillien Flores serves as Executive Vice President, Managing Director, Head of Global Government Affairs at MFA.
Flores joined MFA after six years at Vanguard, one of the world’s leading asset managers. There, she advocated before Washington policymakers on a range of issues related to US capital markets, tax, and retirement policy. Leveraging policy depth, strategy, and relationships, Flores achieved policy outcomes beneficial to Vanguard’s clients on issues including equity market structure, ESG and corporate governance, and systemic risk.
Throughout her career, Flores has sought opportunities to advance Diversity, Equity, and Inclusion within the financial services sector, serving in leadership roles of related efforts at Vanguard.
Prior to joining Vanguard, Flores was Director of Government Relations at Porterfield, Lowenthal, Fettig & Sears, where she represented clients before Congress and the federal financial regulators in the asset management, insurance, securities, and biotechnology sectors. She was involved in the legislative and rule-writing process for several financial services laws and regulations, including the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Jumpstart Our Business Startups Act.
Flores earned a B.A. from the George Washington University in Washington, DC.
Lord McNicol of West Kilbride
Baron Iain McNicol of West Kilbride is a member of the House of Lords in the United Kingdom. Prior to this he served as General Secretary (Chief Executive) of the Labour Party from 2011 to 2018. He was National Political Officer of the GMB trade union from 2004 to 2011.
Lord McNicol continues to be active in the House of Lords, having served as Opposition Whip on the House of Lords front bench. He is currently Chairman of Committees. Lord McNicol has also worked with All Party Parliamentary Groups on important issues including ESG, Financial Technology, crypto assets and blockchain technology. He has also worked with business advisory groups, as well as financial sector organisations in the compliance, investment and savings sectors.
Thea Utoft
,
Managing Director and Head of the Financial Services Public Affairs Team, FTI Consulting
5:00PM - 9:00PM
MFA Alternative Asset Industry Reception
Contact
Registration for this event is by invitation only. To request an invitation, please email conferences@managedfunds.org
