MFA Legal & Compliance New York 2025 - Agenda

May 13, 2025
New York Athletic Club New York, NY
Register

Agenda

7:30 am - 8:50 am

Registration, breakfast & networking

8:50 am - 9:00 am

Opening remarks

Speaker
Bryan Corbett , President and Chief Executive Officer , MFA

Bryan Corbett is MFA’s President and CEO. He is a veteran of Washington and Wall Street. For the past 12 years, he was a senior executive at The Carlyle Group, most recently as Managing Director in the Corporate Private Equity segment and Head of the firm’s OneCarlyle Global Investment Resources Group. In this role, Mr. Corbett and his team provided strategic and operational support to investment teams and portfolio companies across segments.

For the first half of his Carlyle tenure, Mr. Corbett managed U.S. government and regulatory issues affecting Carlyle, its investments and the industry. In this role, he developed legislative and regulatory strategies relating to all of Carlyle’s business segments, including private equity, credit and real estate. In addition to serving on the boards of several Carlyle portfolio companies, Mr. Corbett started the firm’s global corporate citizenship program focused on responsible investing, published Carlyle’s inaugural corporate citizenship report, and started the firm’s initiative to recruit and place diverse individuals on portfolio company boards in the U.S.

Prior to joining Carlyle, Mr. Corbett served in the George W. Bush Administration as a Special Assistant to the President for Economic Policy and as the Senior Advisor to Deputy Secretary Robert Kimmitt at the Treasury Department. He also served as Majority Counsel on the Senate Banking Committee.

Mr. Corbett earned his JD from George Washington University Law School, where he was editor-in-chief of the George Washington Law Review, and earned his BA from University of Notre Dame.

9:00 am - 9:25 am

Keynote interview

Speaker
Mark Uyeda , Acting Chairman , U.S. Securities and Exchange Commission

Mark T. Uyeda was sworn into office as a Commissioner of the U.S. Securities and Exchange Commission on June 30, 2022, after being confirmed by the U.S. Senate. He was sworn in for a second term as Commissioner on December 28, 2023, after being confirmed by the U.S. Senate for a five-year term expiring in 2028.

Prior to becoming Commissioner, he served as an SEC detailee to both the legislative and executive branches, most recently as securities counsel to Ranking Member Pat Toomey on the U.S. Senate Committee on Banking, Housing, and Urban Affairs. Commissioner Uyeda also served on detail as a policy advisor to senior leadership at the U.S. Department of the Treasury in 2017-2018 and the U.S. Department of Labor in 2020. Commissioner Uyeda has been with the SEC since 2006, serving as Senior Advisor to Chairman Jay Clayton, Counsel to Commissioners Michael S. Piwowar and Paul S. Atkins, and Assistant Director and Senior Special Counsel in the Division of Investment Management.

Before joining the SEC, Commissioner Uyeda served as Chief Advisor to the California Corporations Commissioner, the state’s securities regulator, having been appointed by Governor Arnold Schwarzenegger in 2004. Earlier in his career, he worked as a corporate and securities attorney at Kirkpatrick & Lockhart (now K&L Gates) in Washington, D.C. and O’Melveny & Myers in Los Angeles.

Commissioner Uyeda earned his bachelor’s degree in business administration from Georgetown University in 1992 and his law degree with honors from Duke University in 1995. He is the first Asian-Pacific American to serve as a Commissioner at the SEC.

 

Moderated by
Stephen Cohen , Partner , Sidley

STEPHEN COHEN is the global practice leader of the firm’s Regulatory and Enforcement group, leads its Securities Enforcement and Regulatory practice, and is a member of the firm’s Executive Committee. As a former senior leader in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC), clients seek him out for advice on a comprehensive range of government and internal investigations, enforcement-related litigation, whistleblower complaints, cyber breaches and regulatory and compliance issues, including those seeking to strengthen corporate governance and compliance programs. Steve also serves as co-chair of the firm’s Crisis Management and Strategic Response team, where he is frequently called on to advise boards and special committees regarding sensitive and other crisis situations.

Leveraging his extensive experience at the SEC, Steve has a proven track record for guiding his clients through their most difficult matters and achieving exceptional results. He is a leading advisor to the financial industry and has represented numerous public companies and their boards, Audit Committees, Special Committees, or executives, as well as SEC registrants, in internal investigations and matters involving the SEC, U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB), Commodity Futures Trading Commission (CFTC), state attorneys general, and securities regulators.

Steve is ranked by Chambers USA for Nationwide Securities: Regulation: Enforcement (2020–2024), where he is lauded for his “incredible expertise” and is described as a “sharp and powerful lawyer who is very bright, methodical and detail-orientated” (2023). Steve leads Sidley’s global Securities Enforcement and Regulatory practice, which was named the “Law Firm of the Year” for Litigation – Regulatory Enforcement (SEC, Telecom, Energy) in 2023 and 2021 and for Securities Regulation in 2020 and 2017 by U.S. NewsBest Lawyers, and received the 2019 Chambers USA Award for Financial Services Regulation.

Before joining Sidley, Steve spent 12 years at the SEC, most recently serving as Associate Director in the Enforcement Division where he oversaw domestic and international enforcement investigations involving accounting and disclosure fraud, auditor misconduct, the Foreign Corrupt Practices Act (FCPA), insider trading, registered and unregistered securities offerings, market abuses, broker-dealers, investment advisers, exchanges, public company and accounting issues, and other regulated entities. In addition, Steve worked closely with and advised federal regulatory and law enforcement agencies from including investigative coordination and providing advice and training on enforcement and investigations issues to regulators and law enforcement agencies around the world. As Senior Advisor to then SEC Chairman Mary Schapiro, Steve also led the SEC’s work in relation to the whistleblower provisions in Dodd-Frank and subsequent rulemaking, oversaw the rulemaking establishing a Consolidated Audit Trail, and he directed the creation of the agency’s Tips, Complaints and Referrals system.

Steve won the SEC’s Distinguished Service Award in 2016, the agency’s highest honor, for his skill in managing one of the division’s most productive groups, bringing many of the commission’s most significant actions, significantly expanding the SEC’s ability to protect investors and driving initiatives that improved the division’s performance. The Society of Corporate Compliance and Ethics presented Steve with its 2017 International Compliance & Ethics award, recognizing him for his significant contributions to the compliance and ethics profession.

9:25 am - 9:55 am

Legal and compliance implications of the shifting regulatory and enforcement landscape

  • Enforcement priorities under the new SEC regime
  • Notable enforcement cases and lessons from the last four years
  • How are DOGE’s efforts impacting the work of the SEC and other governing agencies?
Speakers
Jennifer Han , Chief Legal Officer and Head of Global Regulatory Affairs , MFA

Jennifer Han is Chief Legal Officer and Head of Global Regulatory Affairs at MFA. Jennifer is responsible for the strategy and execution of the Association’s U.S. regulatory advocacy and leads MFA’s regulatory engagement. She has authority and oversight over all legal matters involving MFA, including contractual matters, litigation, compliance and legal liability. She also advises MFA members on legal, regulatory, and compliance changes and/or guidance impacting the alternative investment industry, including investment advisers, commodity trading advisors, and commodity pool operators. She has extensive experience working with policymakers and regulators, such as throughout the 2008 financial crisis, post-crisis, and to the refinement of today’s regulatory framework. She engages regularly with legislative policymakers and regulators, including the SEC, CFTC, Department of Treasury, Federal Reserve, NFA, ESMA, UK FCA, and IOSCO, among many others.

Jennifer joined MFA in 2006 as legal counsel and has served in a few different capacities before joining MFA’s executive leadership team. 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 DC bar.

Jennifer serves on the Washington D.C. Committee of 100 Women in Finance, and on the Board of Directors for the YWCA National Capital Area.

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.

Richard B. Zabel , General Counsel & Chief Legal Officer, Elliott Investment Management L.P.

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

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

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

Written Works

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

 

 

 

Additional Speakers To Be Announced
Moderated by​
Joshua M. Newville , Partner , Proskauer Rose

Joshua M. Newville is a partner in the Litigation Department and a member of Proskauer’s Securities Litigation Group and the Asset Management Litigation team.

Josh handles securities litigation, enforcement and regulatory matters, representing corporations and senior executives in civil and criminal investigations. In addition, Josh advises registered investment advisers and private fund managers on regulatory compliance, SEC exams, MNPI/insider trading and related risks, and has substantial experience conducting internal investigations.

Before joining Proskauer, Josh was senior counsel in the U.S. Securities and Exchange Commission’s Division of Enforcement, where he investigated and prosecuted violations of the federal securities laws. Josh served in the Enforcement Division’s Asset Management Unit, a specialized unit focusing on investment advisers and the asset management industry. His prior experience with the SEC provides a unique perspective to help asset managers manage risk and handle regulatory issues.

9:55 am - 10:25 am

Democratizing access to alternatives: Regulatory, operational and product considerations

  • Identifying scalable alternative investment products and establishing appropriate governance frameworks
  • Navigating complexities in compliance, investor protections and reporting
  • Rethinking product design and operational frameworks to meet retail investor needs
  • Challenges in enhancing distribution capabilities
Speakers
Michael G. Doherty , Partner , Ropes & Gray LLP

Michael Doherty co-heads Ropes & Gray’s global asset management group. Michael provides advice to investment advisers, funds and independent directors on launching and operating a wide variety of fund products, including registered funds, private funds and business development companies. In addition, he counsels asset manager sponsors on transactional matters and new product development.

Clients value Michael’s practical advice, as well as his command of regulatory and compliance issues across the asset management spectrum. As sources tell Chambers, “He is exactly what you want in a lawyer…always prepared and always able to give us insights beyond material in front of us.” Michael has also been recognized as “highly regarded” by IFLR1000.

Christie Oberg , Chief Compliance Officer , AB CarVal

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

Jeffrey Wechselblatt , General Counsel , Lone Pine Capital

Joined LPC in 2007. Investment management associate at Schulte Roth & Zabel, LLP (2005-2007). Corporate associate at Friedman Kaplan Seiler & Adelman LLP (2000-2005). Corporate associate at Simpson Thacher & Bartlett (1998-2000). Graduated from Columbia University School of Law (1998) and Columbia University (1994).

 

Moderated by​
Speaker To Be Announced

10:25 am - 11:15 am

Legacy rulemaking & compliance: Managing existing mandates, potential rollbacks and regulatory relief

  • Evaluating current reporting requirements and potential future adjustments around Form PF, Form SHO & 13F-2 – e, Custody rule, and Treasury Clearing updates
  • Assessing opportunities for regulatory relief, potential reversals of existing rules, and the administration’s approach to rulemaking
Speakers
Brian Kleinhaus , General Counsel and Chief Compliance Officer , Rubric Capital

Brian Kleinhaus is the General Counsel and Chief Compliance Officer of Rubric Capital Management, a deep-value, long short hedge fund. Brian joined Rubric in 2017 after working at Tweedy, Browne from 2014-17. Prior to that, he worked at WilmerHale and Cadwalader, and began his legal career in 2006 at Cahill Gordon & Reindel.

Brian received a J.D. from Fordham University School of Law in 2006 and graduated from SUNY Binghamton with a Bachelor of Science in Geology.

Hunter Landrum , Deputy General Counsel , Two Sigma

Hunter Landrum serves as Deputy 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 is an active participant in the global financial regulatory community. He is currently based in New York having previously practiced in London 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.

Courtney Lewis , Partner, General Counsel and Chief Compliance Officer , Marshall Wace North America LP

Courtney Lewis is a Partner at Marshall Wace North America, where she serves as General Counsel and Chief Compliance Officer. She is also a member of Marshall Wace’s global Operating Committee. Additionally, she serves as Vice Chair of the Managed Fund Association’s Advisers, Management, and Operations Committee. Before joining Marshall Wace, Courtney was the Chief Compliance Officer and General Counsel at Hound Partners, which was seeded by Tiger Management. She began her career at Systematic Financial Management, an affiliate of Affiliated Managers Group, as Compliance Officer and Counsel.

Courtney completed her Bachelor of Arts at New York University’s Gallatin School of Individualized Study and earned a Juris Doctorate with a Masters in International Political Economy and Development from Fordham University in New York. She is an adjunct professor at Fordham Law School’s Masters of Compliance program, where she also contributed to developing the online course curriculum in Investment Management Regulation. Furthermore, Courtney serves as the Board Chairperson of Literacy Partners, an adult literacy non-profit organization focused on making a two-generation impact on education.

Matthew Daigler , Vice President, Senior Counsel, Regulatory Affairs , MFA

Matthew Daigler is MFA’s Vice President, Senior Counsel, Regulatory Affairs.

In this role, Matthew analyzes the impact of legislative and regulatory developments on MFA members, works with MFA members in developing Association policy, drafts comments to regulators, oversees outside counsel/consultants, and engages directly with policymakers and regulators.

Prior to joining the MFA, Mr. Daigler was Vice President and Senior Counsel in the Office of Innovation Policy and Regulation at the American Bankers Association (ABA), where he worked with banks and policymakers to ensure that the legal and regulatory landscape supports financial innovation. Prior to working at the ABA, Mr. Daigler served as Senior Counsel in the Chairman’s Office at the U.S. Commodity Futures Trading Commission (CFTC), where he advised on domestic and international policy and legal matters relating to cryptocurrencies and the OTC derivatives and futures markets. He also previously worked as a Senior Associate at Allen & Overy LLP in Washington, D.C., where he advised financial institutions on a wide range of regulatory matters. He also worked at the U.S. Securities and Exchange Commission for nearly 10 years, most recently serving as Senior Special Counsel in the Office of Derivatives Policy, where he worked on the implementation of Title VII of the Dodd-Frank Act and derivatives regulation more generally.

Matthew has degrees from the University of Chicago (J.D.); Boston College (Ph.D.); and the University of Toronto (B.A.).

Moderated by​
Christine M. Lombardo , Partner , Morgan, Lewis & Bockius LLP

Co-leader of Morgan Lewis’s global financial institutions practice, 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. She previously served as a co-leader of the firm’s financial technology (fintech) industry team. 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.

11:15 am - 11:40 am

Morning break & networking

11:40 am - 12:30 pm

Breakout Sessions:
Select one

Insider Trading
1) Insider trading & MNPI: Navigating heightened scrutiny and evolving risks
  • How the SEC’s increased focus on MNPI and insider trading is impacting fund managers
  • Assessing the "materiality" of non-public information in private markets
  • Challenges presented by new business lines and strategies
  • SEC vs. Panuwat: A blip or the next evolution of insider trading laws?
Speakers
Michael Barry , General Counsel and Chief Compliance Officer , Samlyn Capital LLC

Michael is the General Counsel & Chief Compliance Officer at Samlyn Capital, LLC where he is responsible for all legal and compliance operations of a global equity hedge fund management firm. 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 an associate at Skadden, Arps, Slate, Meagher and Flom LLP in New York City. Michael began his career as an associate at Whitman, Breed, Abbott & Morgan in New York City.

 

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

Stefanie joined Southpoint Capital in 2015. Before Southpoint, Stefanie was GC/CCO of Tiger Consumer Management. Before TCM, she was the CCO of Sabretooth Capital Management. Prior to Sabretooth, she was Head of Risk for the alternative investment funds group at Brown Brothers Harriman & Co. Stefanie graduated from the University of Rochester in 1995 with a Bachelor of Arts in Political Science and Art History, and she holds a JD from New York Law School (2000). She was admitted to the New York State Bar in 2000.

Jamie Houghtlin , General Counsel , Whale Rock Capital Management LLC

Jamie is the General Counsel and Chief Compliance Officer at Whale Rock Capital Management LLC. Jamie joined Whale Rock in 2017. Jamie has over 21 years of compliance and legal experience working in the financial services industry. Prior to joining Whale Rock, Jamie was a Vice President with responsibility for equity capital markets compliance at Wellington Management in Boston.  Jamie previously held senior compliance and legal roles at Bain Capital, Lehman Brothers and JP Morgan. Jamie currently serves on the board of CSforMA, Inc.  Jamie received a JD from Fordham University School of Law in 2002 and a BA from Middlebury College in 1997.

Nicholas Sahadi , Chief Compliance Officer, Hedge Fund and Enterprise , Citadel

Nicholas Sahadi is Chief Compliance Officer, Hedge Fund & Enterprise, responsible for oversight of Citadel compliance matters. 

Prior to joining Citadel, Nicholas served as Managing Director, Americas Head of Markets Compliance for HSBC and Chief Compliance Officer for HSBC Securities (USA) Inc.  Prior to joining HSBC, Nicholas served as Chief Compliance Officer, Americas for Cantor Fitzgerald.  He previously was Head of Compliance  at Direct Edge, an electronic stock exchange, and an equities compliance officer at Barclays Capital and Lehman Brothers.   

Nicholas received a bachelor’s degree in International Economics from the School of Foreign Service at Georgetown University and an MBA from the Stern School of Business at New York University.

Moderated by
Scott H. Moss , Partner, Chair, Fund Regulatory & Compliance; Co-Chair, Investment Management Group , Lowenstein Sandler LLP

Highly respected by industry peers for his depth of regulatory knowledge, Scott Moss has counseled hundreds of investment management clients in the implementation of compliance programs, as well as in the development of plans to ensure ongoing adherence to emerging regulatory standards.

He possesses a thorough knowledge of the entire panoply of the overlapping securities and commodities laws, rules, and regulations affecting his clients. Scott is part of a team that “always understands the issues at hand, responds very quickly and is able to suggest creative solutions to issues that are often very complicated.” (The Legal 500

Scott’s extensive experience includes representing offshore and U.S.-based funds, investment advisors, broker-dealers, commodity pool operators, and commodity trading advisors in formation and structuring, securities and commodities regulation, mergers and acquisitions, and other financial transactions.

Scott is also a prominent author and lecturer on corporate law, securities transactions, and investment management. His advisory roles include:

  • Adjunct Professor at Rutgers Law School, “Hedge Funds and Investment Adviser Seminar” (2008-2017)
  • Former Appointed Director of the Board of Directors for the Managed Funds Association (MFA), which represents the global alternative investment industry and its investors by advocating for regulatory, tax, and other public policies that foster efficient, transparent, and fair capital markets (2021-2023)
  • Member of the Steering Committee of the Lawyers’ Advisory Forum and Conference Committee for the MFA
  • IA Legal and Regulatory Subcommittee and Speaking Faculty of the National Society of Compliance Professionals

Scott continues to be recognized by Chambers USA and Chambers Global as one of America’s Leading Lawyers for Businesses for Regulatory & Compliance.

AI
2) Leveraging AI and exploring use cases: Staying ahead of the curve
  • The integration of AI tools within legal and compliance teams
  • Strategies for tracking AI innovations and maintaining a competitive edge
  • Key elements of a strong AI implementation framework
  • Developing a realistic strategy for AI integration
Speakers
Diana LaMorie , Vice President, Legal & Compliance , Two Sigma

Diana LaMorie is an attorney working in the Legal & Compliance Department at Two Sigma since 2013.  Since its inception in 2016, Diana has been building out and managing the compliance program at Two Sigma Investor Solutions, an RIA fintech affiliate offering an investment analysis platform called Venn by Two Sigma.  Venn applies Two Sigma’s expertise in research, data science, and technology to modernize the analytics experience and help institutional investors embrace a quantitative approach to managing multi-asset portfolios.  Previously, Diana was a Manager on the Enterprise Compliance team, helping lead the global compliance program for the flagship investment management business of Two Sigma Investments.  Diana earned her JD from Brooklyn Law School and a BS/MBA in Finance from Fordham University. 

Benjamin Morof , Chief Compliance Officer and General Counsel , Trexquant Investment LP

Mr. Morof joined Trexquant in 2019 after eight years as Chief Compliance Officer (CCO) and Counsel at a Chicago proprietary trading and private fund management firm. Previously he has served as CCO, and other roles, for professional traders, market makers, and retail options brokers and clearing firms since 2001. Mr. Morof received a JD from Washington University in St. Louis, after a Bachelor of Arts in English Literature and Rhetoric from the University of Illinois in Champaign-Urbana.

Kevinraj Bhatia , Senior Compliance Officer and Counsel , Bridgewater Associates

Kevinraj Bhatia is a Senior Compliance Officer and Counsel in the Legal and Regulatory Group at Bridgewater Associates, a role he has held since 2021. Before joining Bridgewater, he served as Head of Regulatory Content at FundApps, a SaaS company specializing in automating regulatory filings for asset managers, hedge funds, and banks. Earlier in his career, Kevinraj was a Vice President at AQR Capital Management and began his career in the Legal and Compliance group at Morgan Stanley & Co.

Kevinraj holds a JD from Brooklyn Law School and a BSBA from Boston University. He is a member of the New York State Bar, an Authorized In-House Counsel in Connecticut, and a CFA Charterholder.

Moderated by
Orville Thomas , Executive Director , UBS AG

Orville Thomas is an Executive Director in the UBS Business Consulting team based in New York. Orville has almost 15 years of experience in prime brokerage/financing where he has advised hedge funds in various capacities including legal, business consulting and capital introductions. Prior to joining UBS, Orville was a member of the Capital Introductions team and BofA Securities in New York having previously worked at Credit Suisse in Hong Kong, and Morgan Stanley in both London and Hong Kong. Orville began his career as a lawyer in London and received a B.A. in political science from Boston College and a J.D. from Boston College Law School.

AML Compliance
3) Expectations of investment adviser AML rules
  • Evolving AML trends: Recent developments and emerging risks
  • Implementation challenges with custodians and service providers
  • Compliance strategies for reporting and key actions funds should take as the effective date approaches
Speakers
Scott Hendler , Deputy General Counsel , Viking Global Investors LP

Scott Hendler is Deputy General Counsel responsible for legal, compliance, regulatory, and transactional matters. Prior to joining Viking in 2017, Scott was an Executive Director in the Legal and Compliance division at Morgan Stanley, and an Associate at Cadwalader, Wickersham & Taft and Skadden, Arps, Slate, Meagher & Flom. Scott received a J.D. from the New York University School of Law, an MBA from Columbia Business School, and a B.A. in economics, summa cum laude, from Binghamton University.

Justina Rousseau , Senior Managing Director , K2 Integrity

Justina Rousseau is a trusted advisor and financial crimes thought leader with over two decades of experience building programs designed to detect and prevent risk at first, second, and third line of defense roles. With extensive knowledge of U.S. and international financial crimes compliance, including Bank Secrecy Act/Anti Money Laundering (BSA/AML) regulations, she works with investment advisors and financial institutions to design, develop, and implement compliance programs in line with requirements issued by the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) and other regulators. Justina aids clients in recognizing problem areas and make appropriate risk-based decisions, and assists them with program management; remedial action management; development, implementation, and execution of procedures; identification of control weaknesses; and continual process improvements.

Prior to joining K2 Integrity, Justina held senior leadership positions at IBM’s Promontory Financial Group, most recently as deputy head of Americas and head of the Americas Financial Crimes Risk Management Advisory practice group. In those roles, she worked with large financial services institutions focusing on regulatory compliance, financial crime prevention, and risk management, giving her a deep understanding of the challenges facing internal regulatory compliance teams and the support they require from outside advisors. Justina advised financial institutions and regulators on all aspects of enforcement, regulation, and compliance or operational risk issues.

Before joining Promontory, Justina was an executive vice president at Wells Fargo Bank, where she held several key financial crime roles within the financial crime audit division and first line of defense roles within commercial banking and global financial institutions. She began her career at U.S. Bancorp.

Justina has a B.A., summa cum laude, in business management from the College of Saint Scholastica. She is a Certified BSA/AML/OFAC Compliance professional and a Certified Anti-Money Laundering Specialist (CAMS).

Moderated by
Michael A. Asaro , Partner , Akin

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

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

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

Chambers USA has described Mike as “an extraordinarily smart lawyer doing fantastic work and providing practical solutions” for his clients. He regularly counsels companies and individuals in matters involving:

  • Insider trading
  • Market manipulation and disruptive trading
  • Accounting irregularities and public company disclosure issues
  • Investment advisor and broker/dealer regulation
  • Conflicts of interest and breaches of fiduciary duty
  • Anti-bribery and Foreign Corrupt Practices Act (FCPA)
  • Complex commercial litigation.
Direct Lending Structures
4) New frontiers in direct lending and private market strategies
  • Structuring, valuations, and tax considerations of evergreen funds and SMAs
  • Expanding access to private markets through ETFs and interval funds; compliance risks, regulatory considerations and investor impact
  • Best practices for fund operations, valuation models, and documentation
Speakers
Matthew Bogart , Principal and General Counsel , AB CarVal

Mr. Bogart is a principal and the general counsel for AB CarVal. He is a member of the Executive Committee and oversees all of AB CarVal’s legal matters across the globe. Prior to joining AB CarVal in 2007, Mr. Bogart was a partner at Faegre & Benson in Minneapolis where he practiced for 16 years, specializing in real estate, finance and joint venture law. He received his J.D. from the University of Iowa College of Law, graduating with highest honors, and his B.S. degree in marketing and accounting from the University of Colorado.

AB CarVal is an established global alternative investment fund manager and part of AllianceBernstein’s Private Alternatives business. Since 1987, AB CarVal’s experienced team has navigated through ever-changing credit market cycles, opportunistically investing $152 billion in 5,810 transactions across 82 countries. Today, AB CarVal has approximately $20 billion in assets under management in in corporate securities, loan portfolios, structured credit and hard assets.

Daniel Gutin , General Counsel and Chief Compliance Officer , Brinley Partners

Daniel Gutin is the General Counsel and Chief Compliance Officer of Brinley. Prior to joining the Firm in 2022, Daniel was a Managing Director and Associate General Counsel at Oak Hill Advisors, L.P., where he advised the firm and its principals on the formation and operation of its investment vehicles, regulatory compliance, investment structuring and other legal matters.  Prior to that, Daniel was an associate in the private funds group at Simpson Thacher & Barlett LLP. Daniel received his Juris Doctor degree, magna cum laude, from the Georgetown University Law Center, where he was elected to the Order of the Coif, and a Bachelor of Arts degree, magna cum laude, in Political Science from the University of Pennsylvania.

Additional Speakers To Be Announced
Moderated by
Joseph M. Morrissey , Partner , Seward & Kissel LLP

Joseph M. Morrissey is a partner in the Investment Management Group at Seward & Kissel LLP. Mr. Morrissey works with sponsors and managers of various private investment funds and other pooled investment vehicles, including private equity funds, hedge funds, funds of funds, commodity pools, and various “hybrid” funds. In particular, Mr. Morrissey focuses on fund formation and structuring, the offering of interests by private investment funds, and the negotiation and documentation of such investments. Mr. Morrissey has significant experience in organizing both domestic and offshore partnerships and other investment vehicles, including separately managed accounts. Mr. Morrissey also represents fund sponsors in connection with seed-capital investments and represents funds of funds and other institutional investors in connection with their investments in private funds. Mr. Morrissey regularly counsels investment advisers, commodity pool operators and commodity trading advisors on regulatory and compliance matters, including the development of comprehensive compliance programs and in connection with applicable regulatory examinations. On the transaction side, Mr. Morrissey represents these clients in connection with their investment activities, including private equity and venture capital transactions, joint ventures and PIPEs transactions.

Mr. Morrissey served several years as a Member of the Private Investment Funds Committee of the Association of the Bar of the City of New York.

Mr. Morrissey was recognized as a key lawyer in The Legal 500 2023 “Investment Fund Formation and Management, Private Equity Funds (including Venture Capital)” category for Seward & Kissel – “Joseph Morrissey‘s clients include some of the most recognizable private equity firms, along with market fund sponsors.” Mr. Morrissey was recognized by IFLR 1000 as Highly Regarded in the practice areas of Hedge Funds and Private Equity Funds.

Mr. Morrissey received a B.A. from Drew University and a J.D. from Fordham University School of Law.

Crypto and Digital Assets
5) Legislative and regulatory developments shaping market structure for digital assets
  • Navigating token classification, electronic communication scrutiny, and evolving AML/KYC requirement
  • Addressing qualified custodian gaps, offshore exchange restrictions, and due diligence on new tokens
  • Future regulatory expectations on stablecoins, market structure, and crypto platforms
Speakers
Chris Perkins , President , CoinFund

Christopher R. Perkins serves as Managing Partner and President of CoinFund, a registered investment advisor with venture and liquid strategies. In this capacity, Chris delivers institutional scale, actively participates in the investment process and drives value for portfolio partners and investors while bridging the gap between web3 and traditional finance. An outspoken global advocate for cultivating responsible innovation by unlocking the promise of web3, Chris has testified before the U.S. Congress on effective policy and market structure design. He also serves on the CFTC’s Global Markets Advisory Committee (GMAC) and its Digital Asset Markets Subcommittee.

Leveraging his background in traditional fixed income markets and crypto, Chris was the co-inventor of the Composite Ether Staking Rate (CESR™), the first standardized staking rate benchmark of its kind. CESR™ officially launched in 2023.

Prior to joining Coinfund, Chris served as Global Co-Head of Futures, Clearing and Foreign Exchange Prime Brokerage (FXPB) businesses at Citi. In this capacity, he was responsible for delivering leading listed derivative electronic and voice execution, comprehensive central clearing and #1 ranked OTC Clearing and FXPB services to top institutional clients.

In the aftermath of the global financial crisis, Chris worked closely with governments, global regulators and industry participants to launch an industry-leading central clearing business as the $700 trillion derivatives industry migrated from an unregulated to a regulated paradigm. During his tenure, Citi was widely recognized as the global leader in this space, clearing hundreds of trillions of dollars notional, and safeguarding approximately $40 billion in client assets.
Appointed as the Global Head of FXPB in 2018, he worked closely with numerous global regulators and Citi’s Board of Directors to architect and execute a comprehensive restructuring and integration plan across multiple geographies. These efforts improved profitability and risk management while driving an industry-leading market share.

Prior to joining Citi in 2008, Chris served as the U.S. Head of Derivatives Prime Brokerage at
Lehman Brothers managing a portfolio of over $100 billion in notional across credit and interest
rate derivatives.

An Iraq war veteran, Chris served in the U.S. Marine Corps for nine years achieving the rank of Captain. Highlights of his military career include leading the reconstruction, civil affairs, logistics, public affairs and fire support coordination effort during combat operations in Ar Ramadi, Iraq from 2004-2005.

Chris is the co-founder of Veterans in Digital Assets (VIDA) and Veterans on Wall Street (VOWS), two national initiatives focused on veterans employment and empowerment. He was named “Employee of the Month—35 People Worthy of Emulation” (Esquire, Fall 2012) and recipient of Columbia University’s “Peter J. Awn Community Service Award” in 2018. He is the recipient of the 2021 “Marine For Life” award in New York City. In 2023, he worked with National Geographic to launch “Operation Arctic Cure,” a veterans documentary on addressing post traumatic stress disorder.

Chris serves on the Board of Advisors of Academy Securities and is a member of the Economic Club of New York. Previously, Chris served on the Board of Directors and Executive Committee of FIA, Inc., as Vice Chairman of the Board of Team Rubicon, and on the Leadership Team of the Bob Woodruff Foundation.

Chris has a Bachelor of Science Degree from the U.S. Naval Academy, with distinction, and a Master of Arts Degree in National Security Studies from Georgetown University.

Moderated by
Gregory Rowland , Partner , Davis Polk

Greg provides transactional, regulatory and compliance advice to investment advisers, mutual funds, closed-end funds, business development companies, private equity funds and hedge funds. He devotes a large portion of his practice to the structuring, launch and operation of registered investment companies and hedge funds and to the sales, acquisitions and restructurings of asset management firms.

Financial institutions, technology companies and asset managers also turn to Greg for guidance in connection with transactional, regulatory and compliance issues concerning digital currency and blockchain activities, including digital currency fund formation.

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

12:30 pm- 1:30 pm

Networking Lunch & Keynote Discussion

Understanding global dynamics in an increasingly complex geopolitical environment

Speakers
Michael Allen , Managing Director and Partner , Beacon Global Strategies

Michael Allen has spent his career in the national security arena including in the White House, the House Permanent Select Committee on Intelligence, and the private sector. Currently, Mr. Allen is Managing Director of Beacon Global Strategies LLC which advises clients on the intersection of business and national security. Mr. Allen is a frequent commentator on national security and foreign policy issues on CNN, MSNBC, and Fox and is the author of Blinking Red, Crisis and Compromise in American Intelligence after 9/11 (Potomac Books, 2013). He is also the recipient of the National Intelligence Superior Public Service Medal.

In the White House from December 2001- January 2009, Mr. Allen served in a variety of national security policy and legislative roles. At the National Security Council (NSC), he served as Special Assistant to the President and Senior Director for Counter-proliferation Strategy from June 2007 to January 2009 under National Security Advisor Steve Hadley. As the Special Assistant to the President and Senior Director for Legislative Affairs, Mr. Allen served as the NSC’s chief liaison with the national security committees of Congress (March 2005 to June 2007). From December 2001 to February 2005, Mr. Allen worked in the legislative affairs office of the White House’s Homeland Security Council.  At the beginning of the Bush Administration, Mr. Allen worked in the Bureau of Legislative Affairs at the Department of State.

From 2011-2013, Mr. Allen served as the Majority Staff Director of the House Permanent Select Committee on Intelligence (HPSCI). Under Chairman Mike Rogers’ (R-MI) direction, the HPSCI oversaw, authorized, and funded all intelligence programs across the eighteen elements of the intelligence community and led the House of Representatives’ consideration of cyber security legislation.

Prior to joining the HPSCI, Mr. Allen was director for the Bipartisan Policy Center’s successor to the 9/11 Commission, the National Security Preparedness Group, which was co-chaired by former Congressman Lee Hamilton and former Governor Tom Kean. Mr. Allen taught National Security Policymaking at the George Washington University Elliott School of International Affairs and served as an advisor for the congressionally created Commission on WMD and Terrorism.

Mr. Allen is currently an executive board member with the Forum for American Leadership, an organization dedicated to strong defense and intelligence, an active foreign policy and free and fair trade. He is a founder and board member of the Reagan Institute Strategy Group and a member of the National Leadership Council of the Ronald Reagan Institute. He is also a nonresident fellow at the Atlantic Council, an advisory board member of National Security Institute at George Mason University and is a member of the Council of Foreign Relations. Mr. Allen was a Commissioner on the CSIS Intelligence Task Force (January 2021).

Previously, Mr. Allen was the Intelligence Team Lead for the Romney for President Transition Team and later the John Hay Initiative.

Mr. Allen received his L.L.M. with distinction in International Law from the Georgetown University Law Center, his J.D. from the University of Alabama (cum laude), and his B.A. from Vanderbilt University. In addition to Blinking Red: Crisis and Compromise in American Intelligence After 9/11 (Potomac Books, 2013), Mr. Allen also authored “Reforming National Intelligence: The 9/11 Commission,” in Triumphs and Tragedies of the Modern Congress (Center for the Study of the Presidency & Congress, 2014) and has published several op-eds including in The Wall Street Journal and Foreign Policy.

Jeremy Bash , Managing Director and Partner , Beacon Global Strategies

Mr. Bash has spent the past 20 years advising national leaders and chief executives on a range of strategic, management, legal, and policy issues.  His clients include America’s leading companies in the areas of tech, defense, finance, security, and aerospace.

In addition, Mr. Bash is a recognized expert on national security affairs, having served as National Security Analyst for NBC News and MSNBC where his commentary provided analysis on defense issues, intelligence matters, the Middle East, China, Russia, North Korea, U.S. counterterrorism operations, cybersecurity, and current counterintelligence investigations.

He served as Chief of Staff in two national security departments or agencies: first as Chief of Staff to the Director of the CIA (2009-2011) and as Chief of Staff to the Secretary of Defense (2011-2013). As a senior advisor to Leon E. Panetta in both roles, Mr. Bash worked on a number of key initiatives, including the creation of a new defense strategy, formation of two defense budgets, the drawdown of two wars, counterterrorism operations, a new cyber strategy, and a range of sensitive intelligence operations. He traveled with Secretary Panetta to more than 50 countries. From August 2010 to May 2011, he was a member of the CIA’s senior management team overseeing the operation that killed Osama Bin Laden.

At the Pentagon, Mr. Bash managed the Office of the Secretary of Defense, an entity with 2,500 employees and a budget of $4 billion.

Mr. Bash is a Member of the Board of Directors for the International Spy Museum in Washington, DC.

From 2004-2008, Mr. Bash served in a variety of roles on Capitol Hill, including Chief Counsel to the House Permanent Select Committee on Intelligence and as a senior national security advisor to Congresswoman Jane Harman. In 2008, he was a member of the Obama-Biden transition team.

Mr. Bash practiced law at O’Melveny & Myers LLP, where his practice focused on litigation, high-profile investigations, and strategic counseling to CEOs of several publicly traded companies.

In 2000, Mr. Bash was the Defense and Foreign Policy Director of the Presidential Campaign of Vice President Al Gore. He was a member of Gore’s legal team during the 36-day recount in Florida.

In 2000, he served as an Associate with Fontheim International, one of the preeminent consulting firms advising major corporations on trade policy, business social responsibility, and political risk.

He is a recipient of the Department of Defense’s Distinguished Public Service Medal, the CIA Director’s Award, the Distinguished Intelligence Medal, and the Donovan Award from the National Clandestine Service. In 2010, Time Magazine named Mr. Bash one of the nation’s Top 40 Civic Leaders Under 40.

In 2017, Mr. Bash served as a member of the Congressionally-directed panel on the Roles and Responsibilities of the National Intelligence University.

In 2022, Mr. Bash was named by the Chairman of the House Armed Services Committee to serve as a Commissioner on the Afghanistan War Commission, the bipartisan Congressionally-created panel to write the definitive history of America’s 20-year war in Afghanistan.

Mr. Bash is a regular speaker and presenter at the CIA Director’s Leadership Seminar, the U.S. Army Senior Leadership Course for General Officers, and at various programs at Harvard Law School, Georgetown University, and the Panetta Institute for Public Policy.

Mr. Bash graduated from Georgetown University, magna cum laude, and was elected to Phi Beta Kappa. He earned his law degree from Harvard Law School, where he graduated cum laude and was an editor of the Harvard Law Review

Moderated by​
To Be Announced

1:30 pm - 2:20 pm

Breakout Sessions
Select one

Employment Law
1) Navigating non-competes, succession planning & evolving organizational policies
  • The future of non-compete agreements: Legal challenges, regulatory trends and the evolving enforcement landscape
  • Succession planning: Key considerations for leadership transitions and retention strategies
  • Human capital issues and the broader legal & compliance impact
Speakers
Matthew Bloom , General Counsel , Viking Global Investors LP

Matthew Bloom is General Counsel responsible for overseeing all legal, compliance, regulatory, and transactional matters for the firm. In addition, he is counsel to Viking’s Management Committee. Matthew was previously Deputy General Counsel and Associate General Counsel. Prior to joining Viking in 2013, Matthew was a Litigation Associate at Cravath, Swaine & Moore. He also served as a law clerk to the Hon. Joel M. Flaum of the United States Court of Appeals for the Seventh Circuit. Matthew received a J.D. from Yale Law School and a B.A. in history from Yale College.

 

Ben Freeman , General Counsel , Aperture Investors

Ben is the General Counsel of Aperture Investors, an alternative asset manager investing in various equity and credit strategies with offices in New York, London, and Paris. Prior to joining Aperture, he was Associate General Counsel at Corbin Capital Partners, an alternative asset management firm that specializes in multi-strategy hedge fund and opportunistic credit investing. Before his time at Corbin, Ben was an Associate in the investment management group at Debevoise & Plimpton. He earned a J.D. from Harvard Law School and a B.A. (cum laude) in Political Science and Hispanic Studies from Columbia University. He also holds the Chartered Alternative Investment Analyst (CAIA) designation.

Erin Mullen , General Counsel and 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.

Moderated by
Richard Walz , General Counsel , Element Capital Management LLC

Mr. Walz joined Element Capital in October 2011.  His responsibilities include managing all legal, compliance and regulatory matters for Element Capital.  From October 2011 through February 2021, Mr. Walz was also Chief Compliance Officer of 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, Bryan Cave LLP and Emmet, Marvin and Martin 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.

AI
2) Governance and ethics of AI: Key procedures and guidelines for establishing robust AI policies
  • Defining the components of a strong AI governance framework
  • Best practices for effectively applying AI regulations within your organization
  • Navigating SEC and investor expectations for AI use
  • Monitoring and ensuring compliance with AI policies; addressing ethical issues concerning the use of AI
Speakers
Hannah Dunn , Partner and General Counsel , Farallon Capital Management LLC

Ms. Dunn joined Farallon in 2007, where she oversees the firm’s legal and compliance initiatives globally.  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 from 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 (2005). 

Jason Gordon , Chief Compliance Officer , Cinctive Capital Management

Jason Gordon is the Chief Compliance Officer of Cinctive Capital.  Jason previously served as the Chief Compliance Officer at Autonomy Capital. Prior to that he served as Chief Compliance Officer of FX Solutions and in various senior compliance roles at Prudential Global Investment Management—including Chief Compliance Officer for Prudential Private Placement Investors. He also was a Compliance Officer for Perella Weinberg Partners and National Life Group/Sentinel Investments. Jason has over twenty years of financial and regulatory compliance experience, including over fifteen years running compliance programs for investment firms. Previously in his career, Jason worked at Bear Stearns where he focused on institutional capital markets transactions. Jason earned a Juris Doctor from Baylor Law School. He also earned a Bachelor of Arts in Political Science, summa cum laude, from the American Jewish University.

Daniel Marcus , Senior Vice President and Chief Compliance Officer , The D.E. Shaw Group

Daniel Marcus is a senior vice president of D. E. Shaw & Co., L.P. and Chief Compliance Officer for the D. E. Shaw group. Before assuming that role in 2024, Mr. Marcus spent eight years as a member of the firm’s Legal & Compliance department working on a range of compliance-related matters, with a particular focus on insider trading prevention and related policies and procedures. Prior to joining the D. E. Shaw group in 2015, he served as an assistant regional director in the New York Regional Office of the U.S. Securities and Exchange Commission, where he worked in the Market Abuse Unit of the Commission’s Division of Enforcement. Before that, Mr. Marcus was a litigation associate at Curtis, Mallet-Prevost, Colt & Mosle LLP, where he focused on securities litigation and government investigations. He began his career as a law clerk to the Hon. Allen G. Schwartz of the U.S. District Court for the Southern District of New York. Mr. Marcus received an A.B. in English from Princeton University and his J.D. from Stanford Law School, where he served as a note editor of the Stanford Law Review.

Angela McCray , General Counsel and Chief Compliance Officer , SurgoCap

Angela previously served as the General Counsel at Greenoaks Capital Partners in San Francisco and Entangled Ventures in New York City. Prior to this, Angela was as a corporate attorney at Gunderson Dettmer after beginning her career at Simpson Thacher & Bartlett in New York. Prior to attending law school, Angela worked at PwC in both the audit and tax groups and is licensed as a CPA in Texas (inactive). Angela holds a J.D. from Stanford Law School and attended the University of Louisiana at Monroe for graduate and undergraduate studies earning an M.B.A. and a B.B.A. in Accounting. Angela is a member of the ULM Foundation Board of Trustees and a member of the board at Start Small Think Big, a nonprofit focused on creating pathways to sustainable economic mobility for under-resourced small businesses.

 

Moderated by
Rich Itri , Chief Innovation Officer , ECI

Rich Itri is the Chief Innovation Officer at ECI. Rich has nearly 25 years of IT executive experience, spending his entire career managing IT within the financial services industry. Prior to joining ECI, Rich was Managing Director and Chief Technology Officer for PJT Partners, a boutique investment bank, Principal and Chief Information Officer for Sky Road and held Chief Information Officer positions at Arrowhawk Capital Partners and Arbalet Capital Partners. Over the years, Rich has developed and managed innovative, business aligned platforms, that drive revenue and operational efficiencies. Rich holds positions on several Advisory Boards and volunteers his time to help non-profits leverage technology. 

Cyber Security
3) Cyber security & compliance: Managing risks and regulatory expectations
  • Key updates on cyber rulemaking and what to anticipate from regulators
  • How AI is transforming cyber threats and influencing regulatory expectations
  • Ensuring your cybersecurity frameworks are up to date amid evolving risks
  • Understanding which compliance efforts remain critical - and which may become outdated
Speakers
Mark Russo , General Counsel , ZAIS Group, LLC

Mr. Russo serves as General Counsel and a Managing Director at ZAIS Group, LLC. 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.

Matthew Daigler , Vice President, Senior Counsel, Regulatory Affairs , MFA

Matthew Daigler is MFA’s Vice President, Senior Counsel, Regulatory Affairs.

In this role, Matthew analyzes the impact of legislative and regulatory developments on MFA members, works with MFA members in developing Association policy, drafts comments to regulators, oversees outside counsel/consultants, and engages directly with policymakers and regulators.

Prior to joining the MFA, Mr. Daigler was Vice President and Senior Counsel in the Office of Innovation Policy and Regulation at the American Bankers Association (ABA), where he worked with banks and policymakers to ensure that the legal and regulatory landscape supports financial innovation. Prior to working at the ABA, Mr. Daigler served as Senior Counsel in the Chairman’s Office at the U.S. Commodity Futures Trading Commission (CFTC), where he advised on domestic and international policy and legal matters relating to cryptocurrencies and the OTC derivatives and futures markets. He also previously worked as a Senior Associate at Allen & Overy LLP in Washington, D.C., where he advised financial institutions on a wide range of regulatory matters. He also worked at the U.S. Securities and Exchange Commission for nearly 10 years, most recently serving as Senior Special Counsel in the Office of Derivatives Policy, where he worked on the implementation of Title VII of the Dodd-Frank Act and derivatives regulation more generally.

Matthew has degrees from the University of Chicago (J.D.); Boston College (Ph.D.); and the University of Toronto (B.A.).

Moderated by
Mike Pappacena , Partner , ACA Group

Mike Pappacena is a Partner based in New York for ACA Aponix, ACA Group’s cybersecurity and risk division. In this role, he provides leadership for division initiatives, mentoring and guidance of staff, and vision for future planning and growth. Simultaneously, he serves as a team leader in providing cybersecurity risk assessments, vendor due diligence, policy authoring, staff training, and product development.

Prior to ACA, Mike served as a project manager for Jefferies LLC and worked on several compliance initiatives. In addition, he spent fifteen years at Goldman Sachs, where as a vice president in the Technology Division, he managed development teams supporting the firm’s Legal, Compliance and Audit, Sarbanes-Oxley, Operational Risk, and Technology Risk departments. He also managed Fundamental Equities and Alternative Investments in the GSAM division. Earlier in his career, Mike worked as an engineer at Long Island Lighting Company (now PSEG).

Mike earned his Bachelor of Electrical Engineering degree from the Pratt Institute and his Master of Business Administration degree (Finance concentration) from Adelphi University.

Marketing
4) Private fund marketing rules: Best practices, compliance and global trends
  • New developments: Key provisions and implications for private funds
  • Interpreting the rules: How different firms are applying the guidelines
  • Ensuring compliance across formats and channels: Investor webinars, pitch decks, and digital communications
  • Navigating cross-border marketing restrictions
Speakers
David Friedman , General Counsel and Chief Compliance Officer , Paloma Partners

David Friedman is a Managing Director at Paloma Partners Management Company and the General Counsel and Chief Compliance Officer.  Mr. Friedman is responsible for overseeing Paloma Management’s Legal and Compliance functions.  He joined PPMC in 2020.  Mr. Friedman was previously the Global Chief Compliance Officer at tZero Group, Inc.  He has held legal and compliance positions at Blackrock, Tudor Investment Corporation, Weeden & Co., and Outpoint Capital Management.  Mr. Friedman received a BA in Economics from the University of Rochester and JD and MBA degrees from Case Western University.

Ed Hornstein , Deputy Chief Compliance Officer and Counsel , Cinctive Capital Management

Ed Hornstein is currently the Deputy Chief Compliance Officer and Counsel at Cinctive Capital Management.  Ed previously served as the Deputy Chief Compliance Officer, Global Head of Regulatory Compliance at ExodusPoint Capital Management.  Prior to that, he was the Chief Compliance Officer at Geller Advisors and an executive director in the compliance department at JPMorgan.  Prior to JPMorgan, Ed founded a long-short hedge fund.  Ed began his career as an associate in the securities practice of Morgan Lewis & Bockius.

Ed received his JD from The George Washington University Law School and his BA from Binghamton University.

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.

Jill Whitelaw , Vice President & Senior Counsel, Regulatory Affairs , MFA

Jill R. Whitelaw is Vice President and Senior Counsel with the MFA’s Global Regulatory Affairs team.

In this position, she analyzes the impact of regulatory and legislative developments on MFA members, works with MFA members in developing Association policy, drafts comments to regulators, oversees outside counsel/consultants and engages directly with policy makers and regulators.

Prior to joining the MFA, Ms. Whitelaw was Executive Director at Morgan Stanley Investment Management, responsible for a wide variety of investment advisory, distribution, and investment company legal and regulatory matters. Prior to Morgan Stanley, Ms. Whitelaw served as Vice President and Chief Counsel – Funds Management for the investment management business of Lincoln National Life Insurance Company, advising the company on investment adviser and investment company legal and regulatory matters.

Before joining Lincoln, Jill was Of Counsel at Montgomery McCracken Walker & Rhoads, focusing her practice on investment advisers to private funds pursuing alternative investment strategies; Director at Merrill Lynch & Co., as the lead attorney for a closed-end fund complex specializing in alternative investment strategies, and was a senior member of the Gartmore Global Investments legal team, advising its global hedge fund business on formation, distribution and regulatory matters.

Jill’s extensive industry experience also includes positions as Managing Director and General Counsel—Mutual Funds for New York Life Investment Management, as Senior Counsel in PNC Bank’s fund servicing business and as an Associate in Business & Finance at Ballard Spahr.

She received her J.D. from the University of Pennsylvania Law School and her B.A. from the University of Pennsylvania. She is a member of the Pennsylvania Bar and registered as In-House Counsel in New York.

Moderated by
Eric S. Wagner , Partner & Chair, Private Funds & Investment Management , Kleinberg, Kaplan, Wolff & Cohen, P.C.
Executive Orders
5) The current state of the administrative state
  • Recent Executive Orders and other actions impacting financial services regulators
  • Changes to oversight of independent agencies
  • Efforts to curtail regulation by enforcement
  • Navigating cross-border marketing restrictions
Speakers
Dan Berkovitz , Vice Chairman, External and Regulatory Affairs , Millennium

Dan Berkovitz is Vice Chairman, External and Regulatory Affairs at Millennium, where he also serves as Chair of the Firm’s Compliance, Legal & Ethics Oversight Committee.

From 2021 to 2023 Dan served as General Counsel of the U.S. Securities and Exchange Commission.  From 2018 to 2021 he served as a Commissioner of the U.S. Commodity Futures Trading Commission (CFTC), where he had previously been the General Counsel (2009 to 2013).  He also has been a partner and co-chair of the Futures and Derivatives practice at the law firm of WilmerHale, senior counsel for the U.S. Senate Permanent Subcommittee on Investigations, and a Deputy Assistant Secretary in the Office of Environmental Management at the U.S. Department of Energy. Currently, Dan also is a Lecturer in Law at Columbia University Law School, where he teaches derivatives regulation. 

Dan received an A.B. in Physics from Princeton University and a J.D. from the University of California College of the Law, San Francisco, formerly known as U.C. Hastings College of the Law.

Additional Speakers To Be Announced
Moderated by
Elizabeth L. Mitchell , Partner , WilmerHale

Elizabeth L. Mitchell has more than twenty years’ experience representing and advising public companies, broker-dealers, hedge funds, investment advisers and boards, as well as senior executives and other individuals, in regulatory investigations, enforcement actions, and litigation involving the federal securities laws and other sensitive matters. Strategic and results-oriented, Ms. Mitchell has been recognized for her ardent advocacy, her unique combination of public company and securities trading and markets experience, and her ability to achieve risk-balanced solutions in multifaceted and bet-the-company cases. She is ranked in Chambers USA (Nationwide), where clients note her “extremely pragmatic, very thoughtful and creative” approach to helping clients achieve regulatory and business objectives.

2:20 pm - 2:45 pm

Networking Break + Transition to Main Stage

2:45pm - 3:10 pm

Keynote interview

Speakers
Natasha Vij Greiner , Director, Division of Investment Management , U.S. Securities and Exchange Commission

Natasha Vij Greiner is Director of the the SEC’s Division of Investment Management.  Immediately before joining the Division of Investment Management, Natasha was Deputy Director, National Associate Director for the Investment Adviser/Investment Company Examination Program, which includes the Private Funds Unit, and Associate Director of the Home Office IA/IC Examination Program SEC’s Division of Examinations. She began her SEC career in the Division of Examinations (formerly OCIE) as a broker-dealer examiner and has served in a variety of roles across the agency for more than 23 years, including Acting Chief Counsel and Assistant Chief Counsel in the Division of Trading and Markets, where she provided legal and policy advice to the Commission on rules affecting market participants and the operation of the securities markets. Natasha also worked in the Division of Enforcement, including in its Asset Management Unit, where she investigated possible violations of the federal securities laws and litigated matters in federal district court and administrative proceedings.  Natasha earned a J.D. from The Catholic University of America, Columbus School of Law, and a B.S., cum laude, from James Madison University.

Moderated by​
Dalia Blass , Senior Investment Management Partner , Sullivan & Cromwell LLP

Dalia Blass is the Senior Investment Management Partner at Sullivan & Cromwell LLP. Her practice focuses on providing strategic and regulatory advice to asset managers, registered and private funds, fund boards and their service providers across the range of regulatory, governance, compliance, examination and enforcement matters they face. She has a unique and deep expertise in the intricate legal, risk and compliance issues raised by existing and new regulation under the Investment Company Act and the Investment Advisers Act, including with respect to the design and structuring of innovative fund products and addressing challenging governance matters. Her leadership in these areas supports clients as they navigate the increasingly complex global, federal and state regulatory landscape facing asset managers.

Ms. Blass previously served as the Director of the Division of Investment Management at the U.S. Securities and Exchange Commission (SEC).

3:10 pm –3:40 0pm

Examining international regulatory developments in a shifting global order

  • Navigating restrictions and potential divestment requirements for assets with China exposure
  • Key regulations and market trends in the UK and EU, including EU securitization regulation
  • How competitiveness and growth agendas are impacting alternative asset management regulation in the UK and EU
  • Global focus on hedge fund leverage and transparency
Speakers
Sarah Curran , Managing Director, Global Head of Compliance , Wellington Management Company

Sarah Curran serves as global head of compliance for Wellington Management. In this role, she is responsible for overseeing the global compliance function. She leads a team responsible for providing advice and challenge relating to the pragmatic management of regulatory risk across the Americas, EMEA and APAC regions. She also serves as the head of private investments compliance. In this capacity she leads a team responsible for the design, implementation, and maintenance of controls to manage regulatory risk associated with the firm’s private investments business.

Prior to joining Wellington Management in 2021, Sarah co-led the private funds regulatory consulting practice at Promontory Financial Group, a subsidiary of IBM (2019 – 2021). Prior to that, she spent over 13 years at the U.S. Securities and Exchange Commission (SEC). Based in New York, she held a number of roles in the SEC’s Division of Examinations including within the Private Funds Unit, the Office of Clearance & Settlement, and the BDX Program.

Brendan Kalb , Global General Counsel , ExodusPoint Capital Management

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 a 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

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

Michael Kitson is Bridgewater’s Chief Compliance Officer and Counsel and is responsible for overseeing the firm’s compliance program and advising Bridgewater’s senior leaders on key compliance initiatives and regulatory developments in the US and around the world. Michael regularly represents Bridgewater with industry groups and trade associations including Managed Funds Association, Alternative Investment Management Association, and the Securities Industry and Financial Markets Association. He is also a regular panelist on topics such as investment adviser regulation, the regulatory rule-making process, cross-border regulatory developments, enabling compliance programs via technology, financial crimes compliance, and the structure and resourcing of in-house legal and compliance functions. Outside of Bridgewater, Michael is a Term Member of the Council on Foreign Relations as well as an Adjunct Professor at Fordham University School of Law where he teaches courses on corporate compliance.

Prior to joining Bridgewater, Michael held multiple legal and regulatory roles at global financial institutions and advised on topics including sales and trading of securities and derivatives, cross-border trade financing, anti-money laundering, sanctions, and consumer lending.

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

 

Moderated by​
David A. Form , Partner , Sidley Austin LLP

DAVID FORM focuses his practice on hedge funds and other alternative investment products and their investment advisers in connection with corporate, regulatory, and compliance matters. David’s clients implement a broad variety of strategies, including long/short equity, credit arbitrage, distressed credit, mortgage-related, quantitative /systematic, reinsurance, and multistrategy and range in size from startup managers to large institutional advisers. David was shortlisted by Euromoney Legal Media Group for its second annual Americas Rising Stars Awards under the category of investment funds and won that organization’s 2019 “Deal of the Year” award for his work on the launch of ExodusPoint’s flagship hedge fund, which was reported by news outlets to be the largest hedge fund startup launch in history. David has also been recognized as a “Rising Star” by Law360 in the Fund Formation category (2020), and by Who’s Who Legal as a leading Private Funds formation lawyer (2022).

3:40 pm– 4:00pm

Networking break

4:00 pm - 4:25 pm

Keynote discussion

Speakers
Speakers To Be Announced
Moderated by​
To Be Announced

4:25 pm - 4:55 pm

The big leagues: How do the largest multi-strategy funds manage legal and compliance at scale?

Join leading legal and compliance experts for a discussion on the critical issues facing large multi-strategy funds. This panel will explore the complexities of managing legal and compliance functions at scale, including navigating a global regulatory landscape functions at scale and navigating the regulatory landscape across regions as a global operation.
Speakers
Shawn Fagan , Chief Legal Officer and Managing Director , Citadel LLC

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

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

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

Mark Peckman , General Counsel , Schonfeld Strategic Advisors LLC

Mark Peckman is the General Counsel of Schonfeld Strategic Advisors LLC, a registered investment adviser, and its affiliated family office. Mark joined Schonfeld in 2002 following Schonfeld’s acquisition of Broadway Trading, where he was General Counsel. He has been instrumental in Schonfeld’s transformation from a US-centric proprietary trading firm to a global multi-strategy, multi-manager investment platform. Mark leads a team of over 30 legal and compliance staff having regulatory supervision of 100+ portfolio management teams engaging in systematic, fundamental equity, macro/fixed income and tactical investment strategies in the Americas, Europe and APAC. He holds a BA from Emory University, a JD from Brooklyn Law School and an MBA from Baruch Business School.

Matthew Siclari , General Counsel , Balyasny Asset Management LP

Matthew Siclari is the General Counsel/Chief Compliance Officer of Balyasny Asset Management LP.  Matt joined BAM in March 2006.  During his tenure at BAM, Matt has held various positions within BAM’s Legal and Compliance Department, ultimately becoming GC/CCO. Prior to joining BAM, Matt served as a consultant to several hedge fund managers.  Before that, Matt worked in AIG’s Office of the General Counsel.  Matt is licensed to practice law in New York and New Jersey.

Moderated by​
Marc E. Elovitz , Partner , Schulte Roth & Zabel

Schulte’s co-managing partner, member of the firm’s Executive Committee and co-chair of the Investment Management Regulatory & Compliance Group. Advises private fund managers on running their businesses consistent with the Investment Advisers Act of 1940 and all other applicable laws, regulations and legal requirements.

Marc’s cutting-edge work covers the latest trends of interest to private funds, including blockchain technology and digital assets. He advises on the legal and regulatory considerations involving virtual and digital currency business initiatives and the blockchain technology behind them.

He also develops new compliance testing programs in areas such as trade allocations and conflicts of interest, and leads macro-level compliance infrastructure reviews with fund managers, identifying the material risks specific to each particular firm and evaluating the compliance programs in place to address
those risks.

Marc works closely with clients undergoing SEC examinations and responding to deficiency letters and enforcement referrals. He provides guidance on SEC registration, examination and enforcement matters.

Marc regularly leads training sessions for investment professionals on complying with insider trading and market manipulation laws. He has also developed and led compliance training sessions for marketing and investor relations professionals.

As a speaker, Marc is frequently invited to discuss current industry-related topics of interest at leading professional and trade association events. He has presented on whistleblowing, regulatory and compliance issues for private funds and SEC inspections and examinations of hedge funds and private equity funds, among many other topics. Marc has been a member of the Steering Committee of the Managed Funds Association’s Outside Counsel Forum, the American Bar Association’s Hedge Funds Subcommittee and the Private Investment Funds Committee of the New York City Bar Association.

A recognized thought leader, he is regularly interviewed by leading media outlets, including Bloomberg, HFMWeek, HFM Compliance, Compliance Reporter, IA Watch, Private Funds Management and Law360, to name a few.

4:55 pm - 5:30 pm

Closing debate: Navigating a new regulatory era

The return of a Trump administration brings welcomed relief to financial markets but also introduces an entirely new regulatory landscape. Join a seasoned panel of industry leaders and former regulators as they share insights and discuss upcoming policy changes and the implications for businesses, investors, and the broader economy.
Speakers
Jillien Flores , Chief Advocacy Officer , MFA

Jillien Flores serves as Chief Advocacy Officer at MFA.

In this role, she develops and executes MFA’s advocacy strategies to advance the ability of alternative asset managers to raise capital, invest, and generate returns for their beneficiaries. Flores also oversees efforts to connect MFA’s advocacy with member growth and engagement. Her deep understanding of the industry, strong relationships with policymakers, and keen political instincts have delivered positive results for the industry and its investors, including pensions, foundations, and endowments.

Since joining MFA in 2021, Flores has created a more favorable public policy environment for alternative asset managers in the U.S., U.K., and E.U. In the U.S., Flores informs policymakers and their staff about the industry’s significant contributions to local communities and the global economy and push back against proposals that would harm managers, investors, and everyday Americans. Abroad, she spearheaded MFA’s expansion in Brussels to push back against harmful EU rules and in London to shape the future of the U.K.’s capital markets post-Brexit.

Flores joined MFA after six years at Vanguard, one of the world’s leading asset managers. There, she advocated on a range of issues related to US capital markets, tax, and retirement policy.

Prior to joining Vanguard, Flores represented clients before Congress and federal financial regulators as a Director of Government Relations at Porterfield, Lowenthal, Fettig & Sears. 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.

Sean Memon , Senior Vice President , D. E. Shaw & Co.

Sean Memon is a senior vice president of D. E. Shaw & Co., L.P. and a member of the D. E. Shaw group’s Legal & Compliance department, where he advises the firm on a range of regulatory, transactional, and operational matters.  Prior to joining the firm in 2021, Mr. Memon served as Deputy Chief of Staff and then Chief of Staff to Chairman Jay Clayton at the U.S. Securities and Exchange Commission.  In those roles, he advised the Chairman on legal, policy, and management matters affecting each aspect of the agency’s mission, including rulemaking, enforcement, examinations, and internal agency operations.

Previously, Mr. Memon was an attorney at Sullivan & Cromwell LLP, where he advised clients on regulatory and transactional matters, including with respect to capital raisings, mergers and acquisitions, and joint ventures.  He began his career as an investment banking analyst, initially at Raymond James & Associates and then Morgan Stanley, and was a member of the finance and acquisitions department at Time Warner Inc.  Mr. Memon received his J.D. and M.B.A. degrees from Duke University and an A.B. in economics from Harvard College.

Moderated by​
Brian Daly , Partner, Investment Management , Akin

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

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

5:30 pm

Closing remarks

5:30 pm - 7:00 pm

Networking reception

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