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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.
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. News – Best 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.
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.
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.
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.
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).
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.
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.
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.
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 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.
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:
Scott continues to be recognized by Chambers USA and Chambers Global as one of America’s Leading Lawyers for Businesses for Regulatory & Compliance.
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.
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.
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.
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.
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 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.
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.
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.
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
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 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.
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 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 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.
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.
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.
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.
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
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).
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.
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.
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 is the General Counsel and Chief Compliance Officer 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 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.
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.
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.