MFA Legal & Compliance 2023 - Speakers

May 2, 2023
New York, NY

Conference Speakers

Doug Anderson

Chief Compliance Officer, Canyon Partners, LLC

Doug Anderson is a Partner and is Canyon’s Chief Compliance Officer.  Mr. Anderson joined Canyon in 2005 and is responsible for monitoring compliance with the federal and state securities laws as well as client mandates. Prior to joining Canyon, Mr. Anderson was a senior Securities Compliance Examiner with the Pacific Regional Office of the U.S. Securities and Exchange Commission for over five years. Mr. Anderson was responsible for conducting compliance examinations (routine and cause) of various investment advisers and investment companies. Mr. Anderson is a graduate of the University of California, Davis (B.A., Economics and Communications) and Vermont Law School (J.D.)

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 fi rms 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 absolute expert in this practice area” who is “incredibly responsive, and understands his clients’ business and how to factor in commercial concerns.” 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.

Derek Backofen

Managing Director, Chief Compliance Officer and Head of Operations, MKP Capital Management, L.L.C.

Mr. Backofen is a Managing Director and serves as Chief Compliance Officer, responsible for all compliance matters for the firm, and Head of Operations, responsible for managing the firm’s Operations team. Prior to joining MKP in 2013, Mr. Backofen was a Manager within Financial Risk Management at KPMG providing regulatory, operational, and process advice to investment management institutions. Prior to that role, Mr. Backofen worked for over 10 years as Partner/Vice President at HedgeOp Compliance, LLC implementing and monitoring compliance programs for SEC registered investment advisors and unregistered investment advisors.

Mr. Backofen received a B.S. in Economics from Quinnipiac University.

Michael B. Barry

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.

 

William Birdthistle

William Birdthistle

Director, Division of Investment Management, U.S. Securities and Exchange Commission

William Birdthistle is the Director of the Securities and Exchange Commission’s Division of Investment Management. He leads the development of policy and rulemaking relating to investment advisers and investment companies.

Prior to joining the SEC, Mr. Birdthistle joined the faculty at Chicago-Kent College of Law in 2006, and he earned the school’s Excellence in Teaching Award in 2010. He also has served as a visiting professor of law at the University of Chicago Law School, where he won the Award for Teaching Excellence in 2019 for teaching securities regulation. His research explores investment funds, securities regulation, and corporate governance, and he has served as counsel of record on multiple amicus briefs to the U.S. Supreme Court.

Mr. Birdthistle received his J.D. from Harvard Law School, where he served as managing editor of the Harvard Law Review, and received a B.A. summa cum laude in English and psychology from Duke University in 1995.

Matthew Bloom

Chief Compliance Officer and Deputy General Counsel – Regulatory and Litigation
Viking Global Investors LP

Matthew Bloom is Chief Compliance Officer and Deputy General Counsel – Regulatory and Litigation responsible for legal, regulatory, and compliance matters. 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 B.A. in history from Yale College.

 

Matthew Bogart

Matthew Bogart

General Counsel, AB Carval Investors

Mr. Bogart is the general counsel for AB Carval Investors. He oversees all of Carval’s legal and compliance 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 focused on distressed and credit-intensive assets and market inefficiencies. Since 1987, AB CarVal’s experienced team has navigated through ever-changing credit market cycles, opportunistically investing $142 billion in 5,675 transactions across 82 countries. Today, AB CarVal has approximately $16 billion in assets under management in in corporate securities, loan portfolios, structured credit and hard assets.

Patryk J. Chudy

Chief Trial Attorney, Division of Enforcement, Commodity Futures Trading Commission

Patryk Chudy is a Chief Trial Attorney with the Division of Enforcement of the Commodity Futures Trading Commission.  Mr. Chudy has led and supervised numerous significant enforcement actions involving fraud, manipulation, spoofing, mismarking, trade practice and other regulatory violations.  Prior to joining the Division, Mr. Chudy was in private practice in New York.  He is a graduate of Cornell Law School, and clerked for a federal district court judge in Miami.

Ezra D. Church

Partner, Morgan Lewis

Ezra D. Church counsels and defends companies in privacy, cybersecurity, and other consumer protection matters. He helps clients manage data security and other crisis incidents and represents them in high-profile privacy and other class actions. Focused particularly on retail, ecommerce, and other consumer-facing firms, his practice is at the forefront of issues such as biometrics, artificial intelligence, location tracking, ad tech, and blockchain. Ezra is a Certified Information Privacy Professional (CIPP) and co-chair of the firm’s Class Action Working Group.

Kathleen Clapper

Kathleen Clapper

Managing Director, Compliance, NFA

Kathleen Clapper is a Managing Director in NFA’s Compliance Department. In this role, she helps oversee the department’s examination, investigation, and financial surveillance programs. Prior to joining NFA, Ms. Clapper served as Chief Compliance Officer for R.J. O’Brien & Associates, LLC where she was responsible for leading a team of compliance professionals, administering the policies and procedures of the futures commission merchant (FCM) to ensure compliance with applicable rules and regulations, and developing strategic compliance initiatives. Ms. Clapper also spent more than 12 years at CME Group in roles supporting the exchange’s self-regulatory organization functions, including performing financial and compliance examinations of FCMs. Ms. Clapper received a Bachelor of Science in Accountancy from the University of Illinois at Urbana-Champaign and an MBA from DePaul University. She is a Certified Public Accountant and Certified Fraud Examiner.

Bryan Corbett

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.

Brooke Elizabeth Cucinella

Global Head of Litigation & Regulatory Inquiries, Managing Director & Senior Deputy GC, Citadel

Brooke E. Cucinella recently joined Citadel as the Global Head of Litigation and Regulatory Inquiries.  Before joining Citadel, Brooke was a partner in Simpson Thacher’s Government Investigations group, where she described in Chambers USA as “a great trial lawyer,” a “phenomenal addition to the defense Bar,” someone who is “remarkably cool under pressure and really manage[s] a steady course in choppy waters” and “has real leadership and focus, keeping her eye on the issues that really matter.” At Simpson, she represented companies, boards and executives in government and internal investigations and high-profile disputes, as well as counseled clients on crisis response planning and cyber security incidents.

Brooke previously served in the DOJ as an Assistant United States Attorney in the U.S. Attorney’s Office for the Southern District of New York, where she was a senior member of the Securities and Commodities Fraud Task Force. As a federal prosecutor, she tried multiple significant cases and oversaw numerous investigations involving federal and state law enforcement and regulatory agencies, including the SEC. Brooke was responsible for investigating and prosecuting a wide range of complex financial crimes, including accounting fraud, insider trading, market manipulation, wire fraud, bank fraud, tax fraud, money laundering and public corruption.  She also has significant experience coordinating cross-border investigations.

In addition to being recognized by Chambers, Brooke is ranked as one of the “Top 250 Women in Litigation” in the U.S. by Euromoney’s Benchmark Litigation. She is also recognized by the publication as a National “Litigation Star” in White Collar Crime and as a New York “Litigation Star.” Brooke is also recognized by The Legal 500 in Corporate Investigations and White Collar Criminal Defense, where sources say she “works incredibly hard, is dedicated to her clients, and brings the eye of a seasoned investigator and prosecutor.” She was also recently named to Crain’s New York Business’s “Notable Women in Law” for 2021.

Sean Cumiskey

Partner & Co-Chief Operating Officer, Yiheng Capital Management LP

Sean is a Partner and Co-Chief Operating Officer for Yiheng Capital, a China-focused alternative investment firm with offices in San Francisco, Beijing and Hong Kong.   Yiheng was founded in 2008 and manages assets on behalf of a select group of investors that include university endowments, family offices, private foundations and pension plans in the United States, Europe, Asia and South America.  Sean is a member of Yiheng’s Operating Committee and oversees business and product strategy, investor relations as well as certain legal and operational functions.

Sean has over 20 years of global alternative investing experience.  Prior to joining Yiheng, Sean was a Director at Farallon Capital Management, a global multi-strategy investment firm.  Previous to Farallon, Sean worked as a Managing Director at York Capital Management, and was a member of the Investment and Executive Committees at Ivy Asset Management where he helped oversee $16 billion of hedge fund investments.

Sean received a BA from the University of California, Los Angeles and an MBA from Columbia Business School.

Brian Daly

Brian Daly

Partner, Akin

Brian advises fund managers on regulatory, compliance and operational matters. He has extensive experience helping clients navigate their regulatory compliance obligations under the rules and regulations of the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA). Brian also regularly represents clients in regulatory examinations, enforcement actions, trading inquiries 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 Outside Counsel Forum and its CTA/CPO Forum and of the Alternative Investment Management Association’s CFTC Working Group.

Aaron Daniels

Aaron Daniels

Chief Operating Officer & General Counsel , Brigade Capital Management

Mr. Daniels is the Chief Operating Officer and General Counsel, and a member of the Risk Committee. Prior to joining Brigade, Mr. Daniels was an Associate in the Investment Management Group at Seward & Kissel LLP from 2004 to 2010. Mr. Daniels’ practice focused primarily on hedge fund formation, and investment adviser registration and compliance. Mr. Daniels received a BA in Political Economy, cum laude, from Tulane University and a JD from Georgetown University.

Kamand Daniels

General Counsel & Chief Compliance Officer, Palestra Capital Management LLC

Kamand Daniels is the General Counsel and Chief Compliance Officer of Palestra Capital Management LLC. Prior to joining the Palestra Capital, Ms. Daniels was the General Counsel and Chief Compliance Officer at Marble Ridge Capital LP, a distressed debt investment firm, which she joined in 2019. Prior to Marble Ridge Capital, Ms. Daniels was a Managing Director, General Counsel and Chief Compliance Officer at Emerging Sovereign Group LLC, an emerging markets long/short equity and macroeconomic investment firm, from 2014 to 2019. Prior to Emerging Sovereign Group, Ms. Daniels was an associate in the Investment Management Group at Seward & Kissel LLP, advising on matters relating to private funds and investment advisers.

Ms. Daniels received a JD from the University of California, Los Angeles School of Law in 2007 and graduated from the University of California, Berkeley in 2004 with a BA in Political Science and Mass Communications. Ms. Daniels is admitted to practice law in New York.

Chris Davis

Christopher B. Davis

Managing Director & Deputy General Counsel, Tudor Investment Corporation

Christopher B. Davis. Chris Davis is a Managing Director and the Deputy General Counsel of Tudor Investment Corporation. Mr. Davis provides legal advice and support on a wide range of subjects, including transactional, regulatory, technological and corporate governance matters. Prior to joining Tudor in April 2012, Mr. Davis was an associate at Linklaters LLP in New York and London (2008-2012). Mr. Davis is a graduate of Vanderbilt University and the University of Texas School of Law.

Taggart Davis

Managing Director, Head of EU Government Affairs, Managed Funds Association

Taggart Davis serves as Managing Director, Head of EU Government Affairs at Managed Funds Association (MFA). He is responsible for the development and execution of MFA’s policy engagement strategy for Brussels and the European Union.

Prior to joining MFA, Taggart headed the J.P. Morgan Chase & Co. government relations office in Brussels for a decade and advocated on a range of policy issues, including investment management, banking, transatlantic relations and EU-UK relations. During his time with J.P. Morgan, he also served as Director and Vice Chairman of the Board of the American Chamber of Commerce to the EU (AmCham EU). He also worked in the European Parliament as a Parliamentary Assistant from 2008-2011, where he helped negotiate the Alternative Investment Fund Managers Directive (AIFMD), the Short Selling Regulation (SSR) and other EU financial legislation.

Taggart earned a B.A. in Spanish from the University of Montana and an M.A. in Comparative Politics from the University of Essex (UK).

Stefanie Donath

Stefanie Donath

Chief Compliance Officer & General Counsel, Southpoint Capital Advisors LP

Stefanie joined Southpoint Capital in 2015. Prior to Southpoint, Stefanie was GC/CCO of Tiger Consumer Management.  Prior to 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.  Before joining BBH, she was the CCO of U.S. Trust’s alternative investments and mutual funds, then Head of Product Development for Alternative Investment Group at U.S. Trust / BAML.  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.

Jennifer Duggins

Jennifer A. Duggins

Division of Examinations, Assistant Director and Co-Head, Private Funds Unit, U.S. Securities and Exchange Commission

Jennifer A. Duggins, IACCP® is an Assistant Director and Co-Head of the Private Funds Unit within the SEC’s Office of Compliance Inspections and Examinations. Prior to joining the SEC, Jennifer was a Director in Regulatory Risk Consulting within the Advisory Practice of KPMG. Prior to joining KPMG, Jennifer was Senior Vice President and Chief Compliance Officer of Chilton Investment Company. Prior to Chilton, Jennifer was Vice President, Legal and Compliance at Andor Capital Management. Jennifer has served as a Faculty Member and Director of the Board of the National Society of Compliance Professionals (NSCP) and served as a CCO Roundtable Steering Committee Member with the Managed Funds Association during 2009 and 2010. Jennifer has a B.A. in History from New York University and a M.S. in Human Resource Management from Sacred Heart University John F. Welch College of Business. Jennifer is also an Investment Adviser Certified Compliance Professional, IACCP®

Daniel M. Eggermann

 Partner, Bankruptcy and Restructuring, Kramer Levin

Daniel M. Eggermann represents significant parties, including distressed investors, bank debt holder and bondholder groups, creditors’ committees, independent directors of debt issuers, and other parties in interest, in complex Chapter 11 bankruptcy cases, out-of-court restructurings and other distressed situations. Daniel advises reorganized companies and their investors on a comprehensive range of corporate issues, and regularly counsels market participants in connection with credit default swaps.

Among his recent bankruptcy work, Daniel currently represents an ad hoc committee of governmental entities holding opioid-related claims in connection with the Chapter 11 proceedings commenced by Mallinckrodt plc, one of the largest manufacturers and distributors of opioids. Daniel also represented the official committees of unsecured creditors appointed in the Chapter 11 restructuring of Eagle Hospitality, a hotel real estate investment trust; in the balance sheet and fleet restructuring of the Bristow Group, one of the world’s leading industrial aviation service providers; in the Chapter 11 bankruptcy of California Pizza Kitchen; and in the Chapter 11 bankruptcy of Forever 21 and its affiliates, a leading retailer of “fast fashion” for women and men with more than 800 stores in more than 40 countries. Daniel also represented an ad hoc group of first lien noteholders holding in excess of $3.5 billion of first priority senior secured bonds issued by Caesars Entertainment Operating Co. in the Caesars bankruptcy proceedings. He also continues to serve as U.S. counsel to Lehman Brothers Treasury Co. BV, the Dutch financing arm of Lehman Brothers that issued more than $34 billion in notes.

Daniel’s work in the credit default swaps marketplace includes advising market participants on swaps issued on Sears, Windstream and Thomas Cook. He was part of the Kramer Levin team that represented members of the ISDA determinations committee in front of the External Review Panel convened in connection with the Sears credit event, securing a precedent-setting “yes” decision in the landmark Sears CDS case.

Caitlin Farrell-Starbuck

Global Chief Compliance Officer, ExodusPoint

Caitlin Farrell-Starbuck is the Global Chief Compliance Officer and a member of the Management Committee at ExodusPoint Capital Management LLP. Caitlin joined ExodusPoint in 2018.  Prior to joining ExodusPoint, she was the Global Head of Compliance for AHL Partners, LLP for Man Group plc based in London. Prior to joining Man Group in 2015, Caitlin was the Head of Research and Trading Compliance for Two Sigma Investments, LLC in New York. Caitlin earned a Bachelor of Arts degree in Political Science from American University.

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Zachary Feingold

Chief Legal Officer, Coatue

Steven Felsenthal

JD, LLM , Principal, General Counsel & Chief Compliance Officer
Millburn Ridgefield Corporation

Steven M. FelsenthalMr. Felsenthal is General Counsel and Chief Compliance Officer of Millburn Ridgefield Corporation and all of its US and global affiliated entities.  Prior to joining Millburn in January 2004, Mr. Felsenthal was a senior associate in the investment management group at Schulte Roth & Zabel LLP (September 1999- January 2004), where he represented and advised hedge funds, registered investment companies, investment advisers, broker-dealers and banks in connection with all facets of their asset management businesses, and a member of the tax department of Kramer, Levin, Naftalis & Frankel LLP (October 1996- September 1999).  He graduated cum laude from Yeshiva University in 1991 with a bachelor of arts degree in political science, and order of the coif from Fordham University School of Law in 1996, where he also served as an editor of the Fordham Environmental Law Journal.  Mr. Felsenthal received an LL.M degree in taxation from NYU School of Law in 2001 and has written and been quoted in numerous published articles on various topics related to investment management.

 

Jillien Flores

Jillien Flores

Executive Vice President and Managing Director, Head of Global Government Affairs
MFA

Jillien Flores serves as Executive Vice President, Managing Director, Head of Global Government Affairs at MFA.

Flores joined MFA after six years at Vanguard, one of the world’s leading asset managers. There, she advocated before Washington policymakers on a range of issues related to US capital markets, tax, and retirement policy. Leveraging policy depth, strategy, and relationships, Flores achieved policy outcomes beneficial to Vanguard’s clients on issues including equity market structure, ESG and corporate governance, and systemic risk.

Throughout her career, Flores has sought opportunities to advance Diversity, Equity, and Inclusion within the financial services sector, serving in leadership roles of related efforts at Vanguard.

Prior to joining Vanguard, Flores was Director of Government Relations at Porterfield, Lowenthal, Fettig & Sears, where she represented clients before Congress and the federal financial regulators in the asset management, insurance, securities, and biotechnology sectors. She was involved in the legislative and rule-writing process for several financial services laws and regulations, including the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Jumpstart Our Business Startups Act.

Flores earned a B.A. from the George Washington University in Washington, DC.

Brian Fortune

General Counsel, Holocene Advisors, LP

Debra Franzese

Partner, Seward & Kissel LLP

Debbie is a partner in the Investment Management group who focuses on providing practical and results-oriented legal and regulatory advice. She works with sponsors and managers of various private investment funds and other pooled investment vehicles, including hedge funds, private equity funds, funds of funds, commodity pools, co-investment vehicles and various “hybrid” funds. In particular, Debbie focuses on fund formation and structuring, the offering of interests by private investment funds, and the negotiation and documentation of such investments. Debbie has experience in organizing both domestic and offshore partnerships and other investment vehicles, including separately managed accounts established for institutional investors. She has significant experience advising clients regarding regulatory and compliance matters, including the availability of exemptions from registration for both U.S. and non-U.S. investment advisers, the development of compliance policies and procedures, the completion of regulatory filings, and assistance with regulatory examinations. Debbie also represents investment advisers in connection with seed-capital investments and side letters and represents funds of funds and other institutional investors in connection with their investments in private funds. She has also assisted clients with the completion of non-U.S. regulatory filings, including those required in connection with AIFMD.

Debbie was instrumental in the formation of the Firm’s ESG practice, spearheading a task force dedicated to staying at the forefront of the ESG issues affecting investment managers. Debbie also completed a Sustainable Capitalism & ESG course through UC Berkeley School of Law in Spring 2021.

Debbie received a B.A. from Stockton University, summa cum laude, and her J.D. from American University, Washington College of Law, magna cum laude.

Israel Friedman

Israel Friedman

Global Deputy General Counsel & Senior Managing Director, Cerberus Capital Management, L.P.

Mr. Friedman serves as the Global Deputy General Counsel with oversight of all legal and regulatory matters. He coordinates Cerberus’ internal legal teams and manages legal and regulatory risks across all desks and departments.

Prior to joining Cerberus in 2021, Mr. Friedman was General Counsel and Chief Compliance Officer at Kensico Capital Management, a multi-billion dollar hedge fund he joined in 2010. Previously, he was a branch chief in the Enforcement division at the Securities & Exchange Commission (New York Office) during the financial crisis where he conducted a number of high-profile investigations, including those of the Galleon/Rajaratnam insider trading ring, the unraveling of the Madoff ponzi scheme, and the collapses at Bear Stearns and Lehman Brothers. Mr. Friedman was at the Securities & Exchange Commission from 2006 to 2010. From 1999 to 2006, Mr. Friedman was an associate at Wachtell, Lipton, Rosen & Katz and prior to that, he served as a law clerk to Richard A. Posner, Chief Judge of the U.S. Court of Appeals for the Seventh Circuit.

Mr. Friedman graduated with honors from the University of Chicago Law School, where he was Articles Editor of the Law Review, and received a bachelor’s degree magna cum laude from Columbia University.

James Gange MFA

James Gange

Managing Director, Chief Compliance Officer and Legal Counsel
Davidson Kempner Capital Management
Kenneth Geller

Kenneth Geller

Managing Director, Deputy General Counsel, Two Sigma Investments, LP
Gary Gensler MFA

Chair Gary Gensler

U.S. Securities and Exchange Commission

Gary Gensler was nominated by President Joseph R. Biden to serve as Chair of the U.S. Securities and Exchange Commission on February 3, 2021, confirmed by the U.S. Senate on April 14, 2021, and sworn into office on April 17, 2021.

Before joining the SEC, Gensler was professor of the Practice of Global Economics and Management at the MIT Sloan School of Management, co-director of MIT’s Fintech@CSAIL, and senior advisor to the MIT Media Lab Digital Currency Initiative. From 2017-2019, he served as chair of the Maryland Financial Consumer Protection Commission.

Gensler was formerly chair of the U.S. Commodity Futures Trading Commission, leading the Obama Administration’s reform of the $400 trillion swaps market. He also was senior advisor to U.S. Senator Paul Sarbanes in writing the Sarbanes-Oxley Act (2002), and was undersecretary of the Treasury for Domestic Finance and assistant secretary of the Treasury from 1997-2001.

In recognition for his service, he was awarded the Alexander Hamilton Award, the U.S. Treasury’s highest honor. He is a recipient of the 2014 Frankel Fiduciary Prize.

Prior to his public service, Gensler worked at Goldman Sachs, where he became a partner in the Mergers & Acquisition department, headed the firm’s Media Group, led fixed income & currency trading in Asia, and was co-head of Finance, responsible for the firm’s worldwide Controllers and Treasury efforts.

A native of Baltimore, Md., Gensler earned his undergraduate degree in economics in 1978 and his MBA from The Wharton School, University of Pennsylvania, in 1979. He has three daughters.

Helene Glotzer

Chief Compliance Officer and Counsel, Bridgewater Associates, LP

Since joining Bridgewater in 2007, Helene has led Bridgewater’s compliance function, including creating and maintaining a program that satisfies regulatory, fiduciary, and client contractual obligations, while simultaneously implementing global best practices and standards. She is also responsible for demonstrating assurance to Bridgewater’s clients, auditors, and regulators that Bridgewater’s compliance program meets or exceeds its responsibilities, and for regularly conducting compliance training with Bridgewater employees. Helene is a Partner and manages the firm’s participation in various private fund best practice initiatives, including the Alternative Investment Management Association (“AIMA”), Managed Funds Association and the Standards Board for Alternative Investments.

Outside of Bridgewater, Helene serves as a Council Member for AIMA and as a Director on the Board of Hartford Healthcare.

In 2018, Helene was named among the “50 Leading Women in Hedge Funds” by The Hedge Fund Journal. She regularly speaks at industry conferences on issues relating to alternative asset management risk, compliance, technology, legal, and diversity and inclusion.

Before joining Bridgewater, Helene spent ten years as an attorney in the Enforcement Division of the US Securities and Exchange Commission. From 2004-2007, she co-headed the enforcement program for the SEC’s New York Regional Office, where she oversaw investigations and litigation involving insider trading, market manipulation, accounting fraud, Ponzi schemes, and other fraudulent conduct. She started her career as a litigation associate at Brown & Wood LLP. Helene received her JD from the University of Michigan Law School and her BA from Binghamton University.

Noah Goldberg

Managing Director & Senior Deputy General Counsel, Citadel

Noah Goldberg is a Managing Director and Senior Deputy General Counsel for Citadel.

Prior to joining Citadel in 2007, Mr. Goldberg was a Vice President and Assistant General Counsel at Goldman, Sachs & Co., where he had responsibility for alternative investment products within Goldman’s Asset Management division. Mr. Goldberg began his career at the law firm of Fried, Frank, Harris, Shriver & Jacobson LLP where he advised both hedge funds and private equity funds as an Associate in the firm’s Asset Management practice group.

Mr. Goldberg received a bachelor’s degree from Johns Hopkins University and a law degree from the Benjamin N. Cardozo School of Law.

Peter Greene

Peter D. Greene

Partner and Co-Head of Investment Management Group, Schulte Roth & Zabel

Peter D. Greene, Partner and co-head of the Investment Management Group, focuses his practice on all matters related to the formation and structuring of private funds and management companies, compliance and regulatory requirements, and public to private investment opportunities. He has particular experience in insider trading determinations, including the purchase, analysis and use of alternative data and related enforcement. Peter has advised on many of the leading hedge fund launches over the past 17 years; his clients include well-pedigreed managers launching their first funds and some of the largest hedge fund managers. Having previously served as the General Counsel and Chief Operating Officer of a buy-side investment firm, Peter has a unique understanding of his clients’ goals and the nature of their interactions with investors, regulators, auditors, administrators, employees and outside counsel.

Peter is recognized as a leading investment funds lawyer for his work in the hedge funds space by Chambers USA, Chambers Global and The Legal 500 US, with clients stating that “he is the lawyer that I rely most heavily on and he is a really good resource for commercial legal advice” and “an exceptional lawyer” who “combines an excellent business sense with a strong legal background.” Business Insider recently recognized Peter as one of “the 29 bankers, advisors, and lawyers to know if you’re thinking about starting your own hedge fund.” Peter has served on the Board of Directors of the Managed Funds Association (MFA), the leading trade association for the hedge fund and global alternative investment industry. He is also Chairperson of the Board of Directors of The Acceleration Project, a female-founded, female-led business advisory non-profit dedicated to keeping local economies vital and channeling talent into the economy.

Scott Grinsell

Managing Director, Head of Activist Engagement Strategy, Elliott Investment Management

Scott Grinsell is a Managing Director and Head of Activist Engagement Strategy at Elliott Management Corporation, an investment firm, where he focuses on activism and M&A situations. He was previously a corporate lawyer at Wachtell, Lipton, Rosen & Katz and served as a law clerk to Justice Sonia Sotomayor on the United States Supreme Court. He received his J.D. from Yale Law School, where he was Comments Editor of the Yale Law Journal, an M.Phil. from Magdalen College, Oxford as a Marshall Scholar, and a B.A. summa cum laude from Williams College. He is the President of the Association of Marshall Scholars and was a Term Member of the Council on Foreign Relations.

Mark Gurevich

Deputy General Counsel, Millennium

Mark Gurevich is the Deputy General Counsel at Millennium. Prior to Millennium, Mark was the Chief Compliance Officer and Deputy GC at Maverick Capital and before that a partner at Ropes & Gray, where he advised a range of clients on investment advisory and regulatory matters. In addition, Mark is active with a number of non-profit organizations and he currently serves on the boards of Literacy Partners, which focuses on adult literacy, and Math-M-Addicts, which teaches kids advanced math.

Daniel A. Gutin

General Counsel and Chief Compliance Officer, Brinley Partners, L.P.

Daniel Gutin is the General Counsel and Chief Compliance Officer of Brinley Partners, LP. Prior to joining Brinley, Daniel was a Managing Director and Associate General Counsel at Oak Hill Advisors, L.P.  Prior to that role, Daniel was an associate in the private funds group at Simpson Thacher & Barlett LLP. Daniel earned his J.D., magna cum laude, from the Georgetown University Law Center, where he was elected to the Order of the Coif, and a B.A., magna cum laude, from the University of Pennsylvania.

Isaac Haas

Isaac Haas

General Counsel
HBK Capital Management

Isaac Haas has been associated with HBK since 2015 and serves as HBK’s General Counsel, with primary responsibility for managing the firm’s legal function. Prior to joining HBK, Isaac was an attorney at Haynes and Boone, LLP, where he advised investment funds and operating companies on corporate and securities matters. He began his legal career as an associate at Jones Day. Isaac received a B.B.A. degree in Finance and Risk Management & Insurance in 2004 from Baylor University. He received a J.D. degree magna cum laude in 2011 from Southern Methodist University Dedman School of Law, where he was a Sumners Scholar and served on the editorial board of the SMU Law Review Association.

Jennifer Han

Executive Vice President, Chief Counsel, Head of Global Regulatory Affairs
MFA

Jennifer Han serves as Associate General Counsel at Managed Funds Association (MFA).  In her position, she advocates and shapes legislative and regulatory policies affecting the alternative investment industry in the U.S., Europe and Asia.  She advises on, develops and implements strategies for MFA members in seeking legal, regulatory and compliance changes and/or guidance for investment advisers, commodity trading advisors and commodity pool operators.  She has extensive experience working with policy makers and regulators, such as throughout the financial crisis, post-crisis and to refinement of today’s regulatory framework.  She works regularly with legislative policy makers and regulators, including the SEC, CFTC, Department of Treasury, Federal Reserve, NFA, ESMA, UK FCA and IOSCO, among many others.

As background, MFA represents the global alternative investment industry and its investors by advocating for sound industry practices and public policies that foster efficient, transparent, and fair capital markets. MFA, based in Washington, DC, is an advocacy, education, and communications organization established to enable hedge fund and managed futures firms in the alternative investment industry to participate in public policy discourse, share best practices and learn from peers, and communicate the industry’s contributions to the global economy. MFA members help pension plans, university endowments, charitable organizations, qualified individuals and other institutional investors to diversify their investments, manage risk, and generate attractive returns over time. MFA has cultivated a global membership and actively engages with regulators and policy makers in Asia, Europe, the Americas, Australia and many other regions where MFA members are market participants.

Prior to joining MFA, Jennifer was a staff attorney in the Office of Compliance Inspections and Examinations at the SEC, where she conducted inspections and examinations, and advised on legal and compliance matters relating to developments in securities regulations and industry practices.  Jennifer began her legal career as an associate with Pickard and Djinis LLP, a boutique securities law firm in Washington, D.C.  She received her Bachelor of Arts degree from Cornell University and her Juris Doctor from American University.  While in law school, she was an Editor of the American University International Law Review.  Jennifer is a member in good standing of the Virginia bar.

Brendan C. Hanifin

Partner, Ropes & Gray

Brendan Hanifin provides clients with comprehensive regulatory and transactional counseling across a range of international risks, including foreign direct investment regulations, economic sanctions, anti-money laundering laws, and anti-corruption laws. Clients value Brendan’s breadth of regulatory knowledge, transactional proficiency, and ability to forge practical solutions tailored to their business and strategic goals.

Brendan represents clients in national security reviews before the Committee on Foreign Investment in the United States (CFIUS), including reviews of non-notified transactions and negotiation of national security agreements. He routinely provides CFIUS-related advice and counseling to private equity sponsors, venture capital firms, sovereign wealth funds, and U.S. businesses throughout all stages of the investment life cycle.

Drawing on his years of experience conducting international risk due diligence, clients rely on Brendan to navigate their most complex cross-border transactions. In this capacity, Brendan has evaluated hundreds of companies’ international risk compliance programs, understanding that there is no one-size-fits-all solution to managing international risks. He leverages this experience to help clients across a broad range of industries perform complex risk assessments and develop (or enhance) effective, risk-based compliance programs. Brendan has particular experience helping U.S. investment managers develop risk-based anti-money laundering and economic sanctions compliance programs.

Brendan also represents clients in multijurisdictional internal investigations and government enforcement actions. He has assisted numerous clients to prepare and resolve disclosures to the Office of Foreign Assets Control (OFAC), the Bureau of Industry and Security (BIS), the Directorate of Defense Trade Controls (DDTC), the Department of Justice (DOJ), and the Securities and Exchange Commission (SEC).

A former member of Law360’s International Trade Editorial Advisory Board, Brendan publishes regularly on international risk-related topics.

Michael A. Hanin

Structured Finance Litigation Partner, Kasowitz Benson Torres LLP

Michael A. Hanin, partner at Kasowitz Benson Torres, is a leading structured finance litigator. He advises investment funds on potential litigation and other issues relating to their investments, particularly with respect to complex financial products, securitizations, financing, securities, real estate and accounting.  Mike is counsel of record to multiple investment funds – including Waterfall Asset Management, Serengeti Asset Management, One William Street Capital, Angelo Gordon, Davidson Kempner Capital Management and Deer Park Road – in ongoing public litigation relating to commercial and residential mortgage-backed securities, CDOs, CLOs and other structured products.

Aimee Hector

General Counsel, Tenor Capital Management

Aimee Hector is General Counsel of Tenor Capital Management.  Prior to joining Tenor in December 2018, Ms. Hector spent ten years as an Assistant United States Attorney in the United States Attorney’s Office for the Southern District of New York.  Prior to that, she was a litigation associate at Davis Polk & Wardwell.  She earned her J.D. from Yale Law School and her A.B. from Princeton University.

Scott Hendler

Deputy General Counsel - Funds and Trading
Viking Global Investors LP

Scott Hendler is Deputy General Counsel – Funds and Trading at Viking Global Investors LP. 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 LLP and Skadden, Arps, Slate, Meagher & Flom LLP. 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.

Elaine M. Hughes

Partner and Co-Chair, Investment Management Group, Lowenstein Sandler

Elaine co-chairs Lowenstein’s Investment Management Group. She advises clients on a broad spectrum of legal issues relating to the formation, structuring, and operation of U.S.-based and offshore investment vehicles, as well as joint ventures, managed accounts, and other alternative investment relationships. Her clients are leading U.S. and global investment managers, funds, and investors who value her experience, ingenuity, and counsel. 
 
Working closely with hedge funds, private equity funds, venture funds, credit funds, funds of funds, and other pooled investment vehicles, Elaine advises on all aspects of operational needs, securities laws, and regulatory and compliance issues. She also represents private investors in fund and direct investments. Beyond her knowledge of fund formation, capital raising, and fund structuring, Elaine is experienced with seed and strategic investment negotiations, fund-related mergers and acquisitions, and secondary transactions. 
 
Elaine has played a primary role in transactions involving structures and assets with values ranging from tens of millions to several billion dollars. She has had substantial involvement in shareholder and partnership arrangements and in providing regulatory advice to investment advisors. She has also advised clients on a number of corporate transactional matters and strategic alliances. 
 
An authority on private funds and investments, Elaine is regularly invited to speak on the subject. She has also been a guest speaker on venture capital financings and shareholder relationships, and a committee co-chair for the National Venture Capital Association Model Legal Document Working Group. 

Brendan Kalb

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

Peyun Kok

Director, ACA Group

Peyun Kok is a Director in ACA’s ESG Advisory Services group and is the technical lead on all social-focused work undertaken by the ESG team, including DE&I program development. Peyun has 15 years of experience conducting socioeconomic and health research, with twelve years of consulting experience providing sustainability, corporate social responsibility (CSR), and environmental, social and governance (ESG) services to clients in a wide range of sectors and geographies, and with a particular focus on social and human rights aspects. Her in-depth experience researching the real-world social and human rights impacts of business activities on stakeholders at various levels has given her a unique perspective on systems of social, economic and political oppression and inclusion.

Peyun earned her Bachelor of Science in Biology and English Literature from the University of Toronto and her Master in Environmental Studies, Urban and Regional Planning from York University.

Ken Kukish

Chief Compliance Officer and Senior Regulatory Counsel, Emso Asset Management

Ken started his career at ACA Compliance Group (formally Cordium) as a consultant for hedge funds, private equity firms, and other investment managers to help them meet their regulatory challenges.  Following that, Ken joined Emso in 2016, where he has assisted with management of the Firm’s day-to-day compliance program as well as advising the Firm on regulatory legal matters.  Ken was promoted to Deputy Chief Compliance Officer in 2019, and further promoted to Chief Compliance Officer in April 2023.

Ken earned a JD from the University of Connecticut School of Law and holds a BA from Trinity College (CT), with High Honors, in History.

Matthew B. Kulkin

Partner, WilmerHale

With over a decade of experience in government and private practice, Matthew Kulkin is well positioned to help clients navigate the complex legislative, regulatory, compliance and enforcement issues faced by financial market participants. Mr. Kulkin joined the firm in 2022 from another international law firm where he co-chaired its financial services practice group. Before that, he served as the Director of the US Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight.

As Director of the CFTC’s Division of Swap Dealer and Intermediary Oversight, Mr. Kulkin led a broad range of CFTC activities, including rulemakings and enforcement matters regarding swap dealers, intermediaries, trading venues, and investment funds. During his time at the commission, Kulkin was also deeply involved in cases of first impression regarding cryptocurrencies and digital assets.

David C. Lashway

Partner, Sidley

DAVID LASHWAY is co-chair of Sidley’s highly ranked global Privacy and Cybersecurity practice and a member of the firm’s top ranked Crisis Management and Strategic Response team. He is acknowledged as one of the leading lawyers for crisis management, cybersecurity, data security incidents, misinformation, trade secret theft, and related investigation matters. He has advised private and public organizations on significant and material cybersecurity incidents across almost every critical infrastructure sector, including financial services, energy, manufacturing, technology, water, defense, municipal government, retail, transportation, and hospitality industries. He has significant experience in addressing election security and misinformation-related issues, and was deeply involved in the investigations into the 2016 and 2020 actions targeting various U.S. political parties. He has served as the lead lawyer advising on the legal response to operationally impactful malware for a number of Fortune 500 entities, and led the incident response, associated investigations and litigations for several companies impacted by the NotPetya malware incident. He routinely leads responses to ransomware-related matters.

David has been regularly named as one of leading lawyers in surveys of the best lawyers for cybersecurity globally. In a recent ranking, The Legal 500 noted that clients describe him as “a brilliant lawyer and strategist. He is very intelligent and his performance in front of boards and management teams have been some of the best I have ever seen.”  Another client noted that “David Lashway is exceptionally knowledgeable and conversant in cyber incident response, cyber threat intelligence, legislation and authorities’ issues, and national security matters.” He is recognized as a leading lawyer in incident response in the 2022 edition of Chambers USA: America’s Leading Lawyers in Business, receiving a Tier One ranking in Cyber Incident Response. He has been included on the list of leading Incident Response Lawyers since its inception, and is a sought-after speaker related to cybersecurity and national security matters.

David has led due diligence on some of the largest recent corporate transactions, and regularly advises companies through complex CFIUS issues. He has also served as lead counsel on matters for organizations facing difficult regulatory, congressional, and public policy issues across a range of industry sectors and subjects. David is fluent in multiple languages and regularly handles matters involving the global intelligence community and law enforcement.

Courtney Lewis

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

Courtney is currently Chief Compliance Officer and General Counsel of Marshall Wace North America.  She is also a member of the Global Operating Committee. Prior to joining the firm, Courtney was Chief Compliance Officer and General Counsel of Hound Partners, which was seeded by Tiger Management.  She began her career at Systematic Financial Management, an affiliate of Affiliated Managers Group.

Courtney gained a Bachelor of Arts (2007) from New York University’s Gallatin School of Individualized Study and a Juris Doctorate with a Masters in International Political Economy and Development (2010) from Fordham University.  Courtney is an adjunct professor in Fordham Law School’s Masters of Compliance program, for which she also helped develop the course curriculum in Investment Management Regulation.  She is also Board Chairperson of Literacy Partners, an adult literacy non-profit organization focused on having a two-generation impact on education.

Michael Lewkonia

Senior Vice President & Counsel, The D. E. Shaw Group

Michael Lewkonia 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 works primarily on legal aspects of the structuring and marketing of the firm’s investment products and related regulatory considerations. From 2007 to 2017, Mr. Lewkonia was a member of the firm’s Investor Relations department, where he led a team that focused on certain legal, operational, and strategic issues. Prior to joining the firm in 2007, he was an associate at the law firm of Cleary Gottlieb Steen & Hamilton LLP. Mr. Lewkonia received his B.A. in economics from the University of British Columbia and a J.D. from Yale Law School.

Boris Liberman

Boris Liberman

Partner and Co-Chair, Derivatives & Structured Products, Lowenstein Sandler LLP

Boris provides strategic advice to U.S. and international hedge funds, mutual funds, CITs, UCITS, managed accounts, superannuation plans, sovereign wealth funds, and other asset owners regarding all aspects of implementing their investment and trading strategy while remaining compliant with appropriate regulatory regimes. With years of experience advising funds and institutional investors on the trading of securities, commodities, derivatives, and other asset classes, Boris is also proficient in a multitude of agreements with varying complexity required by market participants in order to invest in and trade such assets, including the retention and onboarding of prime brokerages and other counterparties to facilitate and coordinate complex funding instruments like derivatives.
Deeply knowledgeable about the wide range of both U.S. and non-U.S. laws and regulations that impact the trade of assets, Boris helps investors optimize, and think more strategically about, their trading strategy, treasury function, financing costs, and counterparty risk management. He also helps to implement these strategies through the creation of trading compliance manuals and effective best practices.
From his years of leading a team at a global investment management firm, as well as in private practice representing funds and private equity clients, Boris has developed a unique set of skills and acquired wide-ranging experience in dealing with all aspects of investment strategy implementation, encompassing all types of activity and structures.
He has specialized knowledge of relevant rules and regulations impacting trading documentation globally, including in key emerging markets such as China, Brazil, Saudi Arabia, India, Turkey, and Russia. Boris provides counsel to investment managers and asset owners who wish to access these markets across various investment instruments. He helps asset owners optimize their due diligence process in evaluating investment managers, and he provides strategic advice as to how asset owners should think about investment managers and dealers, as well as various trading instruments.
As an active member of various buy-side industry groups, Boris has been involved in conversations dealing with most key regulatory developments impacting investment strategy implementation worldwide. Over the course of the last 12 years, he has negotiated thousands of agreements, spanning all asset classes including:

  • Complex committed financing arrangements for hedge funds and managed accounts
  • ISDA agreements
  • Global master swaps confirmation agreements
  • Futures agreements
  • OTC clearing agreements
  • Tri-party custody agreements
  • Enhanced custody agreements
  • Give-up agreements
  • TBA agreements
  • Repurchase agreements
  • Main custody agreements
  • Unique guarantee arrangements

Before joining the firm, Boris served as Senior Counsel at AQR Capital Management LLC, where he counseled members of the investor, trading, research, compliance, portfolio implementation, and business development teams.
Earlier in his career, Boris represented private equity firms and hedge funds at the global law firms of Linklaters LP and Katten Muchin Rosenman LLP.

He is fluent in Russian.

Education

  • New York Law School (J.D. 2005), cum laude
  • Yeshiva University (B.S. 1997), cum laude

Bar Admissions

  • New York

Colin D. Lloyd

Partner, Sullivan & Cromwell LLP 

Colin D. Lloyd is a partner at Sullivan & Cromwell LLP in New York.  He advises on a broad range of securities and derivatives regulatory, legislative, transactional and enforcement matters.  His clients include broker-dealers, swap dealers, banks, exchanges, trading platforms, clearinghouses, private equity funds, investment managers, sovereigns and derivatives end users.  He is regularly counsel to leading trade associations and ad hoc coalitions on major industry initiatives.  Mr. Lloyd has been recognized by Chambers USA, The National Law Journal, IFLR, and Law360.  He was also one of three lawyers distinguished by the Institute of International Finance in 2015 as a “Future Leader” under 40.  Mr. Lloyd received a J.D. degree, cum laude, from Harvard Law School in 2007.  He received an undergraduate degree, summa cum laude, from Vanderbilt University in 2004.  Mr. Lloyd is a member of the Bars in the District of Columbia and New York.

Thomas P. Lloyd

Thomas P. Lloyd

General Counsel & Chief Compliance Officer, Campbell & Company, LP

Mr. Lloyd joined Campbell & Company in September 2005.  Mr. Lloyd is involved in all aspects of legal affairs, compliance and regulatory oversight.  Since January 2019, Mr. Lloyd has served on the Board of Directors of Campbell & Company, LLC, the general partner of Campbell & Company.  From July 1999 to September 2005, Mr. Lloyd was employed by Deutsche Bank Securities Inc., a broker/dealer subsidiary of a global investment bank, in several positions, including Managing Director and head of the legal group for Deutsche Bank Alex. Brown, the Private Client Division of Deutsche Bank Securities Inc.  From 1997 to 1999 Mr. Lloyd served as a Counsel in the Enforcement Department of NASD Regulation (now FINRA).  From 1995 to 1997 Mr. Lloyd served as a Staff Attorney in the Enforcement Division of the United States Securities & Exchange Commission.  Mr. Lloyd holds a B.A. in Economics from the University of Maryland, and a J.D. from the University of Baltimore School of Law.  Mr. Lloyd is a member of the Bars of the State of Maryland and the United States Supreme Court.

Christine Lombardo MFA

Christine M. Lombardo

Partner and Co-Leader, Financial Institutions Practice
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 also serves 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.

Anthony Martinez MFA

Anthony Martinez

Head of the Mercer Sentinel Group (Americas), Mercer

Tony is Mercer’s Leader of the Americas for the Mercer Sentinel Group. Tony is responsible for leading Mercer Sentinel Group in providing risk and governance services to investment organization. Tony joined Mercer’s Investments business in 2009 and is based in Boston, Massachusetts.

Tony brings 20+ years of financial services experience. Prior to joining the Mercer Sentinel Group, Tony was a senior leader within Mercer’s Outsourced Chief Investment Officer (OCIO) team focused on client & business functions, including: client implementation, transition management, product development, investment operations and pricing/business development.

Prior to joining Mercer, Tony has held relationship management, product development and investment operations roles at firms such as, Wellington Management, State Street Global Advisors & MFS Institutional Advisors.

Tony received a BA degree from Western New England University. Tony also holds the Claritas® Investment Certificate by the CFA® Program.

Ian P. McGinley

Director, Division of Enforcement, Commodity Futures Trading Commission (CFTC)

Ian McGinley is the Director of the Commodity Futures Trading Commission’s Division of Enforcement.  In this role, he leads the CFTC’s enforcement program and oversees prosecutions and investigations, the market surveillance unit, the forensic economist unit, and the CFTC’s whistleblower program.  He joined the CFTC in February 2023 from the law firm Akin Gump, where he was a partner.  Ian previously served for more than a decade as an Assistant U.S. Attorney in the Southern District of New York, where he was Co-Chief of the Complex Frauds and Cybercrime Unit and a member of the Securities and Commodities Fraud Task Force.

Brian Meyer

Partner, Co-COO & General Counsel, Fir Tree Partners

Brian Meyer is a Partner, Co-Chief Operating officer and General Counsel of Fir Tree Partners.  Brian is responsible for overseeing the firm’s legal, compliance, human resources and regulatory matters.  Prior to joining Fir Tree, Brian was a Managing Director at Veronis Suhler Stevenson, a media-focused private equity firm and investment bank.  From 1997 until 2004, Brian worked closely with Fir Tree Partners as General Counsel of The Official Information Company, a Fir Tree investment.  From 1993 to 1997, he was Senior Corporate Counsel at Revlon, Inc.  Brian began his professional career specializing in M&A, corporate, securities and banking law at the law firms of Latham & Watkins (1990 – 1993) and Milbank Tweed Hadley & McCloy (1986 – 1989).  Brian received a J.D. degree from U.C. Berkeley’s Boalt Hall (1986), where he was Executive Editor of the California Law Review, and received a B.A. in History and graduated magna cum laude from the University of California at Berkeley (1982).

David Mitchell

Deputy General Counsel, Labor & Employment, Balyasny Asset Management L.P.

David Mitchell is Deputy General Counsel, Labor and Employment at Balyasny Asset Management. Previously he worked at Hogan Lovells for 8+ years. In his role as an employment attorney, he advises on a variety of matters, including internal investigations, wage and hour issues, restrictive covenants, employment agreement negotiations, and personnel policies.

David was selected as a 2019 Council of Urban Professionals Fellow and a 2017 New City Bar Associate Leadership Institute Fellow. He is a board member of My Brother’s Keeper / My Sister’s Keeper, an organization devoted to promoting fellowship in support of Black attorneys. David is also a founding member of the Black BigLaw Pipeline, a non-profit organization dedicated to increasing the number of Black associates who successfully navigate BigLaw. He attended New York University for his undergraduate studies and received his J.D. from Vanderbilt Law.

Scott H. Moss

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
Erin Mullen

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.

Kathryn Murtagh

Senior Legal Counsel and Chief Compliance Officer, Rokos Capital Management (US) LP

Kathryn joined Rokos Capital Management, a global macro hedge fund manager, in January 2021 where she serves as Senior Legal Counsel and Chief Compliance Officer. Kathryn heads the firm’s Diversity, Equity and Inclusion Working Group which was formed in 2021 and co-launched the firm’s Women’s Network in 2022. Previously, she was General Counsel at Caspian Capital LP (2015 – 2020). Prior to that, she worked at Akin Gump Strauss Hauer & Feld in their New York Investment Funds team, most recently as Counsel. Kathryn began her career at Simmons & Simmons LLP in the London Financial Services team and, during her time there, was seconded to the firm’s Duesseldorf office, ABN AMRO Asset Management Limited and Seward & Kissel LLP. Kathryn holds a BA in Law with German Law from the University of Oxford, and completed the Legal Practice Course at the Oxford Legal Institute. She is admitted to the New York State Bar. Kathryn is also a member of the Advisory Board of Women in Funds.

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.

Mike Neus

Mike Neus

Chief Administrative Officer, Brevan Howard US Investment Management LP

Katerina Novak

Associate General Counsel, Viking Global Investors LP

Katerina Novak is an Associate General Counsel at Viking Global Investors LP responsible for legal, regulatory and compliance matters and works with the private investment teams. Prior to joining Viking in 2016, Katerina was an Associate at Cravath, Swaine & Moore LLP where she focused on mergers and acquisitions, capital markets, banking and general corporate matters. Katerina received a J.D. from Boston University School of Law and a B.S. in English literature from the University of Virginia.

Commissioner Hester M. Peirce

U.S. Securities and Exchange Commission

Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.

Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.

Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.

Douglas A. Rappaport

Partner, Akin Gump Strauss Hauer & Feld LLP

Doug Rappaport is a litigator focusing on complex commercial and securities disputes. In recent years, he has served as counsel in trials involving disputes over secured assets, partnership interests, securities fraud, breaches of fiduciary duty, trade secrets, options backdating, tax appraisals and the fraudulent sale of securities. Doug has won numerous dispositive motions and appeals in both state and federal court. On a daily basis, Doug advises clients on matters of regulatory compliance and corporate governance. He also provides advice on activist investing issues, devising strategies regarding the solicitation of board seats, the displacement of existing corporate management and contests for corporate control.

Doug also regularly represents investment funds, corporations and individuals in regulatory and internal investigations. His experience extends to matters before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and state and foreign securities agencies.

Doug litigates disputes involving:

  • Fiduciary obligations
  • Securities fraud
  • Breach of contract
  • Limited partnership interests
  • Insider trading
  • Investor disputes
  • Derivative claims
  • Insurance issues
  • Bond defaults
  • Contract disputes.

Gregory S. Rowland

Partner
Davis Polk & Wardwell, LLP

Gregory S. Rowland is a partner in Davis Polk’s Investment Management Group. 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.

Mark Russo

Mark A. 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.

Nate Saint Victor

General Counsel and Chief Compliance Officer, Engine No. 1

NATE SAINT VICTOR is general counsel and chief compliance officer for Engine No. 1, an investment firm that seeks to identify value creation opportunities in systems changes and drive long-term performance. Prior to joining Engine No. 1, Nate spent 15 years at Morgan Stanley, where, for the last four years, he provided legal counsel focused on its prime brokerage, securities lending, and fund administration businesses. Prior to that role, Nate counseled Morgan Stanley’s wealth management division on broker-dealer and investment-advisory issues with a focus on research, development, and distribution of alternative investments. During his tenure, he also sat on private fund adviser boards of directors and as a member of internal risk committees. Nate started his legal career in the Investment Management group at an international law firm. He has served on multiple industry and legal groups, including the Securities Industry Financial Markets Association (SIFMA) Prime Brokerage and Securities Lending Committee, Alternative Investments Roundtable, Investment Adviser/Broker-Dealer Task Force, Investment Advisory Committee and the Buttermilk Club.  Nate has held many roles, including on the Board of Directors for the New York City Bar Association. Nate regularly speaks, and has written, on topics related to securities laws, diversity, ethics and professional development. Nate received his undergraduate degree from Duke University and his law degree from Georgetown University Law Center.

Martin L. Schmelkin

Partner
Schulte Roth & Zabel LLP

Marty is a Partner in the Employment & Employee Benefits practice at Schulte Roth & Zabel, where he advises clients primarily in the financial services sector, including hedge funds, private equity firms, asset managers and investment banks.

He has nearly 30 years of experience in employment law, representing clients in all aspects of the employment lifecycle, including counseling on recruitment, hiring, employment agreements, compensation, promotions, leaves, disciplinary action,  terminations, and separation agreements

Marty conducts workplace investigations on harassment and discrimination, advises on litigation strategy, coordinates the implementation of employment policies and programs across multiple global jurisdictions, and leads workplace training programs.

He has a wealth of experience with diversity, equity and inclusion (DEI) policies and programs, including the interplay with Environmental Social Governance (ESG) reporting. He also counsels employers on regulatory filings, affirmative action programs, pay equity analyses and diversity demographic disclosures.

Marty brings a unique perspective to clients, having worked for 15 years in the legal department of Goldman Sachs, where he was a managing director and associate general counsel in the employment law group. While there he spent time in the firm’s Hong Kong office covering employment law matters throughout Asia and also had responsibility for employment law in non-US offices in the Americas.

He is a frequent presenter at industry conferences, serves as an Associate Lecturer on Labor & Employment Law at Columbia University, and is a member of the Executive Board of the Cornell University School of Industrial & Labor Relations (ILR) Alumni Association.

Marty received his J.D. from New York University School of Law, and B.S. from Cornell University.

Owen Schmidt

Chief Operating Officer, General Counsel and Chief Compliance Officer
Kinetic Partners Management LP

Owen Schmidt is the Chief Operating Officer, General Counsel and Chief Compliance Officer of Kinetic. Prior to joining Kinetic, Owen was a Partner in the Investment Management group at Schulte Roth & Zabel LLP, where his practice focused on advising private fund managers on legal and regulatory compliance matters as well as growth equity and venture capital investment transactions. Before Schulte, Owen spent almost seven years as a partner, general counsel and chief compliance officer at two large investment fund managers, where he oversaw the firms’ legal and compliance departments, advised on all aspects of the firms’ operations, and served on numerous firm committees, including valuation, conflicts, expense, risk, and cybersecurity.  Owen holds a Juris Doctor from the Fordham University School of Law and a Bachelor of Science from the University of Arizona.

Elizabeth Shea Fries

Partner, Sidley

ELIZABETH SHEA FRIES is the managing partner of Sidley’s Boston office, global leader of the Investment Funds practice, and a member of the firm’s Executive Committee. Liz provides clients strategic advice on a broad range of transactions, business and investment structures and regulatory matters. She has particular experience in creating and structuring asset management and other financial businesses, financial services mergers and acquisitions, innovative investment services and products, alternative investments, fiduciary issues and compliance matters.

Liz maintains a diverse practice covering all aspects of the asset management business, working with investment managers, funds, broker-dealers, banks and other firms across various sectors. Liz has guided numerous financial services firms through mergers, acquisitions and other complex transactions. She works closely with management to structure and effect transactions, including leveraged management buyouts, stock and asset acquisitions, mergers, outsourcing arrangements and private and public offerings of securities.

Liz has substantial experience regarding the organization and structure of numerous business and investment entities and assists clients in creating and implementing investment products and service arrangements. She is experienced in the public and private offering of interests in open-end and closed-end management investment companies and other collective investment vehicles or pools, such as offshore investment funds, investment limited partnerships, private Real Estate Investment Trusts (REITs), group trusts, common and collective funds, and business or other investment trusts. Liz also counsels investment advisers, investment companies, banks, insurance companies, brokers and other providers of financial services regarding complex compliance issues resulting from the operation and integration of a variety of investment businesses. Working with multiple areas of law, including securities laws, Employee Retirement Income Security Act (ERISA), banking laws, commodities laws, tax laws and others, she is experienced in analyzing complex issues and managing multi-faceted challenges toward practical resolutions.

Liz has been recognized as a leading lawyer for Hedge Funds in Chambers Global: The World’s Leading Lawyers for Business (2016, 2019–2023), Chambers USA: America’s Leading Lawyers for Business (2017–2022), and as a 2019 Lawyer of the Year Private Funds/Hedge Funds Law (Boston). She has also been selected for inclusion in U.S. News — Best LawyersThe Legal 500 U.S.The International Who’s Who of Private Fund Lawyers and the Women in Business Law Expert Guide, among others. The Legal 500 U.S. specifically identifies her “deep experience” and “innovative approach.” Chambers Global 2015 noted that she is “excellent in her command of the subject area, while also being responsive, thoughtful and commercial in her thinking.”

Matt Siano

Matthew B. Siano

Managing Director & General Counsel, Two Sigma Investments, LP

Matthew B. Siano, Esq. is Managing Director, General Counsel of Two Sigma Investments, LP and Two Sigma Advisers, LP, a pair of global investment managers specializing in quantitative investing across a broad range of asset classes. Two Sigma and its various affiliates currently manage numerous hedge funds, private investment pools, registered funds and managed accounts with over $32 billion in assets under management. As Two Sigma’s General Counsel, Mr. Siano is responsible for the firm’s legal, regulatory and compliance matters and is the head of both their legal and compliance departments. Mr. Siano joined Two Sigma in July 2004.

From September 1999 through June 30, 2004, Mr. Siano was an associate in the Investment Management Group of Seward & Kissel LLP, a New York City-headquartered law firm with an industry-leading hedge fund practice. At Seward, Mr. Siano specialized in the formation and structuring of private investment funds (including hedge funds and private equity funds), representing registered and unregistered investment advisers, listing private investment funds on non-U.S. exchanges, advising clients on SEC, CFTC and FINRA filings, and providing overall corporate, securities and tax advice.

Mr. Siano graduated cum laude from the College of William and Mary in 1996 with a B.A. in Government and History. While in Williamsburg, he also minored in Religion and published an honors thesis on the New York City public school system. In 1999, Mr. Siano earned a J.D. from Fordham Law School, where he was the Special Publications Editor for the Urban Law Journal and a member of the Fordham Moot Court Board.

Mr. Siano is also an adjunct professor in the undergraduate business school of the College of William and Mary, where he teaches a seminar course on the management of hedge funds. He has also been an active industry speaker at events hosted by the American Bar Association, Fordham Law School, the Corporate Lawyering Association and various U.S. and international law firms.

Matthew Siclari

General Counsel & Chief Compliance Officer, Balyasny Asset Management, L.P

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.

Randy Stuzin

Randy Stuzin

Partner and General Counsel, King Street Capital Management, L.P.

Randy Stuzin is a Member and General Counsel of King Street Capital Management, where he is responsible for the firm’s global legal and compliance departments. Prior to joining King Street in March, 2014, Randy spent 14 years at Goldman, Sachs & Co. , where he was Managing Director and General Counsel of the Investment Banking Division, overseeing a team of securities, capital markets and M&A lawyers around the world, and also served as Global Head of Business Selection and Conflicts Clearance for the Equities and FICC Divisions. Randy was previously a Vice President in the Legal Department at Lehman Brothers and began his career as a corporate associate at Cravath, Swaine and Moore. Randy received a B.S. from Cornell University and a J.D. from New York University School of Law.

 

Robert Sutton

Partner, Proskauer Rose
Robert Sutton is a partner of the Private Funds Group and a member of the Corporate Department. He is a seasoned practitioner with over 20 years of experience counseling managers and advisers of private funds on regulatory matters, as well as regulatory issues related to the formation and operation of private equity, credit, real estate, infrastructure, hedge and other private funds.

Rob has a deep knowledge of the market practice of asset managers and in particular, as it relates to Advisers Act-related issues. From some of the largest and most sophisticated firms in the global asset management industry to start-ups and mid-sized firms, Rob’s experience includes a wide spectrum of funds and asset classes across their life cycles.

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Supervisory Special Agent, FBI Cyber Division

Daniel Taub

General Counsel and Chief Compliance Officer
Junto Capital Management LP

Daniel Taub is the General Counsel and Chief Compliance Officer at Junto Capital Management LP. Previously, Mr. Taub spent nearly 10 years at Viking Global Investors LP as an Associate General Counsel responsible for legal, regulatory and compliance matters. Prior to joining Viking, Mr. Taub was an Associate in the Investment Management department of Schulte Roth & Zabel LLP and an Associate in the Corporate department of Stroock & Stroock & Lavan LLP. Mr. Taub earned his JD from New York University School of Law and his BA from Emory University where he graduated with High Honors and Phi Beta Kappa.

Serge Todorovich

Serge Todorovich

General Counsel and Chief Compliance Officer
Shenkman Capital Management

Serge Todorovich is Principal, General Counsel and Chief Compliance Officer at Shenkman Capital Management, Inc., a traditional and alternative credit manager based in New York with offices in Stamford, Boca Raton and London. Previously, he was General Counsel & Chief Compliance Officer of Prosiris Capital Management LP and Associate General Counsel at Eton Park Capital Management, L.P. Prior to joining Eton Park, Mr. Todorovich was Vice President and Assistant General Counsel at Goldman, Sachs & Co., where he provided legal counsel to the sales and trading desks in the Fixed Income, Currency and Commodities Division. He joined Goldman Sachs from Shearman & Sterling LLP, where he was an Associate in the Asset Management Group in New York. He has been an active member of industry associations and working groups focused on investment management, credit investing, derivatives, and financial regulation. Mr. Todorovich received his Juris Doctor from the University of Virginia School of Law, a Master of Arts in Law & Diplomacy from the Fletcher School of Law & Diplomacy and a Bachelor of Arts from Tufts University.

Stephen N. Waldman

Managing Director and General Counsel, Tudor Investment Corporation

Stephen N. Waldman is a managing director, general counsel and partner of Tudor Investment Corporation and its affiliates and is a member of the firm’s Management Committee and Operating Committee.
Prior to joining Tudor in 1995, Mr. Waldman was at the law firm of Debevoise & Plimpton in New York (1992 – 1995) where he specialized in securities, mergers and acquisitions and private investment funds. Previously, Mr. Waldman was an equity securities analyst at Kidder, Peabody & Co. Incorporated (1986-1989). Mr. Waldman holds a B.S. in Economics from The Wharton School of Finance of the University of Pennsylvania and a J.D. from Columbia University School of Law. Mr. Waldman is a Chartered Financial Analyst (CFA).

Craig S. Warkol

Partner, Schulte Roth & Zabel LLP

Craig S. Warkol is co-chair of the firm’s Litigation Group, Broker-Dealer Regulatory & Enforcement Group and securities enforcement practice. He represents clients in their most significant enforcement proceedings and regulatory investigations. Drawing on his experience both as a former enforcement attorney with the U.S. Securities and Exchange Commission and as a Special Assistant U.S. Attorney, Craig assists clients with SEC examinations and represents them at all stages of investigations and enforcement cases brought by the SEC, DOJ, FINRA, CFTC and other self-regulatory organizations and state regulators. Craig has experience representing entities and individuals under investigation for, or charged with, insider trading, securities fraud, mail/wire fraud, accounting fraud, money laundering, Foreign Corrupt Practices Act (FCPA) violations and tax offenses. Craig also advises private funds on the evolving regulatory risks associated with developing technology, including blockchain, digital assets and the use of alternative data. Craig regularly leads training sessions for investment professionals on complying with insider trading and market manipulation laws, and he has developed and led compliance training sessions related to the use of alternative data, electronic communication and social media.

In his previous roles in the U.S. Attorney’s Office for the Eastern District of New York and the SEC, Craig prosecuted numerous complex and high-profile securities fraud, accounting fraud and insider trading cases. Craig is recognized as a leading litigation lawyer in Benchmark Litigation: The Definitive Guide to America’s Leading Litigation Firms and Attorneys, The Legal 500 US and New York Super Lawyers. He is a former law clerk to the Hon. Lawrence M. McKenna of the U.S. District Court for the Southern District of New York. Craig has written and spoken about enforcement trends in the private fund space and other industry-related topics. He was interviewed for the article “Execution Enforcement Actions Escalate,” published in The Hedge Fund Journal. Craig earned his J.D., cum laude, from the Benjamin N. Cardozo School of Law and his B.A. from the University of Michigan.

Jeffrey H. Wechselblatt

General Counsel
Lone Pine Capital LLC

Jeffrey Wechselblatt is the General Counsel of Lone Pine Capital LLC, an investment adviser based in Greenwich, Connecticut.  Prior to joining Lone Pine in 2007, Jeff was an associate at law firms in New York.

 

Dede Welles

General Counsel, PDT Partners, LLC

Dede is the General Counsel of PDT Partners, LLC, a quantitative investment firm. Before joining PDT in 2009, Dede was the head U.S equities proprietary trading lawyer for Morgan Stanley.  Prior to joining Morgan Stanley’s Legal and Compliance Division in 2002, Dede worked as an associate at Cravath, Swaine and Moore.  Dede received a JD from Stanford Law School in 1998 and a BA from Yale University in 1992.

Tracey Brady Yurko

Tracey Yurko

Chief Legal Officer and Corporate Secretary, Bridgewater Associates

Tracey joined Bridgewater in 2012 and is currently Chief Legal Officer and Corporate Secretary. She is also a Partner, and a member of the firm’s Executive Committee and Operating Committee. In her role, she oversees our Legal and Regulatory Department and is responsible for legal and corporate governance, managing legal risk across Bridgewater and its funds. Prior to joining Bridgewater, Tracey practiced with the international law firms, Milbank, Tweed, Hadley & McCloy LLP, and Dewey & LeBoeuf LLP, representing banks, issuers, private equity funds and mezzanine funds in a wide range of banking and securities transactions. Tracey also represented public and private companies on corporate law and corporate governance matters.

Tracey graduated from The Johns Hopkins University with honors, received a Master of Sciences degree from the University of Pennsylvania, and graduated from University of Southern California Gould School of Law. Tracey currently serves as Chair of Make-A-Wish Connecticut’s Board of Directors and on The Johns Hopkins Lacrosse Advisory Board. Tracey is a member of the California State Bar, New York State Bar, District of Columbia Bar, and is Authorized In-House Counsel in Connecticut.

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David Zeiden

Executive Managing Director, Chief Compliance Officer & Chief Regulatory Counsel, Sculptor Capital Management

David Zeiden is an Executive Managing Director, Global Chief Compliance Officer & Chief Regulatory Counsel at Sculptor Capital Management, a global alternative asset manager providing a range of products across Multi-Strategy, Credit and Real Estate. In this role since 2020, David oversees Sculptor Capital’s global compliance team and is responsible for managing Sculptor Capital’s global compliance program.

David has over 20 years’ experience as in-house counsel and in private practice advising on complex investments and other transactions as well as providing legal, compliance, regulatory, and operational leadership. Prior to his current role, David was General Counsel and Chief Operating Officer for Sculptor Capital’s Asia business. Before joining Sculptor Capital in 2007, David spent nearly a decade in private practice in the Corporate Departments at law firms Paul Weiss Rifkind Wharton & Garrison LLP and Debevoise & Plimpton LLP.

David holds a Bachelor of Arts from the University of Wisconsin-Madison and a Juris Doctor from the UCLA School of Law.

Dr. Haoxiang Zhu

Director, Division of Trading and Markets, U.S. Securities and Exchange Commission