MFA Legal & Compliance London 2023 - Speakers

November 8, 2023
Frameless London, United Kingdom
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Conference Speakers

Conference Speakers

Daniel Bresler

Partner, Seward & Kissel LLP

Daniel Bresler is a partner in the Investment Management Group.

Dan primarily represents U.S. and non-U.S. investment managers, commodity pool operators, commodity trading advisors and private funds, including hedge funds, private equity funds and commodity pools. He advises clients on a variety of securities, commodities and corporate law matters, including fund structuring and formation, derivatives regulation and Securities Exchange Act filings. In addition, Dan assists clients in developing and implementing SEC, CFTC and NFA compliance policies and procedures and guides clients through regulatory examinations. He also represents clients in joint ventures, spinouts and other business transactions.

Dan received a B.S. from SUNY Albany, summa cum laude, and a J.D. from Albany Law School, summa cum laude, where he was the Executive Editor for Symposia on the Albany Law Review.

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.

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.

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.

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.

Sven Jones

Global Head of Compliance, Marshall Wace LLP

Sven Jones joined Marshall Wace in 2000 and is Chief Compliance Officer of Marshall Wace LLP and Global Head of Compliance with responsibility for oversight of the firm’s global Compliance teams. Prior to becoming Head of Compliance in 2017, he was Head of Operations Control for 12 years. Sven originally joined the firm in an Operations role. He is a member of the Operating Committee.

Prior to joining Marshall Wace, Sven worked as a Senior Manager at Coutts & Co. responsible for portfolio valuation.

Sven gained Bachelor of Engineering and Master of Science degrees from Imperial College, London.

Sven Jones

Global Head of Compliance, Marshall Wace LLP

Sven Jones joined Marshall Wace in 2000 and is Chief Compliance Officer of Marshall Wace LLP and Global Head of Compliance with responsibility for oversight of the firm’s global Compliance teams. Prior to becoming Head of Compliance in 2017, he was Head of Operations Control for 12 years. Sven originally joined the firm in an Operations role. He is a member of the Operating Committee.

Prior to joining Marshall Wace, Sven worked as a Senior Manager at Coutts & Co. responsible for portfolio valuation.

Sven gained Bachelor of Engineering and Master of Science degrees from Imperial College, London.

Muneer Khan

Partner Financial Markets, Middle East Regional Head, Simmons & Simmons Middle East LLP

Hunter Landrum

Associate General Counsel
Two Sigma

Hunter Landrum serves as Associate General Counsel at Two Sigma, an investment manager specializing in trading assets in liquid global markets across a range of conditions using a disciplined, scientific approach.  Hunter is responsible for the firm’s engagement with governments and regulators as well as litigation and enforcement matters.  Hunter serves as Chair of the MFA’s EMEA-APAC Forum and is an active participant in the global financial regulatory community.  He is currently based in London having previously practiced in New York City and Washington D.C.

Hunter joined the firm in 2015.  Before joining Two Sigma, Hunter was an attorney at WilmerHale in Washington D.C.  In this role, he focused on government affairs and representing international financial institutions in high-profile investigations before a variety of domestic and international regulators.  Hunter holds a J.D. from the University of Virginia School of Law and a B.A. in Political Science from the University of Alabama.

Stephanie Maier

Global Head of Sustainable and Impact Investment, GAM Investments

Stephanie Maier is Global Head of Sustainable and Impact Investment, responsible for leading GAM’s sustainable and ESG (environmental, social and governance) strategy.

Stephanie joined GAM Investments in January 2021 from HSBC Global Asset Management, where she was Director for Responsible Investment. Prior to that, she spent seven years at Aviva Investors, latterly as Head of Responsible Investment Strategy and Research, and was formerly Head of Research for EIRIS, an ESG research and consultancy firm. Stephanie holds an MSc in Environmental Technology from Imperial College London, a BA in Biological Sciences from Oxford University and the Investment Management Certificate (IMC). 

Stephanie Maier

Global Head of Sustainable and Impact Investment, GAM Investments

Stephanie Maier is Global Head of Sustainable and Impact Investment, responsible for leading GAM’s sustainable and ESG (environmental, social and governance) strategy.

Stephanie joined GAM Investments in January 2021 from HSBC Global Asset Management, where she was Director for Responsible Investment. Prior to that, she spent seven years at Aviva Investors, latterly as Head of Responsible Investment Strategy and Research, and was formerly Head of Research for EIRIS, an ESG research and consultancy firm. Stephanie holds an MSc in Environmental Technology from Imperial College London, a BA in Biological Sciences from Oxford University and the Investment Management Certificate (IMC). 

Lord McNicol of West Kilbride

Baron Iain McNicol of West Kilbride is a member of the House of Lords in the United Kingdom. Prior to this he served as General Secretary (Chief Executive) of the Labour Party from 2011 to 2018. He was National Political Officer of the GMB trade union from 2004 to 2011.

Lord McNicol continues to be active in the House of Lords, having served as Opposition Whip on the House of Lords front bench. He is currently Chairman of Committees. Lord McNicol has also worked with All Party Parliamentary Groups on important issues including ESG, Financial Technology, crypto assets and blockchain technology. He has also worked with business advisory groups, as well as financial sector organisations in the compliance, investment and savings sectors.

Ian Meade

Partner, Akin

Ian Meade advises asset managers, particularly hedge fund managers, on a broad range of issues relevant to their businesses. He is particularly experienced in structuring and establishing hedge funds and in the ongoing operations of those funds. He provides advice to asset managers on the negotiation of investments in funds and other products by institutional investors, including sovereign wealth funds, pension funds, insurance companies and a range of other institutional investors. Ian also advises clients on transactions involving asset management businesses and financial services regulatory matters.

Prior to joining Akin Gump, Ian was a partner at a large London-based international law firm. He is a frequent writer and speaker on hedge funds and related topics at industry conferences internationally.

Jason Mitchell

Jason Mitchell

Head of Responsible Investment Research, Man Group

Jason Mitchell is Head of Responsible Investment Research at Man Group and co-chairs Man Group’s Stewardship Committee. Previously, Jason was Co-Head of Responsible Investment at
Man Group.

Jason worked at Man GLG from 2004 to 2008 as a portfolio manager. Between 2008 to 2010, he advised the UK government on infrastructure development across Sub-Saharan Africa. He returned to Man GLG in 2010 as a portfolio manager, before becoming a sustainability strategist across Man Group in 2017. Prior to Man GLG, he was a Vice President at Andor Capital Management and an investment research analyst with Pequot Capital Management.

Besides having managed environmental and sustainability strategies, he speaks and publishes widely on responsible investment. Jason’s articles and comments on sustainable investing have been quoted in a number of top-tier publications, including Institutional Investor, Wall Street Journal, CNBC Squawk Box, Responsible Investor, Aftenposten, Global Times, AIMA Journal and Investment Europe. He has written widely on the European refugee migrant crisis. He also hosts the award-winning podcast series, A Sustainable Future.

Jason serves on the Esmée Fairbairn Foundation Investment Committee, SASB (Sustainable Accounting Standards Board) Investor Advisory Group, the CFA Institute’s ESG Technical Committee, the World Bank Carbon Pricing Leadership Coalition (CPLC) Advisory Group and the United Nations-supported Principles for Responsible Investment (PRI) Academic Advisory Committee. He previously served on the EFRAG (European Financial Reporting Advisory Group) Lab Steering Group and chaired the PRI Hedge Funds Advisory Committee. He is a contributing author to: CFA UK’s Certificate in ESG Investing Textbook (Ed. 2 & 3, 2021); Responsible Investing: A Guide to Environmental, Social, and Governance Investments  (Routledge: 2018); Sustainable Investing: Revolutions in Theory and Practice (Routledge: 2017) and Evolutions in Sustainable Investing: Strategies, Funds and Thought Leadership (Wiley Finance: 2012).

Jason holds a MSc in International Political Economy from the London School of Economics and a bachelor’s degree in English literature and classics. He is a Fellow of the Royal Society of the Arts and the British-American Project. He was named one of Institutional Investor’s 2011 Hedge Fund Rising Stars and one of the 50 most influential people in sustainable finance by Financial News in 2022.

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.

Leonard Ng

Leonard Ng

Partner, Sidley Austin LLP

Leonard Ng (www.sidley.com/leonard-ng) is Co-head of the EU Financial Services Regulatory Group at Sidley Austin LLP in London, and a member of the firm’s Executive Committee. He advises a wide range of financial institutions, including the Managed Funds Association, its members and other alternative investment managers, on the ongoing changes to the UK and EU regulatory landscape. He also works closely with Sidley’s global regulatory team in advising clients on cross-border regulatory reform, in particular clients affected by overlapping US and EU regulations. Leonard has particular experience in advising clients on operating under the UK/EU regulatory framework established after the last financial crisis (AIFMD, MiFID II, Short Selling Regulation, etc), and more recently on Brexit, sustainable finance/ESG, LIBOR transition and cryptoasset regulation. From September 2014 to September 2016 Leonard was a member of the Board of the Managed Funds Association. Leonard is a frequent speaker at industry conferences.

Leonard Ng

Leonard Ng

Partner, Sidley Austin LLP

Leonard Ng (www.sidley.com/leonard-ng) is Co-head of the EU Financial Services Regulatory Group at Sidley Austin LLP in London, and a member of the firm’s Executive Committee. He advises a wide range of financial institutions, including the Managed Funds Association, its members and other alternative investment managers, on the ongoing changes to the UK and EU regulatory landscape. He also works closely with Sidley’s global regulatory team in advising clients on cross-border regulatory reform, in particular clients affected by overlapping US and EU regulations. Leonard has particular experience in advising clients on operating under the UK/EU regulatory framework established after the last financial crisis (AIFMD, MiFID II, Short Selling Regulation, etc), and more recently on Brexit, sustainable finance/ESG, LIBOR transition and cryptoasset regulation. From September 2014 to September 2016 Leonard was a member of the Board of the Managed Funds Association. Leonard is a frequent speaker at industry conferences.

Neil Robson MFA

Neil Robson

Partner, Financial Markets and Funds, Katten Muchin Rosenman UK LLP

Neil Robson decodes complex UK and EU regulations to provide practical regulatory and compliance advice to financial services firms. He represents a range of financial market participants — hedge and private equity fund managers, investment advisors, broker-dealers and proprietary traders — that are based or doing business in the UK or the EU. Neil’s extensive working knowledge of this complicated sector allows his clients to both meet their business objectives and satisfy regulatory requirements.

Virginie Saade

Head of Government & Regulatory Policy, EMEA, Citadel

Virginie Saade is Head of Government and Regulatory Policy for Citadel in EMEA.

She is responsible for engaging with policymakers and regulators across EM EA on legislative and regulatory initiatives that are significant to the financial services industry.

Prior to joining Citadel, Ms. Saade was Head of European Regulatory Affairs and Strategy for KCG Europe (now part of Virtu Financial). She originally joined Getco Execution Services as Head of Sales before taking on the management of Getco Execution Services. Prior to that, Ms. Saade held a number of senior roles at NYSE Euronext, including Head of NYSE Arca Europe.

Ms. Saade is a member of the ESMA Securities and Markets Stakeholders Group and a member of the FCA Secondary Markets Advisory Committee.

Ms. Saade received a Graduate Diploma in Law (GDL) from the University of Law (London, United Kingdom) and an MBA from the Montpellier Graduate Institute of Business (Montpellier, France). She also received a bachelor’s degree in Politics and a master’s degree in Media and Communication Management from Toulouse University (Toulouse, France).

Thomas M. Schiera

Chief Compliance Officer and Associate General Counsel, Element Capital Management LLC

Mr. Schiera joined Element Capital in November 2016 as Associate General Counsel and Senior Compliance Officer.  In March 2021, Mr. Schiera was promoted to Chief Compliance Officer.

Prior to joining Element Capital, Mr. Schiera was Vice President and Associate General Counsel at Tudor Investment Corporation, which he joined in January 2014.  From October 2007 to December 2013, Mr. Schiera was an Associate at Bingham McCutchen LLP in an investment management practice group.

Mr. Schiera holds a J.D. from Brooklyn Law School and a B.A. in English and Philosophy from Boston College.  He was admitted to practice law in New York in 2008.

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Anna Siakotos

General Counsel- Europe, Cerberus

Thea Utoft

Managing Director and Head of the Financial Services Public Affairs Team, FTI Consulting

Thea Utoft

Managing Director and Head of the Financial Services Public Affairs Team, FTI Consulting

Thea Utoft

Managing Director and Head of the Financial Services Public Affairs Team, FTI Consulting
Ezra Zahabi

Ezra Zahabi

Partner, Akin Gump Strauss Hauer & Feld LLP

Key Experience:

  • Focuses her practice on financial regulatory matters relevant to the investment management and funds industry.
  • Advising a major technology investment fund on start-up issues, including internal controls and information handling protocols, and conducting market abuse and compliance training for staff. We also provided advice in relation to market abuse requirements and trade issues.
  • Advising a US VC investment manager on “appointed representative” arrangements.
  • Advising a large PE manager with establishing UK operations, including FCA authorisation application.
  • Advising the K. office of a global investment manager on the Senior Managers and Certification Regime (SMCR) implementation process

Practice:

Ezra Zahabi advises on relevant developments and considerations regarding changes to the U.K. and EU financial regulatory framework, particularly with regard to:

  • The U.K. financial services regulatory framework, including the Financial Services and Markets Act 2000, the rules of the Financial Conduct Authority (FCA) and the Prudential Regulatory Authority (PRA).
  • The EU legislative and regulatory framework, including the revised Markets in Financial Instruments Directive and the related Regulation (MiFID II); the Alternative Investment Fund Managers Directive (AIFMD); the Market Abuse Regulation; the Short Selling Regulation and the European Markets and Infrastructure Regulation (EMIR).
  • Structuring and promotion of sustainable funds, and the application of the Sustainable Finance Disclosure Regulation (SFDR) and the Taxonomy Regulation.

Ezra counsels investment management clients (including credit, hedge fund and private equity managers) on a variety of matters, including:

  • Senior Managers and Certification
  • Remuneration Code
  • Strategic advice in connection with new or forthcoming regulatory
  • Market abuse and market
  • Marketing and distribution of funds, managed accounts and
  • Interactions with regulatory authorities, including regulatory applications and notifications.
  • Structuring of investment management and advisory

Ezra participates in industry associations including the Sustainable Investment and Investment Management Sub-Committees of the Financial Markets Law Committee (a committee of the Bank of England) and the Alternative Investment Management Association (AIMA) working groups. She provides client training on regulatory and legal matters, including market abuse.

Representative Work:

  • Advice on FCA authorization
  • SMCR implementation for investment
  • Advice to issuers and market participants on insider dealing
  • Advice on post-Brexit marketing considerations for UK and other non-EU investment managers/advisors.

Contact

Registration for this event is by invitation only. To request an invitation, please email conferences@managedfunds.org