MFA Legal & Compliance 2026 - Agenda
May 13, 2026
Conference
New York Athletic Club
New York, NY
Register
7:30 am - 8:50 am
Breakfast, registration and networking
8:50 am - 9:00 am
Opening remarks
9:00 am - 9:25 am
Keynote interview with U.S. Attorney Jay Clayton
Speaker
Jay Clayton
,
U.S. Attorney
,
Southern District of New York
Jay Clayton is the United States Attorney for the Southern District of New York. Mr. Clayton assumed that role in August 2025, having previously served as Interim U.S. Attorney beginning in April 2025. Since taking office, Mr. Clayton has prioritized the safety and interests of New Yorkers and the millions who visit the city and region each year. His prosecutorial focus includes gun violence, gang activity, drug trafficking (including operations enabled by cartels and foreign governments), hate crimes, sex trafficking, child exploitation, national security threats, cyber attacks and cyber-enabled fraud, securities and corporate fraud, and money laundering.
Mr. Clayton brings extensive experience from both the public and private sectors to the Office. He was Chairman of the U.S. Securities and Exchange Commission (SEC) from May 2017 to December 2020. During his tenure, the SEC prioritized the protection of retail investors and worked to expand their access to invest opportunities. Under his leadership, the Commission brought more than 2,300 enforcement actions — often in coordination with the Department of Justice and other criminal authorities — resulting in over $10 billion in penalties and disgorgement and returning more than $3 billion to harmed investors. While at the SEC, Mr. Clayton was also a member of several key regulatory and advisory bodies, including the President’s Working Group on Financial Markets, the Financial Stability Oversight Council, the Financial Stability Board, and the Federal Housing Finance Oversight Board. He frequently testified before Congress on issues such as improving market integrity and efficiency, digital asset regulation, cybersecurity, retail and retirement investor interests, COVID-19-related regulatory responses, and U.S.-China economic interdependence.
Following his tenure at the SEC, Mr. Clayton served as Chairman of Apollo Global Management and returned to Sullivan & Cromwell LLP as Of Counsel and Senior Policy Advisor. He also served on the board of the American Express Company and held various other advisory and oversight roles in both the public and private sectors.
Earlier in his career, Mr. Clayton was an associate (1995-2000) and partner (2001-2017) at Sullivan & Cromwell, where he served on the firm’s Management Committee and co-headed its Corporate Practice. Mr. Clayton has also served as an Adjunct Professor at the University of Pennsylvania’s Carey Law School since 2009 and at its Wharton Business School since 2021. From 2022 to 2025, he co-chaired the University of Pennsylvania’s Institute for Law and Economics. Since January 2022, Mr. Clayton has served as a member of the Federal Deposit Insurance Corporation’s Systemic Resolution Advisory Committee.
Mr. Clayton began his legal career as a law clerk to the Honorable Marvin Katz of the U.S. District Court for the Eastern District of Pennsylvania (1993-1995). He holds a B.S. in Engineering from the University of Pennsylvania, summa cum laude; a B.A. and M.A. in Economics from the University of Cambridge as a Thouron Scholar; and a J.D. from the University of Pennsylvania Law School, cum laude, where he was elected to the Order of the Coif. He is admitted to practice in New York and Washington, D.C.
Moderated by
Andrea Griswold
,
Partner, White Collar Defense and Investigations
,
Skadden, Arps, Slate, Meagher & Flom
Andrea Griswold represents leading corporations, financial institutions, asset managers and executives in high-stakes government investigations and trials. She also conducts internal investigations and has extensive experience investigating issues arising out of complex financial transactions and deals. Ms. Griswold served for 11 years in the U.S. Attorney’s Office for the Southern District of New York (SDNY), including most recently as the deputy U.S. attorney and
chief counsel to the U.S. attorney, and previously as the chief of the Securities and Commodities Fraud Unit. Since returning to private practice, she has been at the forefront of some of the most closely watched cases in the country. Her recent representations include advising:
- a senior officer of a health care company in connection with SEC and DOJ investigations
relating to accounting practices - a U.S. hedge fund manager in connection with an SEC investigation of potential insider trading
- a multinational corporation in an internal investigation regarding financial irregularities
and embezzlement - an executive of a technology company in connection with SEC and DOJ investigations into
accounting practices - a U.S. broker-dealer in connection with an investigation by U.S. exchanges
- a U.S. asset manager in connection with SEC and DOJ investigations into investment adviser fraud
- an executive of an alternative asset management firm as a witness in connection with a
DOJ investigation in the SDNY - an international corporation as a witness in a DOJ criminal investigation
During her 11 years at the SDNY, Ms. Griswold held some of the Office’s most senior leadership roles. As deputy U.S. attorney and chief counsel to the U.S. attorney, she oversaw the work of more than 400 prosecutors and staff, supervised every criminal and civil investigation in the district and coordinated with senior DOJ leadership and law enforcement agencies nationwide.
She also managed the SDNY’s media strategy and served as the final decision-maker on case recommendations. The U.S. attorney described Ms. Griswold as “a generational talent” and “a relentless investigator, a talented trial lawyer, and a strategic counselor and leader with excellent judgement” in a press release announcing her departure from the SDNY in 2024.
As chief of the Securities and Commodities Fraud Unit, Ms. Griswold supervised dozens of high-profile corporate and individual investigations, including matters involving hedge funds, private equity firms, accounting fraud, valuation disputes and market manipulation. She also personally tried a series of complex fraud cases to verdict and coordinated closely with the SEC, CFTC and FINRA, including on cross-border enforcement actions.
Additionally, Ms. Griswold founded and co-chaired the SDNY’s Committee on Artificial Intelligence and Committee on Technology and Electronic Evidence. She is a frequent speaker on issues related to individual and corporate prosecutions, private funds and women in leadership.
Prior to joining the SDNY, Ms. Griswold worked for five years as a white collar litigator at a global law firm. She tried three cases to verdict during this time, including two federal criminal trials, one of which ended in a hung jury and the other with an acquittal on the top charge. The civil trial resulted in a jury verdict in favor of her client.
In recognition of her work, Ms. Griswold is ranked by Chambers USA and has been honored by City & State New York as part of its 2025 Law Power 100, in addition to being named one of Lawdragon’s 500 Leading Global Litigators, 500 Leading Litigators in America and 500 Global Leaders in Crisis Management.
9:25 am - 10:00 am
New directions: Rulemaking and regulatory priorities
- Navigating a new regulatory environment; shifts under new SEC leadership
- Exploration of relief avenues and emerging priorities
- SEC reporting lines and internal governance: how leadership and decision‑making are structured and what that means for engagement
- SEC–CFTC coordination and the potential impact on investment managers
Speakers
Jennifer Han
,
Chief Legal Officer and Head of Global Regulatory Affairs
,
MFA
Jennifer Han is Chief Legal Officer and Head of Global Regulatory Affairs at MFA. Jennifer is responsible for the strategy and execution of the Association’s U.S. regulatory advocacy and leads MFA’s regulatory engagement. She has authority and oversight over all legal matters involving MFA, including contractual matters, litigation, compliance and legal liability. She also advises MFA members on legal, regulatory, and compliance changes and/or guidance impacting the alternative investment industry, including investment advisers, commodity trading advisors, and commodity pool operators. She has extensive experience working with policymakers and regulators, such as throughout the 2008 financial crisis, post-crisis, and to the refinement of today’s regulatory framework. She engages regularly with legislative policymakers and regulators, including the SEC, CFTC, Department of Treasury, Federal Reserve, NFA, ESMA, UK FCA, and IOSCO, among many others.
Jennifer joined MFA in 2006 as legal counsel and has served in a few different capacities before joining MFA’s executive leadership team. Prior to joining MFA, Jennifer was a staff attorney in the Office of Compliance Inspections and Examinations at the SEC, where she conducted inspections and examinations, and advised on legal and compliance matters relating to developments in securities regulations and industry practices. Jennifer began her legal career as an associate with Pickard and Djinis LLP, a boutique securities law firm in Washington, D.C. She received her Bachelor of Arts degree from Cornell University and her Juris Doctor from American University. While in law school, she was an Editor of the American University International Law Review. Jennifer is a member in good standing of the DC bar.
Jennifer serves on the Washington D.C. Committee of 100 Women in Finance, and on the Board of Directors for the YWCA National Capital Area.
Prior to joining MFA, Jennifer was a staff attorney in the Office of Compliance Inspections and Examinations at the SEC, where she conducted inspections and examinations, and advised on legal and compliance matters relating to developments in securities regulations and industry practices. Jennifer began her legal career as an associate with Pickard and Djinis LLP, a boutique securities law firm in Washington, D.C. She received her Bachelor of Arts degree from Cornell University and her Juris Doctor from American University. While in law school, she was an Editor of the American University International Law Review. Jennifer is a member in good standing of the Virginia bar.
Additional Speakers To Be Announced
Moderated by
Christine M. Lombardo
,
Partner and Leader, Financial Institutions Practice
,
Morgan Lewis
Leader of Morgan Lewis’s global financial institutions practice, Christine Lombardo advises investment managers and broker-dealers on financial regulatory matters. She concentrates her practice on securities regulation for a broad range of financial firms including retail asset managers, private fund managers, family offices, broker-dealers, other professional traders, and high-net-worth individuals. Christine also counsels legal, compliance, and business personnel on the structure, operation, and distribution of advisory programs, including digital advisory offerings, and investment products, including hedge funds, private equity funds, venture capital funds, real estate funds, and other alternative investment products.
Christine also counsels financial firms through examinations by industry regulators, as well as on enforcement related matters. She previously served as a co-leader of the firm’s financial technology (fintech) industry team. Before joining Morgan Lewis, she was an associate at an international law firm in New York and worked for the Division of Enforcement at FINRA.
10:00 am - 10:35 am
Prediction markets: Growth, use cases & guardrails
- Regulatory divergence & participation choices: frameworks for whether and how institutions can engage across jurisdictions
- Beyond “betting”: using market-derived signals for research inputs and scenario analysis while managing conflicts and MNPI risk
- Model risk & integrity: strengthening market structure integrity and addressing vulnerabilities
Speakers
Mark Polemeni
,
Chief Compliance Officer and Senior Deputy General Counsel
,
Balyasny Asset Management
Mark Polemeni is Chief Compliance Officer and Senior Deputy General Counsel, responsible for the firm’s compliance function globally. Mark has 30 years of compliance and legal experience in the asset management industry, most recently as the Chief Compliance Officer and Chief Regulatory Counsel at Perella Weinberg Partners. Prior to joining Perella, he was the Chief Compliance Officer and Associate General Counsel at Citadel. Prior to Citadel, Mark was Chief Legal and Chief Compliance Officer at Alexandra Investment Management. He had been an associate and then partner in the Corporate and Securities Department of the law firm Epstein Becker & Green in New York City. Mark has been the editor of several editions of the Managed Fund Association’s Sound Practices for Hedge Fund Managers and has been a member of the speaking faculty of the Practicing Law Institute on regulatory topics. He holds a Bachelor of Arts degree from Georgetown University, as well as a Juris Doctor degree from Georgetown University Law Center.
Additional Speakers To Be Announced
Moderated by
Jake Preiserowicz
,
Partner
,
McDermott Will & Schulte
Focuses practice on counseling commodity pool operators, commodity trading advisors, other derivatives and
commodity professionals and private investment fund managers on operational, regulatory and compliance matters.
Jake regularly advises hedge and private equity fund managers with respect to futures and swaps trading; the US
Commodity Futures Trading Commission’s exemptions, registration and reporting requirements; and compliance with the requirements of the National Futures Association, as well as CFTC and exchange rules concerning OTC and listed
derivatives.
He conducts training sessions with respect to regulatory compliance matters and helps guide firms through regulatory
examinations. Jake also has expertise in the formation and ongoing operational needs of hedge funds and other private
investment funds and provides guidance on a variety of regulatory, compliance and risk management issues related to the implementation of the Dodd-Frank Act.
Jake rejoined the firm from T. Rowe Price where he was vice president and managing counsel after serving as special
counsel at Schulte for 6 years. Prior to Schulte, Jake was at the CFTC, where he was special counsel in the Division of
Swap Dealer and Intermediary Oversight. At the CFTC, he drafted new regulations and worked on a broad range of
matters related to CFTC registration and compliance.
10:35 am - 11:00 am
Governing AI in alternatives: The expanding strategic role of legal and compliance
- Redefining the role of legal and compliance teams as strategic partners in AI implementation, vendor management, and enterprise risk management
- How to identify, document, and mitigate risks related to data privacy, bias, explainability, third‑party models, and emerging AI regulations
- Establishing effective AI governance: roles, responsibilities, and escalation models
Speakers
Rich Itri
,
Chief Innovation Officer
,
ECI
Rich is responsible for driving ECI’s innovation strategy across cybersecurity, cloud, data, and AI. Leading the evolution of our intelligent services portfolio, Rich ensures that innovation is firmly aligned with operational reality, regulatory expectations and client focussed outcomes. He has been a key force behind ECI’s advancement as a Modern Intelligent Service Provider by embedding AI-driven insight, automation, and predictive capability into managed services without compromising governance or trust. His work consistently focuses on helping clients move from reactive technology management to proactive, intelligence-led operations.
With more than 25 years of experience, including senior leadership roles advising investment managers on infrastructure modernisation, cyber risk and data intelligence, Rich is known for translating emerging technologies into practical, defensible strategies for highly regulated environments.
Courtney E. Kapes Lewis
,
Partner and General Counsel
,
Marshall Wace North America
Courtney Lewis is a Partner at Marshall Wace North America, where she is General Counsel and serves on the global Operating Committee. Additionally, she serves as Chair of the Managed Fund Association’s Advisers, Management, and Operations Committee. Before joining Marshall Wace, Courtney was the Chief Compliance Officer and General Counsel at Hound Partners, which was seeded by Tiger Management. She began her career at Systematic Financial Management, an affiliate of Affiliated Managers Group.
Courtney completed her Bachelor of Arts at New York University’s Gallatin School of Individualized Study and earned a Juris Doctorate with a Masters in International Political Economy and Development from Fordham University in New York. She is an adjunct professor at Fordham Law School’s Masters of Compliance program, where she also contributed to developing the online course curriculum in Investment Management Regulation. Furthermore, Courtney serves as the Board Chairperson of Literacy Partners, an adult literacy non-profit organization focused on making a two-generation impact on education.
Additional Speakers To Be Announced
Moderated by
Wai L. Choy
,
Partner and Co-Head of Technology, Media & Telecommunications (TMT) Group
,
Proskauer
Wai Choy is Co-Head of Proskauer’s Technology, Media & Telecommunications (TMT) Group, a member of the Mergers & Acquisitions and Private Equity Group, and a leader of the Artificial Intelligence and Blockchain & Digital Assets practices. He has deep experience in technology, media, intellectual property, and corporate transactions and counseling, and is a trusted advisor to operating companies, asset managers, and other enterprises across a wide range of industries, including technology, media, entertainment, private equity, services, advertising, sports, blockchain and digital assets, health care, and life sciences.
As the media industry has evolved, Wai has represented content distributors and programmers for nearly 15 years in a wide range of complex distribution and licensing deals across all technologies, platforms, and business models, as well as in agreements for the development and integration of cutting-edge technologies and features.
In mergers and acquisitions, Wai:
– Structures and negotiates key transaction documents, including purchase, merger, transition services, and intellectual property license agreements, and leads legal due diligence;
– Advises on intellectual property, technology, privacy, data security, and contractual matters; and
– Helps portfolio companies optimize operations and execute value-creating strategies in preparation for a sale or post-closing.
He also advises companies on a broad range of day-to-day legal and business matters, including commercial arrangements, intellectual property, joint ventures, new product and service development, and corporate and strategic matters.
As co-head of Proskauer’s Technology Strategy Committee and a leader of the Firm’s Artificial Intelligence Practice, Wai advises both the Firm and clients on artificial intelligence policy, issues, and strategy.
Prior to joining Proskauer, Wai worked in the Business & Legal Affairs department of Marvel Studios in Los Angeles and Marvel Entertainment in New York. A graduate of NYU’s Tisch School of the Arts, where he earned a B.F.A. in Film & Television Production and Acting, Wai brings a valuable creative perspective to his legal practice.
11:00 am - 11:25 am
Keynote fireside chat with SEC Examinations and Enforcement
Speaker
David Morrell
,
Deputy Director, Northeast, Division of Enforcement
,
U.S. Securities and Exchange Commission
Moderated by
Michael A. Asaro
,
Partner
,
Akin
Mike Asaro is a leader of Akin’s white collar defense and global investigations practice. He focuses on white collar criminal defense, SEC and Commodity Futures Trading Commission (CFTC) investigations, corporate internal investigations and complex commercial litigation. Mike also regularly advises investment firms with respect to compliance with the federal securities and commodities laws.
Mike is a former assistant U.S. attorney from the Eastern District of New York, where he served as deputy chief of the Business and Securities Fraud Section. During his tenure, the office prosecuted numerous complex and high profile securities fraud, mail fraud, wire fraud, bribery and money laundering cases.
Earlier in his career, Mike served as branch chief in the SEC’s New York office, supervising staff attorneys as they worked on regulatory investigations and enforcement actions. While he was at the SEC, he was appointed as a special assistant U.S. attorney in the Southern District of New York.
Chambers USA has described Mike as “an extraordinarily smart lawyer doing fantastic work and providing practical solutions” for his clients. He regularly counsels companies and individuals in matters involving:
- Insider trading
- Market manipulation and disruptive trading
- Accounting irregularities and public company disclosure issues
- Investment advisor and broker/dealer regulation
- Conflicts of interest and breaches of fiduciary duty
- Anti-bribery and Foreign Corrupt Practices Act (FCPA)
- Complex commercial litigation.
11:25 am - 11:40 am
Networking break
11:50 am - 12:40 pm
Breakout Sessions:
Select one
Track: COMPLIANCE
CFTC rulemaking and regulatory relief: Practical implications for fund managers
- Operationalizing CFTC exemptions in day‑to‑day compliance
- Using no‑action relief without creating new risk
- Governance, escalation, and durability of relief: How firms are deciding when internal interpretation is sufficient versus when to involve outside counsel
CFTC rulemaking and regulatory relief: Practical implications for fund managers
Speakers
Jill Arnold
,
General Counsel
,
Massar Capital Management
Ben Freeman
,
General Counsel
,
Aperture Investors
Ben is the General Counsel of Aperture Investors, an alternative asset manager investing in various equity and credit strategies with offices in New York, London, and Paris. Prior to joining Aperture, he was Associate General Counsel at Corbin Capital Partners, an alternative asset management firm that specializes in multi-strategy hedge fund and opportunistic credit investing. Before his time at Corbin, Ben was an Associate in the investment management group at Debevoise & Plimpton. He earned a J.D. from Harvard Law School and a B.A. (cum laude) in Political Science and Hispanic Studies from Columbia University. He also holds the Chartered Alternative Investment Analyst (CAIA) designation.
Moderated by
Christopher Avellaneda
,
Partner
,
McDermott Will & Schulte
Advises private fund managers on regulatory and compliance matters with a particular focus on the Investment Advisers
Act of 1940.
Chris works with clients on a variety of regulatory matters, including SEC investment adviser registration, operating
effective compliance programs, managing conflicts of interest, assessing cross-border applications of US regulatory
requirements, review of marketing materials, compliance with trading-related laws and handling the regulatory
implications of management company restructurings and transactions. He also regularly leads training sessions for clients, including on topics such as marketing private funds, SEC rule proposals and trading-related matters.
Chris works closely with clients undergoing SEC examinations and responding to deficiency letters and enforcement
referrals. He also leads compliance testing and review projects with private fund managers to identify material risks and
evaluate the measures in place to address those risks. He has advised private fund managers on regulatory issues relating to blockchain technology and digital assets his entire career and actively practices in that space.
Chris actively participates in industry-related initiatives and events, and is a member of the Private Funds Subcommittee
of the Federal Regulation of Securities Committee of the Business Law Section of the American Bar Association.
He is a member of the firm’s Diversity, Equity and Inclusion Committee and the Latin Affinity Group.
Track: PRIVATE CREDIT
Democratization & 401(k): Building the compliance and operational foundation to expand access
- Expanding access vs. fiduciary responsibility
- Product design, disclosures, and operational readiness
- Regulatory uncertainty and exam focus
- Education and guardrails: suitability frameworks, default pathways, and retirement-focused share classes
Democratization & 401(k): Building the compliance and operational foundation to expand access
Speakers
Matthew Bogart
,
General Counsel
,
AB CarVal
Mr. Bogart is a principal and the general counsel for AB CarVal. He is a member of the Executive Committee and oversees all of AB CarVal’s legal matters across the globe. Prior to joining AB CarVal in 2007, Mr. Bogart was a partner at Faegre & Benson in Minneapolis where he practiced for 16 years, specializing in real estate, finance and joint venture law. He received his J.D. from the University of Iowa College of Law, graduating with highest honors, and his B.S. degree in marketing and accounting from the University of Colorado.
AB CarVal is an established global alternative investment fund manager and part of AllianceBernstein’s Private Alternatives business. Since 1987, AB CarVal’s experienced team has navigated through ever-changing credit market cycles, opportunistically investing $152 billion in 5,810 transactions across 82 countries. Today, AB CarVal has approximately $20 billion in assets under management in in corporate securities, loan portfolios, structured credit and hard assets.
Additional Speakers To Be Announced
Moderated by
Speaker To Be Announced
Track: AI & TECH
The modern legal and compliance tech stack: AI use cases that deliver
- High‑impact AI use cases that deliver for legal and compliance functions
- Emerging capabilities, build‑vs‑buy considerations, and how teams can future‑proof their stack while meeting regulatory and governance expectations
- Vendor landscape overview: evaluating the solutions driving the most impact
The modern legal and compliance tech stack: AI use cases that deliver
Speakers
Sarah Curran
,
Managing Director, Global Head of Compliance
,
Wellington Management Company
Sarah Curran serves as global head of compliance for Wellington Management. In this role, she is responsible for overseeing the global compliance function. She leads a team responsible for providing advice and challenge relating to the pragmatic management of regulatory risk across the Americas, EMEA and APAC regions. She also serves as the head of private investments compliance. In this capacity she leads a team responsible for the design, implementation, and maintenance of controls to manage regulatory risk associated with the firm’s private investments business.
Prior to joining Wellington Management in 2021, Sarah co-led the private funds regulatory consulting practice at Promontory Financial Group, a subsidiary of IBM (2019 – 2021). Prior to that, she spent over 13 years at the U.S. Securities and Exchange Commission (SEC). Based in New York, she held a number of roles in the SEC’s Division of Examinations including within the Private Funds Unit, the Office of Clearance & Settlement, and the BDX Program.
Abby Greenberger
,
Deputy Chief Compliance Officer and Counsel
,
Bridgewater Associates
Abby Greenberger joined Bridgewater in 2014 and is currently the Deputy Chief Compliance Officer & Counsel for Bridgewater Associates, LP and has been a part of Bridgewater’s Legal and Regulatory Group throughout her tenure. Prior to joining Bridgewater, Abby was a Senior Vice President & Regulatory Counsel in the Compliance department at D. E. Shaw & Co., L.P. Before that, Abby was a Vice President in the Law Division at Morgan Stanley & Co. Incorporated, and she began her career as an Associate at the law firm of Davis, Polk & Wardwell. She received her JD from University of Pennsylvania Law School in 1999 and graduated from Duke University in 1996.
Richard Walz
,
General Counsel
,
Element Capital Management
Mr. Walz joined Element Capital in October 2011. His responsibilities include managing all legal, compliance and regulatory matters for Element Capital. From October 2011 through February 2021, Mr. Walz was also Chief Compliance Officer of Element Capital. Prior to joining Element Capital, Mr. Walz was General Counsel and Chief Compliance Officer at Moon Capital Management LP, since May 2007. Prior to May 2007, Mr. Walz practiced law at Bingham McCutchen LLP, Bryan Cave LLP and Emmet, Marvin and Martin LLP. Mr. Walz holds a J.D. from Tulane Law School and a B.A. in Sociology from St. Joseph’s College. He was admitted to practice law in New York in 1998 and Connecticut in 1997.
Moderated by
Charu A. Chandrasekhar
,
Litigation Partner
,
Debevoise & Plimpton
Charu A. Chandrasekhar is a litigation partner at Debevoise & Plimpton LLP and a member of the firm’s White Collar & Regulatory Defense and Data Strategy & Security Groups. Ms. Chandrasekhar has significant experience representing global financial institutions, private equity firms, hedge funds, broker-dealers, public companies, and audit and accounting firms before the SEC, FINRA, and PCAOB in a broad range of matters involving allegations of securities fraud, investment adviser and broker-dealer regulations, accounting and corporate disclosure issues, cybersecurity, and whistleblowers. She also has substantial advisory experience on artificial intelligence and cybersecurity regulatory compliance and governance. Ms. Chandrasekhar is ranked as a leading lawyer for securities enforcement by Chambers USA (2025), where clients say “Charu is a very strong advisor. She understands the technical aspects of this space and is a great person to work with” and “is extremely responsive and very smart.” She is also recognized on Securities Docket’s 2025 Enforcement Elite, a list of “the best securities enforcement defense lawyers in the business.” Ms. Chandrasekhar also holds a leadership role in developing Debevoise’s Suite of Tools for Assessing AI Risk (“STAAR”), a groundbreaking client AI platform that won the 2025 Financial Times Innovative Lawyers North America Awards in the “Innovation in New Legal Products” category and was recently profiled by Legaltech News.
Prior to joining the firm, Ms. Chandrasekhar served as an Assistant Regional Director in the SEC’s Division of Enforcement and as the Chief of the Division’s Retail Strategy Task Force. Ms. Chandrasekhar also served as a Senior Advisor and Senior Counsel in the Division of Enforcement’s Market Abuse Unit.
During her eight years at the SEC, Ms. Chandrasekhar successfully investigated and brought numerous high-profile enforcement cases involving insider trading; antifraud and regulatory violations by trading venues; investment advisers; cybersecurity and digital assets; and market manipulation. Her notable matters included the Commission’s largest settlement against a dark pool; one of the Commission’s largest stock exchange settlements, which involved the Commission’s first-ever charge under Regulation SCI; charges against an underwriter in connection with one of the largest offering frauds involving an American listed international issuer; and multiple insider trading cases with parallel criminal matters. In her service at the SEC in two national enforcement groups, Ms. Chandrasekhar routinely coordinated matters with senior SEC enforcement officials; enforcement and examinations staff from the SEC’s Home Office and regional offices; and parallel matters with the United States Department of Justice, the New York Attorney General’s Office, FINRA and other domestic and international securities regulators. Ms. Chandrasekhar received the Chairman’s Award for Main Street Investors and several Enforcement Division Director’s Awards for her successful enforcement matters.
Prior to joining government, Ms. Chandrasekhar was a counsel at a major international law firm and clerked for the Honorable Sonia Sotomayor when Justice Sotomayor sat on the U.S. Court of Appeals for the Second Circuit.
Ms. Chandrasekhar received her J.D. cum laude from Harvard Law School, where she was the editor-in-chief of the Harvard Civil Liberties-Civil Rights Law Review, and her B.A. cum laude from Yale University.
Track: EMPLOYMENT LAW
Managing employment law risk in a changing regulatory environment
- Compensation & transparency: pay reporting, salary transparency regimes, and non-competes
- Restrictive covenants and mobility: navigating proposed bans/limitations and practical approaches to protect IP and client relationships
- AI in HR: risk mitigation for recruiting, compensation, and performance evaluation tools—governance, validation, and documentation
Managing employment law risk in a changing regulatory environment
Speakers
Laura (Mothersele) Greenwood
,
Director of Legal, Corporate
,
Schonfeld Strategic Advisors
Laura is a Director of Legal, Corporate at Schonfeld Strategic Advisors, a global multi-strategy, multi-manager hedge fund employing systematic, fundamental equity, macro/fixed income and tactical investment strategies in the Americas, Europe, and APAC. Laura leads a team that is responsible for corporate legal work supporting the day-to-day operations of Schonfeld and its affiliated family office. Prior to joining Schonfeld in 2019, she worked at BlackRock, where she was a Vice President in the Legal Department. Before BlackRock, Laura was Chief Compliance Officer and Vice President – Legal at Lightyear Capital. Previously, she was an Associate in the Investment Management group at Seward & Kissel. She earned a J.D. from Boston University School of Law, where she was an Editor of the International Law Journal, and a B.A. in English and Psychology from Emory University.
Jamie Houghtlin
,
General Counsel
,
Whale Rock Capital Management
Jamie is the General Counsel at Whale Rock Capital Management LLC. Jamie joined Whale Rock in 2017. Jamie has over 23 years of legal and compliance experience working in the financial services industry. Prior to joining Whale Rock, Jamie was a Vice President with responsibility for equity capital markets compliance at Wellington Management in Boston. Jamie previously held senior compliance and legal roles at Bain Capital, Lehman Brothers and JP Morgan. Jamie currently serves on the board of CSforMA, Inc. Jamie received a JD from Fordham University School of Law and a BA from Middlebury College.
Simon Raykher
,
General Counsel
,
Kepos Capital
Simon Raykher is the General Counsel and Chief Compliance Officer of Kepos Capital, a systematic investment management firm. Prior to joining Kepos in 2013, Simon served as General Counsel and Chief Compliance Officer of Lombard Odier Asset Management (USA) Corp, the US asset management subsidiary of one of the oldest and largest private banks in Switzerland. For the previous seven years, he was General Counsel, Chief Compliance Officer and Principal of Satellite Asset Management, L.P., a multi-strategy investment manager, based in New York and London. Prior to Satellite, Simon was an attorney with the law firm of Schulte Roth & Zabel LLP. Earlier in his career, he was a prosecutor with the Investigation Division of the New York County District Attorney’s office, where he conducted tax fraud and money laundering investigations. Simon started his career as an auditor with Coopers & Lybrand. Simon is an Adjunct Professor at Fordham University School of Law. Simon earned a B.B.A. and an M.B.A. in Accounting from Pace University and a J.D. from Fordham University School of Law.
Moderated by
Speaker To Be Announced
Track: INSIDER TRADING
Insider trading & MNPI in 2026: Enforcement risk, governance & CCO accountability
- SEC enforcement trends and exam priorities across public and private markets
- CCO oversight, documentation, and escalation expectations
- MNPI risks in private credit, secondaries, and complex transactions
- Surveillance, AI tools, and global regulatory coordination
Insider trading & MNPI in 2026: Enforcement risk, governance & CCO accountability
Speakers
Michael Barry
,
General Counsel and Chief Compliance Officer
,
Samlyn Capital
Vanessa De Simone
,
General Counsel & Chief Compliance Officer
,
Avantyr Capital Partners
Vanessa is currently the General Counsel and Chief Compliance Office at Avantyr Capital Partners, LP, a newly launched private fund manager focused on long-short public equity strategies. Prior to joining Avantyr in March 2025, Vanessa spent three years as the Chief Compliance Officer and Deputy General Counsel of Coatue Management, LLC. Prior to joining Coatue, Vanessa served as an Assistant Regional Director in the New York Regional Office of the U.S. Securities and Exchange Commission, where she oversaw enforcement investigations into a wide range of potential securities law violations, including insider trading, accounting fraud, and violations of the Advisers Act. Prior to the SEC, Vanessa was an associate in the litigation department of Debevoise & Plimpton LLP. Vanessa graduated from Stanford University with a BA in Political Science and Art History in 1998 and received a JD from New York University School of Law in 2004.
David Friedman
,
General Counsel and Chief Compliance Officer
,
Paloma Partners
David Friedman is a Managing Director at Paloma Partners Management Company and the General Counsel and Chief Compliance Officer. Mr. Friedman is responsible for overseeing Paloma Management’s Legal and Compliance functions. He joined PPMC in 2020. Mr. Friedman was previously the Global Chief Compliance Officer at tZero Group, Inc. He has held legal and compliance positions at Blackrock, Tudor Investment Corporation, Weeden & Co., and Outpoint Capital Management. Mr. Friedman received a BA in Economics from the University of Rochester and JD and MBA degrees from Case Western University.
Lauren Howard Elbert
,
Senior Vice President and Counsel
,
The D. E. Shaw Group
Moderated by
Thomas E. Redburn, Jr.
,
Partner and Chair, Securities Litigation
,
Lowenstein Sandler
Thomas Redburn is the Chair of the firm’s Securities Litigation practice and has extensive experience representing clients in a wide range of commercial disputes involving securities and complex financial transactions. Tom’s practice is focused on representing clients as plaintiffs and defendants in litigation arising under the Securities Act of 1933 and the Securities Exchange Act of 1934, securities fraud opt-out cases, fiduciary duty and derivative actions, state blue sky laws, shareholder activism, debtholder disputes, structured finance, disputes arising from mergers and acquisitions, and other complex actions.
He has obtained significant victories and recoveries, including representing institutional investors in federal securities law actions arising from disclosures at Marrone Bio Innovations Inc., American Realty Capital Properties Inc. (n/k/a VEREIT Inc.), Barrick Gold Corporation, and Ocwen Financial Corporation. Tom is currently representing a multi-billion-dollar hedge fund in a securities fraud litigation against the Boeing Company and recently represented a high-net-worth financial institution in a shareholder derivative suit on behalf of shareholders of TerraForm Power Inc. He represents Appaloosa Management in several highly contested structured finance matters and successfully argued before the United States Court of Appeals for the Second Circuit in appeals relating to those matters. Tom applied his keen analytical skills to successfully argue in the First Department of New York’s Appellate Division on behalf of holders of bonds issued by Global A&T Electronics (GATE), obtaining reinstatement of the bondholders’ claims that the company breached its agreement with creditors. Tom also regularly represents bondholders in complex adversary proceedings in bankruptcy court including the Wesco Aircraft Holdings, Inc. (Incora) bondholder trial in the United States Bankruptcy Court for the Southern District of Texas that spanned over six months.
Tom regularly litigates (and has extensive trial experience) in federal and state courts in New York, New Jersey, Delaware, California, Florida, Illinois, Minnesota, the District of Columbia, Texas, and other jurisdictions all over the United States.
In addition to his trial practice, Tom regularly counsels boards and executives on litigation risks and related compliance issues.
Tom maintains an active pro bono practice (including a recent trial in federal court challenging Florida’s restrictions on medical care for transgender persons) and sits on the board of North Star Academy Charter School of Newark.
12:40 pm- 1:40 pm
Networking lunch & keynote interview
Geopolitics and risk: What does increasing geopolitical complexity mean for the alternative asset management industry?
Speakers
Speakers To Be Announced
Moderated by
Speaker To Be Announced
1:40 pm - 2:30 pm
Breakout Sessions
Select one
Track: COMPLIANCE
Marketing rule in practice: FAQ guidance, exam trends and compliance strategies
- Overview of where Marketing Rule FAQs offer guidance; guidance through areas that raise questions
- Exam trends: what examiners are consistently focusing on
- Lessons learned: practical compliance strategies that hold up in exams
Marketing rule in practice: FAQ guidance, exam trends and compliance strategies
Speakers
Steven Felsenthal
,
General Counsel and Chief Compliance Officer
,
Millburn Ridgefield
Steven M. Felsenthal. Mr. 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.
Rachel Gerwin
,
Chief Compliance Officer and Counsel
,
Viking Global Investors
Rachel Gerwin is Chief Compliance Officer and Counsel at Viking Global Investors, where she is responsible for overseeing compliance and regulatory matters. Prior to joining Viking in 2025, Rachel was Counsel in the Private Funds practice at Cleary Gottlieb Steen & Hamilton, Vice President and Senior Counsel at MFA, and Senior Vice President and Counsel at D. E. Shaw & Co. Rachel was also General Counsel and Chief Compliance Officer at Matarin Capital Management and Chalkstream Capital Group, and Deputy General Counsel at Tower Research Capital. Rachel received a J.D. from the New York University School of Law and a B.A. in political science from Yale College.
Daniel Taub
,
General Counsel & Chief Compliance Officer
,
Junto Capital Management
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.
Moderated by
Scott H. Moss
,
Partner, Chair, Fund Regulatory & Compliance; Co-Chair, Investment Management Group
,
Lowenstein Sandler
Highly respected by industry peers for his depth of regulatory knowledge, Scott Moss has counseled hundreds of investment management clients in the implementation of compliance programs, as well as in the development of plans to ensure ongoing adherence to emerging regulatory standards.
He possesses a thorough knowledge of the entire panoply of the overlapping securities and commodities laws, rules, and regulations affecting his clients. Scott is part of a team that “always understands the issues at hand, responds very quickly and is able to suggest creative solutions to issues that are often very complicated.” (The Legal 500)
Scott’s extensive experience includes representing offshore and U.S.-based funds, investment advisors, broker-dealers, commodity pool operators, and commodity trading advisors in formation and structuring, securities and commodities regulation, mergers and acquisitions, and other financial transactions.
Scott is also a prominent author and lecturer on corporate law, securities transactions, and investment management. His advisory roles include:
- Adjunct Professor at Rutgers Law School, “Hedge Funds and Investment Adviser Seminar” (2008-2017)
- Former Appointed Director of the Board of Directors for the Managed Funds Association (MFA), which represents the global alternative investment industry and its investors by advocating for regulatory, tax, and other public policies that foster efficient, transparent, and fair capital markets (2021-2023)
- Member of the Steering Committee of the Lawyers’ Advisory Forum and Conference Committee for the MFA
- IA Legal and Regulatory Subcommittee and Speaking Faculty of the National Society of Compliance Professionals
Scott continues to be recognized by Chambers USA and Chambers Global as one of America’s Leading Lawyers for Businesses for Regulatory & Compliance.
Track: PRIVATE CREDIT
Strengthening governance, underwriting and valuation practices in private credit
- Role clarity in governance: where legal/compliance/risk should (and should not) intervene in underwriting and monitoring
- Valuation scrutiny before distress hits: documentation and process rigor that withstand SEC exams, audits, and LP diligence
- Getting ahead of valuation changes: clear indicators, decision-makers and processes
Strengthening governance, underwriting and valuation practices in private credit
Speakers
Daniel Gutin
,
General Counsel and Chief Compliance Officer
,
Brinley Partners
Daniel Gutin is the General Counsel and Chief Compliance Officer of Brinley. Prior to joining the Firm in 2022, Daniel was a Managing Director and Associate General Counsel at Oak Hill Advisors, L.P., where he advised the firm and its principals on the formation and operation of its investment vehicles, regulatory compliance, investment structuring and other legal matters. Prior to that, Daniel was an associate in the private funds group at Simpson Thacher & Barlett LLP. Daniel received his Juris Doctor degree, magna cum laude, from the Georgetown University Law Center, where he was elected to the Order of the Coif, and a Bachelor of Arts degree, magna cum laude, in Political Science from the University of Pennsylvania.
Christie Oberg
,
Senior Vice President and Chief Compliance Officer, Private Alternatives
,
AllianceBernstein
Ms. Oberg is senior vice president and chief compliance officer for Private Alternatives at AllianceBernstein. She joined AB CarVal Investors in 2014 and currently oversees AB CarVal’s compliance program, along with compliance across AB’s broader private alternatives platform. Ms. Oberg was previously an attorney with WilmerHale, specializing in securities regulation. Prior to that, she served as a law clerk in the U.S. Court of Appeals for the 10th Circuit. She received her J.D. from the University of Michigan Law School, graduating with highest honors. She also holds a Master’s degree in Social Anthropology from Stockholm University and a B.A. in Theater from Oberlin College.
Additional Speakers To Be Announced
Moderated by
Kevin Neubauer
,
Partner and Co-Head of Investment Management Group
,
Seward & Kissel
Kevin Neubauer is a partner in and co-head of Seward & Kissel’s Investment Management Group. Kevin has extensive experience representing sponsors and managers of private investment funds, particularly private equity funds, private credit funds, venture capital funds and hedge funds, on the formation, structuring and offering of interests of such funds. He also has significant experience structuring domestic and offshore partnerships and other types of investment vehicles, including special purpose vehicles, co-investment vehicles, separately managed accounts and funds-of-one. Kevin frequently counsels investment advisers on fund restructurings, capital raising, and fund regulation and compliance. He joined the Firm in 2009 and in 2012 went on to serve as in-house counsel in the legal department of a large private equity firm before returning to Seward & Kissel.
In 2020, Kevin was named to Private Debt Investor’s (PDI) 2020 Rising Stars list. The list recognizes industry figures who PDI believes have the potential to shape the future of the private debt asset class. Kevin was also recently named a “Rising Star” in the Private Equity Fund practice area by the International Financial Law Review. This category recognizes young partners who work on complex private equity deals and are highly recommended by their clients and peers. In 2025, Legal 500 recognized his work in investment fund formation and management of private equity funds.
Chambers USA and Chambers Global has recognized Kevin for his work, with sources noting that he “is very practical and distills the complex legal issues for us. He is very smart and can explain things in a manner that is broken down and makes our decision-making much easier.” Recent sources have noted that “he instills confidence in every aspect of a fund-raise. He is honestly the most commercially-minded lawyer I’ve ever come across,” and that “Kevin is very pragmatic. He understands complex issues without spending too much time getting up to speed. His experience in the [private equity] industry makes matters much smoother.”
Mr. Neubauer received a B.A. from Fairfield University and a J.D. from Boston College Law School.
Track: AI & TECH
Cybersecurity, privacy, and data readiness in the AI-enabled era
- How cyber incidents create regulatory, disclosure and fiduciary risk for managers
- Assessing cyber and data-privacy risk across cloud providers, administrators, custodians and vendors
- Managing third-party risk in complex and outsourced technology stacks
- Preparing for breach scenarios: regulatory notifications, investor communications and internal coordination
Cybersecurity, privacy, and data readiness in the AI-enabled era
Speakers
Jason Gordon
,
Chief Compliance Officer
,
Cinctive Capital Management
Jason Gordon is the Chief Compliance Officer of Cinctive Capital. Jason previously served as the Chief Compliance Officer at Autonomy Capital. Prior to that he served as Chief Compliance Officer of FX Solutions and in various senior compliance roles at Prudential Global Investment Management—including Chief Compliance Officer for Prudential Private Placement Investors. He also was a Compliance Officer for Perella Weinberg Partners and National Life Group/Sentinel Investments. Jason has over twenty years of financial and regulatory compliance experience, including over fifteen years running compliance programs for investment firms. Previously in his career, Jason worked at Bear Stearns where he focused on institutional capital markets transactions. Jason earned a Juris Doctor from Baylor Law School. He also earned a Bachelor of Arts in Political Science, summa cum laude, from the American Jewish University.
Christos Nifadopoulos
,
Chief Legal Officer
,
Rokos Capital Management
Christos Nifadopoulos is the Chief Legal Officer of Rokos Capital Management (RCM). Christos is responsible for all legal, compliance, and regulatory matters for the firm globally. In addition, Christos co-leads RCM’s communication strategy and oversees the firm’s business administration, real estate, and facilities.
Since joining RCM in 2021, Christos has driven governance and regulatory alignment across the firm. In November 2024, he was appointed by the FCA to the Secondary Markets Advisory Committee (SMAC). In December 2025, he was made a Director of The Alternative Investment Management Association (AIMA) governing board, AIMA Council.
Prior to joining the firm, Christos was a Managing Director and Senior Counsel at Goldman Sachs, where he held roles including EMEA Head of Equities Legal, Head of Global Investment Research Legal, and Co-Head of Equity Derivatives Legal. Before this, he was an Associate in the Financial Regulation Department at Clifford Chance, and a Junior Research Fellow at Bristol University. Christos is also the author of “Dealing in Securities: The Law and Regulation of Sales and Trading in Europe” (Bloomsbury, 2021).
Christos holds a PGDip in Law and LPC at BPP Law School, and earned a PhD in Classics and Linguistics, and MPhil in Linguistics, from the University of Cambridge.
Mark Russo
,
General Counsel
,
ZAIS Group
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.
Matt Weinstein
,
Deputy General Counsel, Technology
,
Citadel
Matt Weinstein is Deputy General Counsel, Technology at Citadel where he drives technology legal strategy for Citadel and Citadel Securities across AI, intellectual property, data strategy, and cyber resilience. Prior to joining Citadel in 2025, Mr. Weinstein spent over twelve years at Accenture in roles of increasing responsibility, most recently as Managing Director and Global Legal Lead for its Industry X business, where he led a global team advising on go-to-market strategy and strategic M&A . Before that, Mr. Weinstein was an associate in the intellectual property practices of Winston & Strawn LLP and Dickstein Shapiro LLP, focusing on IP litigation and patent portfolio strategy. He holds a J.D. from American University Washington College of Law and a B.S. in Computer Engineering from the University of Maryland.
Moderated by
Speaker To Be Announced
Track: TOKENIZATION
Tokenization at scale: Institutional use cases & controls
- Institutional-grade tokenization: issuer onboarding, KYC/AML, secondary liquidity
- Market structure: on/off chain reconciliation, transfer agency implications, standards
- Measuring impact: settlement, capital mobility, and improved transparency
Tokenization at scale: Institutional use cases & controls
Speakers
Speakers To Be Announced
Moderated by
Moderator To Be Announced
Track: PUBLIC DISCLOSURES
Public company disclosures: Implications of the shift from quarterly to biannual reporting
- Institutional-grade tokenization: issuer onboarding, KYC/AML, secondary liquidity
- Market structure: on/off chain reconciliation, transfer agency implications, standards
- Measuring impact: settlement, capital mobility, and improved transparency
Public company disclosures: Implications of the shift from quarterly to biannual reporting
Speakers
Brian Kleinhaus
,
General Counsel and Chief Compliance Officer
,
Rubric Capital
Brian Kleinhaus is the General Counsel and Chief Compliance Officer of Rubric Capital Management, a deep-value, long short hedge fund. Brian joined Rubric in 2017 after working at Tweedy, Browne from 2014-17. Prior to that, he worked at WilmerHale and Cadwalader, and began his legal career in 2006 at Cahill Gordon & Reindel.
Brian received a J.D. from Fordham University School of Law in 2006 and graduated from SUNY Binghamton with a Bachelor of Science in Geology.
Benjamin Morof
,
Chief Legal Officer
,
Trexquant Investment
Mr. Morof joined Trexquant in 2019 as CCO & GC. He has been Chief Compliance Officer and Counsel for quant fund managers, professional traders, market makers, retail brokers and clearing firms since 2001. From 2005-2009 he also served as a publicly named executive officer (as CCO & GC) at a NASDAQ-listed mid-cap company. He received a JD from Washington University in St. Louis and a Bachelor of Arts in English Literature and Rhetoric from the University of Illinois in Champaign-Urbana.
Andrew Nathanson
,
General Counsel and Chief Compliance Officer
,
Suvretta Capital Management
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.
Jeffrey Wechselblatt
,
General Counsel
,
Lone Pine Capital
Joined LPC in 2007. Investment management associate at Schulte Roth & Zabel, LLP (2005-2007). Corporate associate at Friedman Kaplan Seiler & Adelman LLP (2000-2005). Corporate associate at Simpson Thacher & Bartlett (1998-2000). Graduated from Columbia University School of Law (1998) and Columbia University (1994).
Moderated by
Speaker To Be Announced
2:30 pm - 2:55 pm
Networking break and transition to general session
2:55 pm - 3:20 pm
Keynote interview with SEC Investment Management Director Brian Daly
Speakers
Brian Daly
,
Director, Division of Investment Management
,
U.S. Securities and Exchange Commission
Brian Daly became Director of the Division of Investment Management in July 2025. He brings decades of experience serving in prominent roles at global law firms and investment management firms while advising fund managers and sponsors on regulatory compliance.
In 2021, Mr. Daly joined Akin Gump Strauss Hauer & Feld LLP in New York as a partner in the investment management practice, where he guided investment advisers and other clients on their legal and compliance programs, policies, and procedures. He also counseled on fund and management company formation, operational and trading issues, contentious matters, and management company transactions.
Prior to Akin, Mr. Daly spent nearly a decade as a partner in the investment management group of Schulte Roth & Zabel LLP, advising investment advisers and fund managers on legal, compliance, and operational issues and matters. He also was a founding equity partner of Kepos Capital, a quantitative investment management company, while he served as chief legal and compliance officer. Among other prior positions, Mr. Daly served in general counsel and chief compliance officer positions at Millennium Partners, a Carlyle Group liquid markets fund manager, and Raptor Capital Management. He also taught legal ethics at Yale Law School and served on the board of directors of the Managed Funds Association.
Mr. Daly earned his law degree, with distinction, from Stanford Law School, where he was an associate editor on the Stanford Law Review and the editor-in-chief of the Stanford Journal of International Law. He received his bachelor’s degree, magna cum laude and Phi Beta Kappa, from Catholic University and his master’s degree from the East-West Center at the University of Hawaii.
Moderated by
Natasha Vij Greiner
,
Partner and Chair, Investment Management Practice
,
WilmerHale
Natasha Vij Greiner is chair of WilmerHale’s Investment Management practice. She brings extensive leadership and regulatory experience from her distinguished career at the US Securities and Exchange Commission (SEC) to WilmerHale’s Securities and Financial Services Department. With more than two decades at the SEC, Natasha held senior roles across four agency divisions, most recently serving as Director of the Division of Investment Management, where she led a team regulating the asset management industry and oversaw major rulemaking initiatives. She previously served as Acting Co-Director and Deputy Director of the Division of Examinations and National Associate Director of the IA/IC examination program, including the Private Funds Unit. Natasha also held positions within the Division of Enforcement—including the Asset Management Unit—where she investigated potential violations of federal securities laws and litigated cases in both federal district court and administrative proceedings.
3:20 pm –3:45 pm
Keynote interview
Speakers
Speaker To Be Announced
Moderated by
Speaker To Be Announced
3:45 pm– 4:00 pm
Networking break
4:00 pm - 4:25 pm
Examining international regulatory priorities in a shifting global order
Speakers
Speakers To Be Announced
Moderated by
Speaker To Be Announced
4:25 pm - 4:50 pm
Beyond the status quo: Redefining legal & compliance functions in evolving operating environment
- Navigating emerging risks and opportunities — AI adoption, 24/7 trading, tokenization, and prediction markets to name a few — while maintaining effective governance and control frameworks
- How legal and compliance teams can enable growth and support innovation without compromising regulatory, operational, or reputational risk standards
Speakers
Speakers To Be Announced
Moderated by
Christian B. Hennion
,
Partner, Financial Markets and Funds
,
Katten
Christian Hennion advises US and international asset managers on a variety of transactional and regulatory matters. He helps them with private fund launches and reorganizations, compliance issues under the Investment Advisers Act and Commodity Exchange Act and numerous issues before the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC).
Fund managers, registered investment advisers, commodity trading advisors and private equity firms all draw on Chris’ advice. He represents them in registrations with the SEC and CFTC. He also works closely with both SEC- and CFTC-registered clients undergoing compliance examinations and responding to inquiries from regulators and self-regulatory organizations. Negotiating with regulators over any areas of concern, he helps to reach efficient and favorable resolutions. He is also experienced in preparing offering and advisory documents for asset management firms, and knowledgeable about the SEC and CFTC regulations applicable to them.
For clients with complex institutional structures, Chris consults on how to efficiently structure US-regulated businesses while minimizing disruptions to affiliated domestic and international businesses.
4:50 pm - 5:20 pm
Midterm elections in focus: A keynote interview with David Wasserman
Speakers
David Wasserman
,
Senior Editor & Election Analyst, The Cook Political Report with Amy Walter, NBC Contributor
David Wasserman is the Senior Editor & Election Analyst for the nonpartisan newsletter, The Cook Political Report with Amy Walter, and a contributor to NBC News. Founded in 1984, The Cook Political Report with Amy Walter provides analyses of U.S. presidential, Senate, House, and gubernatorial races. The New York Times called The Cook Political Report with Amy Walter “a newsletter that both parties regard as authoritative.”
In an era of polling uncertainty, Wasserman is the rare analyst who has accurately forecast the last three presidential elections. In 2016, Wasserman drew wide praise for his accurate pre-election analysis, including his uncanny September piece entitled, “How Trump Could Win the White House While Losing the Popular Vote.” In 2020, Wasserman’s forecast of Biden’s win was correct in 49 of 50 states, missing only North Carolina. And in 2024, Wasserman correctly assessed that erosion in Democratic support among young and nonwhite voters made Trump the slight favorite to retake the White House.
Wasserman analyzes the current political environment in lively and entertaining presentations that he can tailor to his audiences’ specific interests or locales. His data-driven forecasting looks at both national and local trends (if requested, he can even do a district-by-district outlook), the relationship between consumer brand loyalty and voting, and what the future holds for American elections. He is exclusively represented by Leading Authorities speakers bureau.
Highly Praised Expertise. Legendary forecaster Nate Silver has written: “Wasserman’s knowledge of the nooks and crannies of political geography can make him seem like a local,” and the Los Angeles Times called Wasserman “whip smart” and a “scrupulously nonpartisan” analyst whose “numbers nerd-dom was foretold at a young age.” Chuck Todd, former host of NBC’s Meet the Press, has called David “pretty much the only person you need to follow on Election Night.”
Political Intelligence. Wasserman has served as an analyst for the NBC News Election Night Decision Desk since 2008 and has also appeared on Fox News, CNN, and NPR. His commentary has been cited in numerous publications including the Wall Street Journal, the Economist, POLITICO, and the Washington Post. In 2018, his groundbreaking interactive collaboration with FiveThirtyEight, the “Atlas of Redistricting,” took top prize for News Data App of the Year.
An enthusiast for data and maps, Wasserman serves as a contributing writer to the Almanac of American Politics. A frequent speaker and guest lecturer, he has shared insights into the latest political trends with audiences at Harvard’s Institute of Politics, the Dole Institute of Politics, and the University of Chicago Institute of Politics – where he was named a resident Pritzker Fellow in 2019. In 2024, David was named an Andrew Carnegie Fellow by the Carnegie Corporation of New York.
Prior to joining the The Cook Political Report with Amy Walter in 2007, Wasserman served for three years as House editor of Sabato’s Crystal Ball, a widely respected political analysis newsletter and website founded by renowned University of Virginia professor Larry Sabato. A native of New Jersey, Wasserman is a graduate of the University of Virginia, where he was awarded the 2006 Emmerich-Wright Outstanding Thesis prize.
Moderated by
Speaker To Be Announced
