MFA Legal & Compliance 2026 - Agenda

May 13, 2026
New York Athletic Club New York, NY
Register

Agenda

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
Dan Berkovitz , Vice Chairman, External and Regulatory Affairs , Millennium

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

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

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

Whitney Chatterjee , Partner & Chief Legal Officer , Apollo Global Management

Whitney Chatterjee is a Partner & Chief Legal Officer of Apollo Global Management, where she oversees and manages its legal and compliance team and serves on the Firm’s Leadership Team. Ms. Chatterjee became Chief Legal Officer in January 2024 and previously served as General Counsel of Apollo Global Management. Prior to joining Apollo in 2023, Whitney spent over 20 years at Sullivan & Cromwell LLP where she most recently served as a Partner in the Financial Services Group and Head of the Investment Management practice. She has extensive experience counseling investment managers to public and private funds, independent directors and trustees, fund sponsors, private investment funds and financial services companies on a wide variety of matters, including transactional, fund formation, regulatory, compliance and corporate governance.

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.

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 - 10:30 am

Keynote fireside chat with SEC Examinations and Enforcement

Speaker
Keith Cassidy , Director, Division of Examinations , U.S. Securities and Exchange Commission

Keith Cassidy is the Director of the Division of Examinations as well as the Commission’s senior staff representative to the Financial Banking Information Infrastructure Committee, the Cyber Incident Response Council and the G7 Cyber Experts Group. He also serves as the Commission’s Federal Senior Intelligence Coordinator. 

Before joining the Division of Examinations, Mr. Cassidy was the Director of the SEC’s Office of Legislative and Intergovernmental Affairs, where he worked directly for three separate Chairs. Before coming to the Commission in 2010, Mr. Cassidy was Chief of Staff and Counsel at the Department of Justice’s Office of Legislative Affairs. Prior to his time at the Department of Justice, Mr. Cassidy worked as an attorney in the United States Senate.

Mr. Cassidy received his law degree from the George Washington University Law School and his LL.M. in Securities and Financial Regulation from Georgetown Law Center. He holds a bachelor’s degree in History from the University of Virginia and is a Certified Information Systems Security Professional (CISSP).

Mr. Cassidy also is an Infantry Officer in the U.S. Marine Corps Reserve, where he serves as the Commanding Officer of 4th Reconnaissance Battalion.

David Morrell , Deputy Director, Northeast, Division of Enforcement , U.S. Securities and Exchange Commission

David Morrell is the Deputy Director (Northeast) of the Division of Enforcement of the U.S. Securities and Exchange Commission. Prior to joining the SEC, David was a partner at a global law firm where he represented clients in regulatory litigation and government investigations. Earlier in his career, David served as Deputy Assistant Attorney General in the Civil Division of the U.S. Department of Justice, where he oversaw the offices responsible for defending the government in challenges to Executive Branch regulations and for enforcing federal consumer protection laws.  Prior to that, David served in the White House as Special Assistant and Associate Counsel to the President, where he advised senior administration officials on a broad range of regulatory and legal policy issues.  David clerked for U.S. Supreme Court Justice Clarence Thomas and Judge Edith Jones on the Fifth Circuit.  He is a graduate of Yale Law School and Hillsdale College.

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.

10:30 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
Matthew Hatton-Poole , Managing Director and Head of Investment Adviser Compliance (Enterprise) , Ares Management

Mr. Hatton-Poole is a Managing Director and Head of Investment Adviser Compliance (Enterprise) in the Ares Legal and Compliance Group. Prior to joining Ares in 2024, Mr. Hatton-Poole was a Senior Vice President in the Legal & Compliance Group at the D. E. Shaw Group, where he focused on various aspects of the investment adviser compliance program, such as regulatory reporting, surveillance, data privacy and cybersecurity. Previously, Mr. Hatton-Poole was an Analyst at PricewaterhouseCoopers, where he focused on transaction advisory and corporate strategic advisory. Mr. Hatton-Poole holds a B.B.S. from Massey University in Finance and Information Systems. Mr. Hatton-Poole holds a Certified Regulatory and Compliance Professional (CRCP) designation from the FINRA Institute at Wharton.

Rich Itri , Chief Innovation Officer , ECI

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

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.

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 - 11:30 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
Rick Heaslip , General Counsel and Chief Regulatory Officer , Kalshi

Rick Heaslip, Esq. serves as Kalshi Inc.’s General Counsel and Chief Regulatory Officer. Rick has oversight over all legal matters at Kalshi, including litigation, commercial deals, and regulatory affairs. Prior to joining Kalshi, Rick practiced law at Weil, Gotshal & Manges, LLP and at Duane Morris, LLP. In addition to his legal expertise, Rick has a deep understanding of trading and market dynamics, with years of experience in event contract trading and as a professional poker player. Rick is a 2008 graduate of the University of Pennsylvania and a 2014 graduate of Harvard Law School.

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.

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.

11:30 am - 11:55 am

Networking break

11:55 am - 12:45 pm

Breakout Sessions:
Select one

Track: PRIVATE CREDIT 
Democratization & retail alternatives: Building the next generation of assets
  • 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
Speakers
Matthew Bogart , Principal and General Counsel , AB CarVal

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

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

Pete Driscoll , Partner , PwC
Brent Duddie , General Counsel , Coatue

Brent Duddie is General Counsel at Coatue. Prior to joining Coatue, he worked at Gunderson Dettmer Stough Villeneuve Franklin & Hachigian LLP and Davis Polk & Wardwell LLP. He earned a J.D. from Harvard Law School and a B.S. from the University of Southern California.

David Zeiden , Chief Legal Officer , Rithm Capital

David Zeiden is Chief Legal Officer of Rithm Capital Corp, Prior to joining Rithm in 2024, Mr. Zeiden held various senior legal, compliance and operational leadership roles across Rithm’s subsidiary, Sculptor Capital Management, including Chief Compliance Officer and Chief Regulatory Counsel as well as General Counsel and Chief Operating Officer for Sculptor Capital’s Asia business. Prior to joining Sculptor Capital in 2007, Mr. Zeiden spent nearly a decade in private practice in the Corporate Departments at law firms Paul Weiss and Debevoise & Plimpton.  Mr. Zeiden holds a Bachelor of Arts from the University of Wisconsin-Madison and a Juris Doctor from the UCLA School of Law.

Moderated by
Gregory Rowland , Partner , Davis Polk

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

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

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

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
Speakers
Jill Arnold , General Counsel , Massar Capital Management

Jill Arnold is the General Counsel of Massar Capital Management, LP.  Prior to joining Massar in 2022, Jill was the Chief Compliance Officer and Associate General Counsel at A.R.T. Advisors, LLC.  Prior to that, Jill was General Counsel, Vice President and Secretary at Astenbeck Capital Management LLC.  Jill has also worked as an independent legal consultant and as a Vice President at Morgan Stanley, and began her career as an Associate at Schulte Roth & Zabel LLP.  She received her JD from Columbia Law School in 2000 and graduated from Duke University in 1997.

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.

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

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

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

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: 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
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 & 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.

Patrick Vergara , Chief Operating Officer , Norm Ai

Patrick Vergara is the Chief Operating Officer of Norm Ai. He is responsible for scaling the company’s operations, execution, and go-to-market strategy.

Patrick was previously co-founder and Head of Product at Alkymi, where he led the development of AI-driven automation platforms adopted by Fortune 100 firms, financial services firms, asset managers, and technology platform providers including T. Rowe Price, Northwestern Mutual, Interactive Brokers, Alliance Bernstein, Dun & Bradstreet, S&P Global and SimCorp. His work focused on transforming unstructured data into structured, decision-ready outputs for complex enterprise workflows.

Earlier, Patrick was part of the founding team at Say Technologies, which was acquired by Robinhood, contributing to products that advanced transparency and engagement in financial markets.

He began his career as an attorney at Simpson Thacher & Bartlett LLP, advising on sophisticated legal and financial matters. His background in law informs his approach to building AI systems that operate reliably within regulatory frameworks.

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
Speakers
Shawn Butte , Senior Employment Counsel , The Voleon Group

Throughout his career, Shawn has served as a strategic adviser to corporations and emerging companies in a variety of industries, including technology, financial services, life sciences, hospitality, and e-commerce. His experience includes cross-border employment matters, internal investigations and state and federal court litigation involving restrictive covenants, employee raiding and misappropriation of trade secrets. As a counselor, Shawn has advised on employment and equity matters in connection with corporate transactions, including mergers, acquisitions, and divestitures. Shawn is also a Certified Information Privacy Professional (CIPP/US) and has experience helping companies navigate domestic and international privacy issues.

Shawn is currently Senior Employment Counsel at The Voleon Group, a multibillion-dollar hedge fund that applies machine learning techniques to real-world problems in finance. Previously, Shawn was the Head of Legal at Wish, a global e-commerce platform.

Prior to going in-house, Shawn was an employment law associate in the New York offices of Orrick, Herrington & Sutcliffe LLP and BakerHostetler LLP.

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
Eric S. Wagner , Partner and Chair, Private Funds & Investment Management , Kleinberg, Kaplan, Wolff & Cohen, P.C.
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
Speakers
Michael Barry , General Counsel and Chief Compliance Officer , Samlyn Capital

Michael is the General Counsel & Chief Compliance Officer at Samlyn Capital, LLC where he is responsible for all legal and compliance operations of a global equity hedge fund management firm. Prior to joining Samlyn Capital in 2009, Michael was a partner at Mintz Levin Cohn Ferris Glovsky and Popeo, P.C. in New York City from 2006 through 2009, and a corporate associate from 2000. Prior thereto, he was an associate at Skadden, Arps, Slate, Meagher and Flom LLP in New York City. Michael began his career as an associate at Whitman, Breed, Abbott & Morgan in New York City.

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 the General Counsel and Chief Compliance Officer of Paloma Partners Management Company.  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.

12:45 pm- 1:40 pm

Networking lunch & keynote interview

Geopolitics and risk: What does increasing geopolitical complexity mean for the alternative asset management industry?

  • Middle East flashpoints and market infrastructure risk
  • Sanctions, sovereignty, and sudden red lines
  • Geopolitical conflict spilling into cyber, data, and financial systems
Speakers
Afshin Molavi , Senior Fellow , Foreign Institute of the Johns Hopkins University School of Advanced International Studies

Afshin Molavi is a senior fellow at the Foreign Policy Institute of the Johns Hopkins University School of Advanced International Studies (SAIS) in Washington DC, where he writes broadly on global geopolitics, the geo-economic ties that bind nations and societies, and key trends shaping our future. He has taught graduate level courses at SAIS, leads senior-level executive education courses for U.S government officials, and regularly serves as a keynote speaker or moderator at major international conferences.

Over a career spanning nearly thirty years, Molavi has worked as a journalist, geopolitical risk analyst, think tank fellow, professor, executive education leader, syndicated columnist, documentary filmmaker, and advisor to companies and governments worldwide. He has lived in and worked and traveled to dozens of countries across Asia, Europe, the Middle East, and Africa.

Over the years, Molavi’s articles and essays on a wide range of global topics have been published in both major publications and academic journals, including Bloomberg, the Washington Post, Businessweek, Reuters, Financial Times, The Economist, The Journal of Commerce, National Geographic, Smithsonian, The SAIS Review, Columbia Journal of International Affairs, and more. He has been a commentator in media outlets ranging from the BBC and CNN to multiple international media outlets.

Molavi has worked as a staff member or fellow at the following institutions over his career: Johns Hopkins SAIS (Current); The Hoover Institution of Stanford University; The Woodrow Wilson International Center for Scholars; Oxford Analytica; emerge85 Lab; The New America Foundation; The World Bank – International Finance Corporation; Reuters.

Today, Molavi spends his work time engaged in his academic/policy post at Johns Hopkins SAIS, a convener and moderator of seminars for senior US officials and international diplomats, public speaking engagements, editor and founder of the Emerging World newsletter and contributing writer for Forbes.

Molavi brings a unique blend of experience across journalism, strategic advisory, international development, and think tanks. He served as a senior global advisor at Oxford Analytica, where he led macro-risk analysis on four major nodes of global systemic risk: China, the United States, the European Union, and global energy markets. He has also held senior roles at the New America Foundation and directed the World Economy Roundtable, where he convened global economic dialogues with a special focus on Asia-Pacific growth and the Middle East-Asia economic corridor. He has also been honored as a Young Global Leader by the World Economic Forum in Davos.

He lives in Washington, DC, with his wife and two children. When he’s not tracking macro trends or writing dispatches, he’s on the tennis court or basketball court, or flipping through vintage newspapers and magazines.

Moderated by​
Darren J. Check , Partner , Kessler Topaz Meltzer & Check

Darren J. Check, a Partner of the Firm, leads Kessler Topaz’s portfolio monitoring and claims filing platform, SecuritiesTracker™, and works in close coordination with the Firm’s litigators and new matter development team. He advises institutional investors worldwide on the design and implementation of systems to identify, evaluate, and optimize recoveries arising from shareholder litigation.

Mr. Check also counsels clients on strategic participation in shareholder litigation, arbitration, and other avenues of loss recovery, encompassing both U.S. proceedings and matters across an expanding range of international jurisdictions. In an increasingly complex investment and regulatory landscape, he provides guidance across a broad spectrum of matters, including class actions, direct actions (opt-outs), non-U.S. opt-in proceedings, fiduciary claims, appraisal actions, and arbitrations. Over more than two decades, he has established himself as a trusted advisor to hedge funds, mutual fund complexes, asset managers, insurance companies, sovereign wealth funds, central banks, and pension funds across North America, Europe, Asia, Australia, and the Middle East.

Mr. Check is a frequent speaker on shareholder litigation, corporate governance, investor activism, and the recovery of investment losses at leading conferences worldwide. He has been involved in a number of landmark matters, including the precedent-setting Shell and Fortis settlements in the Netherlands, the Olympus shareholder litigation in Japan, direct actions against Petrobras and Merck, and significant securities class actions involving Bank of America, Lehman Brothers, Royal Bank of Scotland, and Hewlett-Packard. He currently represents investors in high-profile matters pending in the United States, the Netherlands, Germany, France, Japan, and Australia.

Mr. Check received his J.D. from Temple University School of Law and his undergraduate degree from Franklin & Marshall College. He is admitted to practice in multiple state and federal courts throughout the United States.

1:40 pm - 2:30 pm

Breakout Sessions
Select one

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
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.

Jeff Himstreet , Vice President and Senior Counsel, Regulatory Affairs , MFA

Jeff Himstreet is Vice President and Senior Counsel with the MFA’s Global Regulatory Affairs team.

In this position, he analyzes and helps shape regulatory and legislative initiatives affecting the private funds industry.

Prior to joining the MFA, Jeff was a senior member of the PGIM (Prudential) Fixed Income law team, where he advised on a wide range of investment advisory, private fund, and derivatives matters.  Prior to joining PGIM, he was a partner with Bingham McCutchen, where he advised investment advisers, private funds, investment companies, and broker-dealers on asset management and regulatory issues. He has also worked in-house as the chief managed product support for a dually-registered firm and as the chief legal officer for the wealth management division of a regional bank.  Before this, he was an attorney with the SEC’s Division of Investment Management.

Jeff received his J.D. from the Willamette University College of Law and his LL.M. (with honors) from the Georgetown University Law Center.

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.

Amberly Treibert , Managing Director, Deputy Chief Compliance Officer , Oak Hill Advisors
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: 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
Speakers
Steven Felsenthal , Partner, Principal, General Counsel and Chief Compliance Officer , Millburn Ridgefield Corporation

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

 

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.

Terrance O’Malley , Senior Executive , Kensico Capital Management

Terrance J. O’Malley has over 25 years of experience in the private fund industry focusing on executive functions, organizational structures, law and compliance. He assists managers and clients resolve complex middle- and back-office issues. He has also served on several industry working groups and committees, including on the steering committee of the MFA’s Chief Operating Officer Forum. As a leading practitioner, Terrance is a frequent speaker at industry conferences and a contributor to top publications on industry trends and best practices. He co-authored two influential books, The Insider’s Guide to Hedge Funds: Successfully Managing the Middle and Back Office (2018) and the Investment Adviser’s Legal and Compliance Guide (2004 – 2025). He previously served as Chief Administrative Officer, General Counsel and Chief Compliance Officer at Blue Ridge Capital and currently serves in an executive capacity at Kensico Capital Management. He also sits on the global board of Help For Children.

Daniel Taub , General Counsel and 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: 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
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.

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
Nicole Friedlander , Partner , Sullivan & Cromwell

Nicole Friedlander is a partner in Sullivan & Cromwell’s Criminal Defense and Investigations Group and Co-Head of both its National Security and Cybersecurity Practices. Ms. Friedlander represents clients in complex internal investigations, regulatory enforcement proceedings and criminal matters involving every aspect of white-collar crime, including fraud, bribery, theft of trade secrets, money laundering and health care matters. Ms. Friedlander also advises major corporations and Boards of Directors in cybersecurity matters. Ms. Friedlander has been ranked by Chambers USA for White-Collar Crime & Government Investigations, where sources praised her “impress[ive] facility and judgment,” her ability to “quietly command the room with her skilled preparation,” and her standout trial skills (“She is so good in court.”).

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
Speakers
Kimberly Johns , Global Head of Digital Assets Legal, Managing Director & Senior Counsel , Goldman Sachs

Kimberly Johns is a Managing Director and Senior Counsel in the Legal Division of Goldman Sachs where she is the Global Head of Digital Assets Legal.   Previously, she advised the Derivatives Clearing Services and Prime Clearing businesses.  Prior to joining Goldman Sachs, Kim was a litigation associate at Sidley Austin LLP and served as chief administrative law clerk to The Honorable Peter Paul Olszewski, Superior Court of Pennsylvania.  In addition to other leadership roles, Kim served for five years as President of the FIA Law and Compliance Division.  Kim earned a BA in International Studies from Johns Hopkins University and a JD summa cum laude from St. John’s University School of Law.

Christian Sabella , Managing Director and Deputy General Counsel , Depository Trust and Clearing Corporation
Moderated by
Daniel Spies , Partner , Sidley

Dan Spies is the head of Sidley’s New York Investment Funds practice. He has more than 20 years of experience focusing on private investment funds and their investment advisers in connection with formation, corporate, regulatory, and compliance matters. Dan regularly advises clients on the formation and operation of private equity and credit funds, hedge funds, digital assets funds, hybrid funds, commodity pools, funds of funds, managed accounts, and single investor funds. Dan represents private fund sponsors in all aspects of their business, in the U.S. and abroad, counseling both well-known sponsors and emerging managers focused across sectors. He also assists his clients with the formation and operation of their management entities, including compliance with the Investment Advisers Act.

Track: PUBLIC DISCLOSURES
Public company disclosures: Implications of the shift from quarterly to biannual reporting
  • Policy and regulatory considerations driving the debate over reducing quarterly reporting requirements
  • Implications for disclosure practices and governance, including changes to controls, oversight, and board engagement
  • Shifts in investor expectations and market transparency under a biannual reporting framework
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
Joseph Schwartz , Vice President and Senior Counsel, Regulatory Affairs , MFA

Joseph Schwartz is MFA’s Vice President & Senior Counsel, Regulatory Affairs.

In his position, Joseph advocates on and shapes legislative, regulatory, and administrative policies affecting the alternative investment industry, including, principally, U.S. federal, state and local and non-U.S. tax policy.

Prior to joining MFA, Joseph was a Senior Associate in the Tax practice of a “Big 4” public accounting firm, where he advised clients on tax planning, compliance, and controversy, including multistate taxation.

Joseph received his B.A. from The University of Texas at Austin and his J.D. and LL.M. in Taxation, magna cum laude, from The University of Alabama School of Law. Joseph is a member of the Georgia and D.C. bars.

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​
Joshua A. Lichtenstein , Partner , Ropes & Gray

Josh Lichtenstein is an ERISA and benefits partner in New York who heads the firm’s ERISA fiduciary practice and co-leads the firm’s collective investment trust (CIT) practice. Josh focuses on finding creative and practical solutions to issues involving the investment of plan assets in a constantly evolving asset management landscape. He advises banks, asset managers, private wealth platforms, large pension plans and other institutions on the ERISA issues that have emerged or found prominence in recent years, including:

  • the DOL’s evolving fiduciary standards and definitions
  • developing new products to provide 401(k) and retail investors with exposure to private equity and alternative investments, including design and operation of collective investment trusts (CITs)
  • the design and operation of collective investment trusts (CITs) designed to hold illiquid assets including private credit, private real estate, private equity and private infrastructure investments
  • the changing landscape of DOL guidance on plan investments and environmental, social and corporate governance (ESG) considerations
  • fiduciary governance best practices and litigation risks (including plan investment menu design)
  • representing and advising clients in connection with DOL examinations
  • conflicts of interest for credit funds and funds engaging in secondary transactions
  • ERISA restrictions on holding certain securities

Josh is also frequently approached by the press as an authority on these matters.

Josh partners with hedge, private equity, real estate and infrastructure funds, banks and their private wealth units to help them achieve their business objectives while operating as ERISA fiduciaries subject to the prohibited transaction rules and related exemptions, or to structure investments to comply with the Venture Capital Operating Company (VCOC) or Real Estate Operating Company (REOC) exemptions or the so-called ERISA “25% test.” Josh regularly helps clients to develop new product offerings and to implement practical compliance programs for managing plan assets. He also works with asset managers on all benefits aspects of mergers and acquisitions, executive compensation matters and qualified and nonqualified benefits plans.

3:45 pm– 4:00 pm

Networking break

4:00 pm - 4:30 pm

Examining international regulatory priorities in a shifting global order

Speakers
Jillien Flores , Chief Advocacy Officer , MFA

Jillien Flores serves as Chief Advocacy Officer at MFA.

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

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

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

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

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.   

Randy Stuzin , Partner, Chief Legal Officer , Lord Abbett

Randy Stuzin is Partner and Chief Legal Officer at Lord Abbett, where he leads the firm’s global legal and compliance functions. In addition, Randy oversees Enterprise Risk Management and serves on the firm’s Management, Operating, and Standards & Practices Committees. Randy joined Lord Abbett as  a Partner in 2023.

Prior to that, he was Partner and General Counsel at King Street Capital Management, Managing Director and General Counsel of the Investment Banking Division at Goldman Sachs, and a Vice President in the Legal Department at Lehman Brothers. He began his legal career at Cravath, Swaine & Moore.

Randy earned a B.S. in economics from Cornell University and a J.D. from New York University School of Law.

 

Moderated by​
Leonard Ng , Partner , Sidley

Leonard Ng is a member of the firm’s Executive Committee, co-managing partner of Sidley’s Singapore office, and head of the UK/EU Financial Services Regulatory group. Leonard advises a wide range of global financial institutions on complex UK/EU financial services regulatory issues. He has particular experience in advising clients on operating under the regulatory framework established after the last financial crisis, and more recently on Brexit, sustainable finance/ESG, and crypto-asset regulation. Leonard is a past member of the Board of the Managed Funds Association (MFA), the global trade association for hedge funds, and is a frequent speaker at industry conferences.

4:30 pm - 5:00 pm

Beyond the status quo: Redefining legal & compliance functions in evolving operating environment

  • Innovation at speed: Managing governance and controls across AI adoption, 24/7 markets, tokenization, and emerging structures such as prediction markets
  • Geopolitics and macro uncertainty: Building adaptable compliance frameworks that support continuity amid shifting global risks
  • Policy and regulatory direction: Interpreting the pace and philosophy of change in Washington, D.C., and its implications for alternative asset managers
  • From control to strategic partner: Elevating legal and compliance as enablers of growth while maintaining rigorous risk oversight
Speakers
Bruce Karpati , Partner, Global Chief Compliance Officer and Counsel , KKR

Bruce Karpati joined KKR in 2014 and is a Partner and the Firm’s Global Chief Compliance Officer and Counsel. He serves on various governance committees at the Firm, including co-Chairing the Firm’s Risk & Operations Committee, chairing its Global Conflicts Committee, and serving as a member of the Firm’s Global Valuation Committee. Prior to joining KKR, he was the Chief Compliance Officer of Prudential Investments, the mutual fund and distribution business of Prudential Financial. From 2000-2013, Mr. Karpati served in the Securities & Exchange Commission’s Enforcement Division, including as National Chief of the SEC’s Asset Management Unit. Mr. Karpati co-founded the Unit where he supervised a staff of 75 attorneys, industry experts, and other professionals. In 2007, he founded the SEC’s Hedge Fund Working Group, a cross-office initiative to combat securities fraud in the hedge fund industry. Mr. Karpati is a former chair of the National Society of Compliance Professionals and also serves as an adjunct professor at Fordham University Law School. He began his career in private practice at Dechert LLP. Mr. Karpati earned his JD cum laude from the University at Buffalo Law School, and his Bachelor’s degree cum laude in International Relations from Tufts University.

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

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

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

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

 

Richard Zabel , General Counsel, Chief Legal Officer and Head of Research , Elliott

Richard Zabel is the General Counsel, Chief Legal Officer, and Head of Research at Elliott.  He joined Elliott in 2015 and was made a Partner in 2022.  Mr. Zabel is a member of the firm’s Management, Valuation, Compliance and Operational Risk, Allocation, and Cyber Risk Committees.

Prior to joining Elliott, Mr. Zabel was the Deputy United States Attorney at the United States Attorney’s Office for the Southern District of New York. From October 2009 until October 2011, he was the Chief of the Criminal Division. From 1999 until 2009, prior to rejoining the U.S. Attorney’s Office, Mr. Zabel was a Partner, Management Committee member and Co-Head of Litigation at the law firm Akin Gump Strauss Hauer & Feld LLP. From 1991 to 1999, he served as an Assistant U.S. Attorney in the U.S. Attorney’s Office for the Southern District of New York. Mr. Zabel served as Chief of the Narcotics Unit at the U.S. Attorney’s Office and has received numerous awards, including the Attorney General’s Award for Distinguished Service and the Department of Justice Director’s Award for Superior Performance as an Assistant U.S. Attorney.

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

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.

5:00 pm - 5:30 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

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​
John D. Van Etten , Managing Director, Head of U.S. Government Affairs , MFA

John Van Etten is Managing Director, Head of U.S. Government Affairs at MFA. He leads the U.S. Government Affairs team in representing the alternative asset management industry on political and regulatory issues that impact capital formation, investment strategies, and beneficiaries. He engages directly with Congress, the Administration, and other key policymakers and stakeholders.

Before joining MFA, John spent more than seven years at JPMorgan Chase & Co., advising and representing the firm before Congress, multiple U.S. Administrations, and global regulatory bodies. He previously held government affairs roles at HSBC and The Clearing House (now the Bank Policy Institute), practiced financial services law at a major law firm, and served as a financial policy advisor in the U.S. House of Representatives.

John earned a Bachelor’s degree from the University of California, San Diego, and a Juris Doctor from Georgetown University Law Center.

5:30 pm

Closing remarks

5:40 pm - 6:30 pm

Networking reception

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