General Counsel & Compliance Conference
Anabelle Perez Gray is the General Counsel and Chief Compliance Officer of HealthCor Management, L.P. (“HealthCor”). Ms. Gray joined HealthCor, a long short equity hedge fund manager focused on the healthcare and life sciences sector in 2013. She is a member of the firm’s Valuation Committee, Best Execution Committee, Expense Committee, Risk Committee and chairs the Compliance Committee. Prior to HealthCor, Ms. Gray served as Deputy General Counsel and Chief Compliance Officer at Financial Risk Management in New York (“FRM” which was purchased by Man Group in 2012), a global hedge fund specialist. Ms. Gray ran the U.S. Compliance Program for FRM, launched customized products for institutional investors and conducted operational due diligence on third party managers. Ms. Gray began her legal career in 2002 at Hughes Hubbard & Reed as a corporate associate then went on to Katten Muchin Rosenman LLP where she focused fund formation, registering new investment advisers and broker dealers with the SEC and conducting mock audits. Ms. Gray graduated from the University of Delaware in 1996 with a B.A. in English and also received her M.S. in Publishing from New York University in 1999. She received a J.D. in 2002 from Boston College Law School. Prior to law school, Ms. Gray was a journalist at several media outlets including Institutional Investor. She serves as a mentor to military veterans re-entering the corporate workforce through the non-profit, American Corporate Partners and is a board member for Catholic Guardian Services, a non-profit serving New York’s foster youth and disabled.
Mr. Siegel is Partner, Chief Compliance Officer and Chief Regulatory Counsel of Perella Weinberg Partners, a privately-owned financial services firm that provides corporate advisory and asset management services to clients around the world. Prior to May 2014, Mr. Siegel headed the company’s Law & Compliance Division with responsibility for a wide range of legal and regulatory matters, including those relating to the firm’s mergers, acquisitions and financial restructuring advisory services as well as the formation and operation of its private investment funds.
Brendan is Managing Director and General Counsel at AQR Capital Management, LLC, a registered investment adviser based in Greenwich, CT where he is responsible for managing the full spectrum of the firm's legal affairs. Prior to joining AQR in 2004, Brendan worked at the New York law firm of Willkie Farr & Gallagher LLP as an Associate in their Investment Management Group where he regularly represented registered investment companies, investment advisers and broker-dealers. Brendan has extensive experience in issues relating to the establishment and ongoing operation of hedge funds and funds of funds (U.S. and offshore) as well as private equity funds investing in the U.S. and abroad, including emerging markets. He also worked for the
law firm of Seward & Kissel LLP as an Associate in the firm’s Financial Services & Investment Management Department. At Seward, Brendan dealt in related matters with respect to investment advisers, including commodity pool operation, management company structuring, fund marketing and advertising, employment agreements, joint
ventures and seed capital arrangements. Brendan received his JD from Cornell Law School in 2000 and graduated magna cum laude with a B.A. in International Relations & Economics from the University of Pennsylvania in 1997. Brendan has spoken at a number of industry conferences on regulatory matters affecting the financial services industry and currently serves as Chairman of the Managed Funds Association’s CTA,
CPO and Futures Committee and as a member of MFA’s Investment Adviser and Government Affairs Committees. In addition, Brendan serves on the National Futures Association’s Board of Directors and is an active member of the Investment Company Institute’s Equity Markets and Derivatives Markets Advisory Committees. Brendan also
serves on the Board of Advisors of the Institute for Law and Economics, a joint research center between the Law School, the Wharton School and the Department of Economics at the University of Pennsylvania. He can be reached via email at email@example.com.
Brian Guzman is a Partner of Indus Capital Partners, LLC (“ICP”), a member of ICP’s Management Committee and General Counsel managing ICP’s Legal and Compliance department. Mr. Guzman joined ICP in August 2005. Prior to ICP, Mr. Guzman spent five years with the law firm of Seward & Kissel LLP in New York where he was a Senior
Associate in the Investment Management Group. Mr. Guzman specialized in the formation and structuring of private investment funds (both domestic and offshore), private equity funds and registered investment companies, as well as advising registered and unregistered investment advisers on a variety of matters.
From 1994 to 2000, Mr. Guzman was a principal of an operating company that launched and operated several fast food restaurant units in Manhattan, performing start-up transactions and corporate duties.
Mr. Guzman graduated magna cum laude from Brooklyn Law School in June 2000. In 1993 he graduated with a Bachelor of Science in Management and Industrial Relations from the Stern School of Business, New York University.
Prior Speaking Engagements:
Hedge Fund General Counsel Summit 2010
Argyle Executive Forum’s 2011 Hedge Fund General Counsel Leadership Forum
GAIMOps Cayman Conference 2012, 2013
Financial Research Associates, LLC – Form PF Boot Camp Conference 2012
Regulatory Compliance Association New York Conference 2013, 2014
Regulatory Compliance Association Cayman Conference 2014
Foreign Corrupt Practices Act Seminar 2014, hosted by MoloLamken LLP
NSCP National Conference, Washington D.C. 2015, 2016
Various Regulatory Compliance Association Webinars
Various Goldman Sachs Conferences (relating to General Counsel, Chief Compliance
Officer and Chief Operating Officer)
Brian Meyer has been General Counsel of Fir Tree Partners since 2005. Brian is responsible for overseeing the firm’s legal, compliance, human resources and regulatory matters. Prior to joining Fir Tree, Brian was a Managing Director at Veronis Suhler Stevenson, a media-focused private equity firm and investment bank. From 1997 until 2004, Brian worked closely with Fir Tree Partners as General Counsel of The Official Information Company, a Fir Tree investment. From 1993 to 1997, he was Senior Corporate Counsel at Revlon, Inc. Brian began his professional career specializing in M&A, corporate, securities and banking law at the law firms of Latham & Watkins (1990 – 1993) and Milbank Tweed Hadley & McCloy (1986 – 1989). Brian received a J.D. degree from U.C. Berkeley's Boalt Hall (1986), where he was Executive Editor of the California Law Review, and received a B.A. in History and graduated magna cum laude from the University of California at Berkeley (1982).
Bruce Kahne is General Counsel and Chief Compliance Officer U.S. of EnTrustPermal and General Counsel and Chief Compliance Officer of EnTrustPermal Securities LLC. Mr. Kahne was previously Partner and General Counsel/Chief Compliance Officer of EnTrust and EnTrust Securities LLC. Mr. Kahne joined EnTrust in September 2007, and he was also Chair of the EnTrust Compliance and Conflicts Committee, a member of the EnTrust Risk Committee, a member of the EnTrust operational due diligence team, and is responsible for reviewing the legal documents of underlying and prospective managers. Prior to joining EnTrust, Mr. Kahne was a Partner in the Investment Management Group at K&L Gates LLP, where the focus of his practice was the formation, structure, regulation and compliance of private investment vehicles. Mr. Kahne began his investment management career as an Associate and then Counsel at Seward & Kissel LLP. Mr. Kahne received a JD from Fordham Law School and a BA from Binghamton University and holds Series 7, Series 24, Series 63 licenses and has completed the Partners, Directors & Senior Officers course administered by the Canadian Securities Institute.
Bruce Karpati is KKR’s Global Chief Compliance Officer and Counsel. Prior to joining KKR, he was the Chief Compliance Officer of Prudential Investments, the mutual fund and distribution business of Prudential Financial. Mr. Karpati was previously the National Chief of the SEC’s Asset Management Unit which he co-founded. In this role, he supervised a staff of 75 attorneys, industry experts, and other professionals. Mr. Karpati joined the SEC as a staff attorney in 2000, was promoted to Branch Chief in 2002, Assistant Regional Director in 2005, and to Co-Chief of the SEC's Asset Management Unit in 2010. 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 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.
Hina is a Managing Director, Global Compliance Officer, US General Counsel and member of the Executive Committee. Prior to joining us, she was an attorney at Woodside Counsel, specializing in corporate transactions and regulatory matters. Previously, Hina was a senior associate in the Corporate and Financial Institutions Groups at Skadden, Arps. She also served as an executive at various technology and energy start-up companies. Hina is admitted to practice in New York and California. She holds a Juris Doctor from Columbia Law School and a Bachelor of Arts from McMaster University.
Jason P. Kahn is a Vice President and the Legal & Compliance Officer of Lexington Partners primarily engaged in legal and compliance administration.
Prior to joining Lexington in 2013, Mr. Kahn was a legal associate in the law firm of Seward & Kissel LLP, specializing in the investment management group.
Mr. Kahn graduated from Cornell University with a BS in industrial and labor relations and from Fordham University School of Law with a JD.
Mr. Glatt joined Apollo in 2007 and serves as General Counsel for Apollo Capital Markets. Prior to that time, Mr. Glatt was associated with the law firms of Simpson Thacher & Bartlett LLP from 1998 to 2003 and Schulte Roth & Zabel LLP from 2003 to 2007, in each case, primarily focusing on mergers and acquisitions, leveraged buyouts and capital markets activities. Mr. Glatt graduated summa cum laude with a BA from Rutgers College and received his JD from University of Pennsylvania Law School.
Joe brings decades of world class experience to the QuisLex Leadership team. Prior to joining QuisLex, Joe was Deutsche Bank General Counsel-- Americas and previously General Counsel of Lehman Brothers. His many professional distinctions include the Alfred J. Rauschman Award from the Securities Industry and Financial Markets Association (SIFMA) for contributions to the Compliance and Legal Community and a distinguished career in financial services. Joe has also appeared before the United States Supreme Court and has testified on behalf of the financial services industry before Congress. Joe received his J.D. from New York University School of Law and his B.A. from Columbia College.
Mr. Friedler joined Phoenix in June 2016 as General Counsel and Chief Compliance Officer. In this role, he oversees the firm’s legal and compliance matters. Prior to joining Phoenix, Mr. Friedler was a Partner at Sadis & Goldberg where he counseled investment managers, commodity pool operators and commodity trading advisors on structuring and forming US and non-US investment funds, commodity pools and separately managed accounts. Mr. Friedler also prepared and negotiated various types of agreements, including seed capital agreements and joint venture agreements. Mr Friedler also regularly advised investment managers, commodity pool operators and commodity trading advisors on registration and ongoing compliance issues with the SEC, CFTC, NFA and FINRA. Prior to joining Sadis & Goldberg, Mr. Friedler was a Partner at McCarter & English, where he represented numerous private investment funds and counseled investment advisers. Mr. Friedler holds a J.D. degree, cum laude, from New York Law School.
Mark Peckman is currently the Executive Vice President and General Counsel of Schonfeld Strategic Advisors LLC, a registered investment adviser, and its affiliates. From 1999 to 2002, Mr. Peckman served as the Vice President and General Counsel of Broadway Trading, LLC, a broker dealer, and was recruited to join the Schonfeld organization during the time that Schonfeld purchased substantially all of the assets of Broadway Trading in 2002. Prior to joining Broadway Trading, Mr. Peckman practiced corporate law at a law firm for six years. Mr. Peckman earned a BA from Emory University in 1989 and a law degree from Brooklyn Law School and a MBA from Baruch Business School in 1993.
Matthew Bloom is an Associate General Counsel and the Chief Compliance Officer at Viking Global Investors LP, responsible for legal, regulatory and compliance matters. From 2009 until he joined Viking in 2013, Mr. Bloom was an Associate at Cravath, Swaine & Moore LLP, where he focused on complex civil litigation and internal investigations. From 2008 to 2009, he served as a law clerk to the Hon. Joel M. Flaum of the United States Court of Appeals for the Seventh Circuit. He graduated from Yale Law School (2008) and Yale University (2005).
Michael D’Angelo joined Saba in November 2015. Prior to Saba, Mr. D’Angelo was the General Counsel and Compliance Manager at Prologue Capital Management, LP from 2012 to 2015, where he led the firm’s legal and compliance group, including the implementation of its U.S. and U.K. compliance and regulatory reporting and monitoring program. Prior to Prologue, Mr. D’Angelo was a senior attorney with Schulte Roth & Zabel from 2007 to 2012, focusing on hedge fund and private equity fund formation and ongoing advice, including advising clients on RIA compliance and regulatory reporting. Mr. D’Angelo began his career as an analyst with Goldman Sachs & Company. Mr. D’Angelo received a Juris Doctorate from Hofstra University School of Law and a BBA in Finance and Economics from Pace University.
Myles Edwards is Shufro, Rose & Co., LLC’s General Counsel and Chief Compliance Officer. He is widely regarded as a leading expert in investment advisory and international private fund regulation, serves frequently on conference panels and is a noted author on compliance and risk. He has lectured to the Financial Services LLM Program at New York Law School on various topics including "best practices" for Portfolio Managers and aspects of operating in offshore domiciles. Mr. Edwards is a member of Infragard, a collaborative effort between private sector cyber professionals and the Federal Bureau of Investigation (FBI). Mr. Edwards is one of the two founding members of the New York Family Office Private Funds Roundtable dedicated to bringing together professionals involved in the New York and International family office and private funds space. Myles has concluded his three-year term as a Small Firm Representative on the FINRA District 10 Committee. Myles has been appointed to a
three year term by the FINRA Board of Governors as at Large Member of the Small Firm Advisory Board beginning in January 2015 and served as its Chairman.
Owen Schmidt is the General Counsel & Chief Compliance Officer at Falcon Edge Capital where he is responsible for all of the firm’s legal and compliance matters.
Prior to joining Falcon Edge, Owen worked in the New York and London offices of Schulte Roth & Zabel, a New York based law firm, from 2008 to 2013. While at Schulte Roth & Zabel, Owen’s practice focused on corporate, securities and regulatory matters. Owen primarily advised large institutional and entrepreneurial investment managers and private investment funds in all aspects of their business. Owen’s experience includes structuring investment management firms, hedge funds, private equity funds, hybrid funds and funds of funds, including negotiating seed and strategic investments. He also regularly advised investment managers on U.S. regulatory compliance.
Owen is admitted to the bar in New York and is a member of the American Bar Association and the New York City Bar Association, where he serves on the Private Investment Funds Committee. Owen holds a Bachelor of Science degree in Business Economics and Finance from the University of Arizona and a J.D. from Fordham University School of Law.
Scott Black is the General Counsel and Chief Compliance Officer at Hudson Bay Capital Management LP, a registered investment adviser to alternative investment products with approximately $2.4B in assets under management. Before joining Hudson Bay in October 2010, Mr. Black served as Assistant Regional Director in the Division of Enforcement of the Securities and Exchange Commission’s New York Regional Office, where he managed a group of attorneys conducting investigations into potential violations of the federal securities laws, and as a Senior Trial Counsel, where he served as first chair in numerous Commission litigations. Before joining the Commission in 2004, Mr. Black practiced at the law firms Kostelanetz & Fink from 2002 to 2004, and Wachtell, Lipton, Rosen & Katz from 1996 to 2002. From 1995 to 1996, Mr. Black served as a law clerk to the Honorable Milton Pollack of the United States District Court for the Southern District of New York, focusing on securities matters. Mr. Black received a JD from the New York University School of Law where he graduated magna cum laude, and a BA from Columbia College where he graduated magna cum laude.
Simon Raykher is the General Counsel and Chief Compliance Officer of Kepos Capital, a systematic macro institutional 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 a former Adjunct Professor at Fordham University School of Law. Simon earned a B.B.A. and an M.B.A. in Accounting from Pace University in 1990 and a J.D. from Fordham University School of Law in 1995.
Steve H. Metzger is Senior Vice President, Associate General Counsel of Two Sigma Investments, LP, an investment manager specializing in algorithmic investing across a broad range of asset classes and countries. Two Sigma and its affiliates currently manage private funds and accounts with over $45 billion in assets under management. Mr. Metzger is responsible for many of the firm’s legal, regulatory and compliance matters. He supervises a team of attorneys who handle data, research, trading, securities and regulatory matters. Mr. Metzger joined Two Sigma in February 2008.
Prior to joining Two Sigma, Mr. Metzger was an associate in the Investment Management Group of Schulte Roth & Zabel LLP, a New York City-headquartered law firm with an industry-leading hedge fund and private equity fund practice. At Schulte Roth, Mr. Metzger specialized in the formation and structuring of hedge funds and private equity funds, represented registered and unregistered investment advisers, advised clients on regulatory matters, prepared SEC and CFTC filings, and provided overall corporate and securities advice.
Mr. Metzger graduated magna cum laude from Tufts University in 2002 with a B.A. in Political Science and American Studies. In 2005, Mr. Metzger earned a J.D. from Hofstra University School of Law, where he was an editor on the Law Review.
Zachary Feingold is the Chief Legal Officer of Coatue Management, L.L.C. From 2008 to 2014, Mr. Feingold served as Assistant United States Attorney in the United States Attorney’s Office for the Southern District of New York, where he was a member of the office’s Securities and Commodities Fraud Task Force and Complex Frauds Unit. At the U.S. Attorney’s Office, Mr. Feingold led investigations and prosecutions in an array of complex white collar cases, including in the areas of securities and other investment fraud, Foreign Corrupt Practices Act, Bank Secrecy Act, OFAC, money laundering and cyber crime. Included among these cases were: an investigation leading to charges against employees of Visium Asset Management for insider trading; an investigation leading to the prosecution of Kit Digital Inc. executives for accounting fraud and market manipulation; the first-ever prosecution for fraud under the U.S. Treasury Department’s TARP program; the prosecution of Avon Products Inc. for violations of the FCPA; the prosecution of Commerzbank and an executive in connection with Olympus Corporation’s $1.7 billion accounting fraud scheme; and the convictions after trial of three insurance brokers in one of the largest prosecutions related to investor-originated life insurance. Prior to joining the U.S. Attorney’s Office, Mr. Feingold was an associate at Simpson Thacher & Bartlett LLP, specializing in litigation, regulatory and white collar matters. He also served as a law clerk to the Honorable K. Michael Moore of the United States District Court, Southern District of Florida. He is a graduate of American University and Fordham University School of Law.
On January 23rd, 2018, YJP will be hosting its General Counsel & Compliance Conference.
This conference will exclusively bring together 100 of the top General Counsels and Chief Compliance Officers for a half day conference to discuss best practices, insights, and ideas with fellow peers.
The breakout sessions, featuring intimate roundtable discussions formatted to maximize interaction and value, will focus on topics such as:
- Global Marketing
- SEC Reporting Modernization/Data Management for Regulatory Reporting
- Expense & Investment Allocation
- Operational Due Diligence
- Client Risk, Compliance and Enforcement Issues for CTO's and CPA's
- The Evolving Role of the General Counsel
- Data Privacy and the Cyber Landscape
- and many more!
Join us for a half-day conference of stimulating conversation, gourmet food and drink, and high-level networking with the top names in the industry.
This event starts on January 23rd at 12:00 PM.