General Counsel & Compliance Conference
Alexander Rakitin is the Chief Compliance Officer at Perceptive Advisors. Before joining Perceptive Advisors, Alexander was at Two Sigma Investments where he functioned as the Senior Compliance Officer responsible for all aspects of the compliance program covering Ventures and Private Investments strategies. Prior to taking on those responsibilities, Alexander was responsible for the firm’s Core Compliance program as well as the compliance program for marketing and investor communications across the Asia-Pacific region. Before joining Two Sigma, Alexander worked at Owl Creek Asset Management and GlobeOp Investor Services while pursuing a Law Degree at New York Law School. Alexander is a member of the New York State Bar Association.
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.
Andrew Nathanson serves as Chief Compliance Officer and Counsel for Suvretta Capital Management, LLC, responsible for legal, regulatory and compliance matters. Suvretta Capital is a global equity long short manager that was founded by Aaron Cowen in 2012. Prior to joining Suvretta, he served as Chief Compliance Officer and Legal Counsel for Mirae Asset Global Investments (USA), a subsidiary of a Korean based asset manager. Mr. Nathanson graduated from Suffolk University Law School and earned his BS in economics from the University of Wisconsin-Madison.
Andrew T. Reardon is the Chief Legal Officer at HCR, an investment firm that purchases royalties and uses debt-like structures to invest in commercial or near commercial stage life science assets. Andrew is directly responsible for all legal matters, including transactions, fund and managed account formation, offering and management, litigation, and general corporate matters. Andrew also functions as a critical member of the investment team through all phases of HCR’s investments, including the initial transaction evaluation and negotiation, life-cycle management, and the structuring of effective exits. Andrew is also a member of the compliance team and coordinates with the CCO on compliance matters. Prior to joining HCR, Andrew was with Willkie Farr & Gallagher. His experience includes advising private equity funds, hedge funds, lenders and operating companies on matters including fund formations, financings, equity issuances, mergers and acquisitions, leveraged buyouts, royalty transactions, restructurings and corporate governance. Mr. Reardon received a J.D., with high distinction, from The University of Iowa College of Law where he was the recipient of the Alan I. Widiss Faculty Scholar Award, and a B.A., with honors, from the State University of New York, College at Old Westbury. Mr. Reardon is a former officer with the United States Army National Guard.
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.
Chief Compliance Officer for CVC Credit Partners, joined CVC in 2016 and is based in New York. Anna oversees the global compliance program for CVC Credit Partners. Prior to joining CVC, Anna worked for three years at KKR, where she was the Deputy Chief Compliance Officer overseeing the compliance efforts for KKR’s hedge fund solutions business. Prior to KKR, Anna spent two years as a Manager with PwC’s Asset Management Regulatory Advisory Practice focusing on alternative asset managers. Prior to that, she was a Compliance Officer for Highland Capital Management and also served as the CCO of the firm’s affiliated broker-dealer, NexBank Securities. Ms. Spector began her career at Fisher Investments where she was a Compliance Associate. Ms. Spector holds a B.A. in Political Science, cum laude, from the University of California, San Diego and an MBA from the Cox School of Business at Southern Methodist University in Dallas, TX.
Arik Hirschfeld is a Director of Compliance and Senior Counsel at Guggenheim Partners and serves as Chief Compliance Officer for GS Gamma Advisors, LLC. Prior to joining Guggenheim, Arik held several Compliance and Legal positions focusing on regulatory requirements of investment managers and broker-dealers within the financial industry, including Vice President in Private Side Compliance and Head of US Large Shareholdings at Barclays Capital providing advisory and product coverage to principal businesses and equities trading and Associate at Sidley Austin LLP in their Securities & Derivatives Enforcement and Regulatory Practice. Arik received his B.A. in Mathematics from Yeshiva University and his J.D. from Brooklyn Law School and is admitted to practice in the State of New York.
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 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.
Mr. Christopher P. Meyering joined Sciens in 2000 and comes from a broad commercial law background
specializing in business transactions, corporate governance and compliance, litigation management and
government affairs. At Sciens, Mr. Meyering is responsible for all legal and regulatory matters affecting
the Sciens funds and partnerships. Previously he worked as Vice President, General Counsel and
Secretary for a start-up energy concern in New York City, Pure Energy Corporation; and as Assistant
General Counsel and Director of Government Affairs at a Fortune 500 firm in Richmond, VA, The Brinks
Company (NYSE:BCO). Mr. Meyering was previously associated with the law firms of Day, Berry &
Howard, in its corporate department, and Whitman & Ransom, in the litigation department.
Mr. Meyering received his undergraduate and law degrees from Georgetown University in Washington,
Mr. Meyering has the title of Chief Legal Officer and Chief Compliance Officer for the Sciens Group of
Companies worldwide. In this capacity, Mr. Meyering oversees the Compliance and Legal personnel
associated with the Group’s primary business offices located in New York, London and Guernsey. He
provides counsel on all transactional activities conducted by the Group in addition to Fund formation
and restructuring, regulatory compliance, personnel oversight, risk management (i.e., insurance) and
portfolio management for funds where he serves as a Director or project manager.
In addition to several Funds, Mr. Meyering serves on the Boards of Sciens’ primary management
companies: Sigma Asset Management (Guernsey) Limited (an investment manager registered with the
GFSC); Sciens Group Fund Services Ltd. (an investment manager registered with the GFSC); and Sciens
Capital Limited (an investment adviser registered with the FCA). He also participates on the
management committees of several of Sciens’ key employers, including Sciens Investment Management
LLC (a registered investment adviser with the SEC), Sciens Management LLC (the employer of Sciens’
private equity staff) and Sciens Institutional Services LLC (a management company that provides
administrative services to the Sciens Group companies and that employees the U.S. persons not
involved in the investment and portfolio functions).
Courtney Posner is the General Counsel and Chief Compliance Officer of Echo Street Capital Management LLC. Previously, she was Senior Vice President and Associate General Counsel at PineBridge Investments from 2011-2017, where she supported the Private Funds Group. Courtney began her career as an Associate at Dewey & LeBoeuf where she advised private equity funds, hedge funds and limited partners. Courtney graduated from Duke University with a B.A. in Economics and Psychology and earned her J.D. at Fordham University School of Law.
Daniel Margolis is the General Counsel of Ellington Management Group, L.L.C., a hedge fund based in Old Greenwich, CT with over $6 billion in assets under management. Prior to joining Ellington, Mr. Margolis was a Partner at Pillsbury, Winthrop, Shaw, Pittman LLP and before that was a Junior Partner at Wilmer, Cutler, Pickering, Hale and Dorr LLP. In both positions, Mr. Margolis represented corporations and individuals, including financial services organizations, in criminal and regulatory investigations and in complex civil litigation. From 2000 to 2004, Mr. Margolis served as an Assistant United States Attorney in the Southern District of New York where he prosecuted a variety of white collar crimes including securities fraud, investment fraud, bank fraud and money laundering. He began his career as a litigation associate at Cravath, Swaine & Moore after graduating cum laude from New York University School of Law.
Daniel Taub was Scoggin Management's General Counsel and Chief Compliance Officer for nine years.. Prior to joining Scoggin, Mr.Taub was in-house counsel for Citigroup and J.P. Morgan. He also had a 22 year tenure at Bear, Stearns & Co. where he was a Senior Managing Director and the Chief Regulatory and Litigation attorney for the firm. Dan also served as an Assistant District Attorney in Bronx County and as an Assistant Attorney General for New York State in the Division of Investor Protection and Securities. Mr. Taub received his JD degree from the New York University School of Law.
Eliott Frank is General Counsel & Chief Compliance Officer at Senzar Asset Management, LLC, a healthcare long/short equity hedge fund manager in New York. Previously, Mr. Frank held similar roles at Pinnacle Associates, Ltd, and prior to that, Lombard Odier Asset Management. Earlier in his career, Mr. Frank was securities, fund and regulatory counsel to Atticus Capital LP and prior to that, The Rohatyn Group/TRG Management LP. Mr. Frank began his legal career as an associate at Fried, Frank, Harris, Shriver & Jacobson and Morrison & Foerster LLP. Mr. Frank earned his B.A. from the University of Michigan, a J.D. from Ohio State University College of Law and an LL.M. from New York University School of Law.
Emily is the General Counsel and Chief Compliance Officer of Summit Rock Advisors (“SRA”), an
independent advisory firm founded in 2007 that provides financial advice and portfolio management to a
select number of individuals and their family members, family foundations and trusts and independent
foundations and endowments. Emily is responsible for oversight and counsel to SRA’s advisory,
investment and operating teams in connection with the firm’s legal, compliance and regulatory
Emily was previously Deputy General Counsel of AQR Capital Management, Head of Legal for AQR’s
European funds and management companies and served on the board of directors for AQR’s EU
domiciled entities. Before joining AQR, Emily held positions in the AIG Global Investment Group’s
Hedge Fund Strategies Group, Akin Gump Strauss Hauer and Feld’s Investment Funds group and Soros
Emily graduated magna cum laude from the University of Notre Dame with a Bachelor of Arts, double
majoring in the Program of Liberal Studies and Russian. Emily received her Juris Doctor from Duke
University and her Master of Business Administration from Duke University’s Fuqua School of Business.
Emily is a member of the New York State Bar and serves on the Board of Directors of the Youth Services
Opportunities Project, a New York non-profit organization founded by Quakers to engage young people
in volunteer service.
Eric Albert is the Chief Compliance Officer and Deputy General Counsel, Litigation at BlueMountain Capital Management, LLC. Mr. Albert joined BlueMountain in September 2013 as Deputy Chief Compliance Officer/Associate General Counsel and assumed his current role in August 2015.
Prior to BlueMountain, Mr. Albert was Director and Senior Counsel at Deutsche Bank AG where he was a member of the bank’s litigation and regulatory investigations group. Before that, Mr. Albert was Counsel at Lehman Brothers Holdings Inc. He spent the first ten years of his career as a litigator at Simpson Thacher & Bartlett, where he represented major financial institutions in civil litigation, regulatory, investigative and compliance matters.
Mr. Albert received his AB magna cum laude from Duke University in 1994 and his JD with honors from Columbia University School of Law in 1998.
Giulianna K. Ruiz is the Chief Compliance Officer & Counsel of Trilantic Capital Management L.P. (“Trilantic North America”), a private equity firm focused on control and significant minority investments in North America. Prior to joining Trilantic North America in 2012, Giulianna was an associate of the Private Funds Group of Paul, Weiss, Rifkind, Wharton & Garrison LLP from 2006 to 2012, where she advised a variety of investment funds, including buyout funds, hedge funds, seed capital funds, real assets funds and fund of funds, as well as advising on investment management M&A transactions. Giulianna holds a J.D., summa cum laude, from Seton Hall University School of Law and a B.A. from Columbia College, Columbia 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.
Israel Friedman is the general counsel and chief compliance officer at Kensico Capital Management Corp., overseeing all legal, compliance and regulatory matters for the firm.
Prior to joining Kensico in 2010, Mr. Friedman was a branch chief in Enforcement at the Securities & Exchange Commission (New York Office) where he conducted a number of high profile investigations, including those of the Galleon/Rajaratnam insider trading ring, the unraveling of the Madoff ponzi scheme, and the collapses at Bear Stearns and Lehman Brothers.
From 1999 to 2006, Mr. Friedman was an associate at the law firm of Wachtell, Lipton, Rosen & Katz and prior to that he served as a law clerk to Richard A. Posner, Chief Judge of the U.S. Court of Appeals for the Seventh Circuit.
Mr. Friedman graduated with honors from the University of Chicago Law School, where he was Articles editor of the Law Review, and received a bachelor’s degree magna cum laude from Columbia University.
Mr. Crelinsten joined Greylock Capital in August 2013, and serves as General Counsel and Chief Compliance
Officer. He became a Partner in January 2017. Prior to joining Greylock Capital, Mr. Crelinsten practiced
corporate law at Proskauer Rose LLP as a member of the private investment funds practice group. At
Proskauer, Mr. Crelinsten advised private fund managers deploying a broad range of investment and trading
strategies in all aspects of fund formation (both onshore and offshore), ongoing compliance with securities,
commodities and tax laws, as well as investments in both private and public companies. Mr. Crelinsten
started his career practicing corporate law at Coudert Brothers LLP.
Mr. Crelinsten received his LLB and BCL from McGill University in 2005, and a BA with First Class Honours in
International Relations from Mount Allison University in 2001. He is fluent in French.
Jonathan Danziger serves as the General Counsel and Chief Compliance Officer at Glenview Capital Management, LLC. Prior to joining Glenview in 2012, Jonathan was an Associate in the Investment Management Department at Schulte Roth & Zabel LLP for 8 years. Jonathan graduated from the George Washington University in 2001 and the Benjamin N. Cardozo School of Law in 2004.
Jonathan Feiler is the General Counsel of Arosa. Prior to joining Arosa, he was an Associate at Schulte Roth & Zabel LLP from 2007 until 2015, where his practice focused on advising investment funds and investment advisers in connection with their structuring, formation and ongoing operational needs, as well as regulatory and compliance issues. He received his J.D. cum laude from Boston University School of Law in 2007 and received a B.S. in Business Administration from the State University of New York at Albany in 2003.
Jon Glass is Millennium’s Chief Financial Officer and manages all financial, tax, operational, human resource, and investor relations activities at Millennium. He also serves as the firm’s Chief Compliance Officer overseeing Millennium’s regulatory filings and internal compliance.
Jon has more than 15 years of experience in managing the financial operations of private equity funds. Prior to joining Millennium in 2008, Jon was the Vice President of Finance and Tax and Controller of Venrock, one of America’s oldest and most prestigious venture capital firms. Jon played a significant and diversified role in managing Venrock’s financial reporting, portfolio monitoring, and performance functions, overseeing Venrock’s operations, and managing its capital calls and distributions. Jon’s role at Venrock included leading the Firm’s tax function by serving as the point person on transaction structuring, international initiatives, fund liquidation, tax withholding for foreign partners, limited partner and general partner tax planning. Before Venrock, Jon was Controller for Greenbriar Equity Group, a private equity fund focused on transportation companies. Jon’s career includes seven years of Big Four public accounting experience. As a tax manager with Deloitte & Touche, Jon focused on serving private equity clients and other investment partnerships as well as investment banking clients focusing on corporate activities and complex transactions.
Jon earned his Master in Business Administration from Fordham University and a Bachelor’s of Science from Boston University. He is a Certified Public Accountant and is a member of the American Institute of Certified Public Accountants (AICPA).
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.
Mr. Fremed is responsible for the financial, operational, compliance and administrative management of Lepercq including oversight of accounting, legal, portfolio valuation and reconciliation, regulatory compliance and audit functions for existing and future offerings. Prior to joining Lepercq, Mr. Fremed was a Director at Guggenheim Partners, where he was the Head of Operational Due Diligence for Guggenheim Investment Advisors. Prior to his tenure at Guggenheim Partners, Mr. Fremed worked on Morgan Stanley's FrontPoint Multi-Strategy Hedge Fund team and prior to that in Bank of Americas Alternative Investment Group. He currently holds his Series 24, 7 and 63 licenses. Mr. Fremed co-founded and assists in operating, with his wife, NYC-based designer shoe company Femmes Sans Peur. He holds a B.S. degree in Finance with a Minor in Economics from the State University of New York at Oswego.
Mr. Little has over 10 years of experience across legal, strategic and business affairs relating to asset management. Prior to joining Innovatus Capital Partners, LLC in August 2016, Mr. Little held several positions including Senior Managing Director of Business & Legal Affairs at Third Avenue Management LLC, a registered investment adviser, and Member of the Board of Directors of Third Avenue Capital plc. From 2008-2013, Mr. Little was a Corporate Associate at Kramer Levin Naftalis & Frankel LLP in the general corporate practice concentrating in private equity transactions, litigation finance, insurance, domestic and cross-border mergers and acquisitions, entrepreneurial ventures and corporate governance.
Mr. Little received a B.S. in Applied Economics and Management from Cornell University, a Juris Doctor from Fordham University School of Law and a MBA from The Fordham Graduate School of Business Administration. He is licensed to practice law in both New York and Connecticut.
Ms. Murtagh is the General Counsel of Caspian Capital LP. Prior to joining Caspian, she was Counsel at Akin Gump Strauss Hauer & Feld LLP, where her practice focused on the establishment, operation and organization of private investment funds, including hedge funds and private equity funds. Prior to joining Akin Gump, Ms. Murtagh was at Simmons & Simmons LLP in London from 2006-2011, where she advised in relation to fund documentation, prime brokerage agreements, ISDAs, side letters, managed account agreements and other hedge fund related transactions. She graduated from Oxford University with an honors degree and master’s degree in Law, is a member of the New York Bar and is admitted as a solicitor to the Supreme Court of England and Wales.
Kat Olin is Senior Counsel and Chief Compliance Officer of Indus Capital Partners, LLC
(“ICP”). Ms. Olin joined ICP in April 2012. Prior to joining ICP, Ms. Olin was sole in-
house Counsel and Compliance Officer at Zimmer Lucas Partners, LLC from September
2011 to April 2012. From 2001 to 2011, she was a senior associate in the Investment
Management group of Seward & Kissel LLP, advising registered and unregistered
investment advisers and the investment funds managed by such advisers on a
comprehensive range of legal, compliance, investment and regulatory matters. From
1997 to 2000, Ms. Olin was as an associate in the Corporate group of Gardner, Carton &
Douglas LLP in Chicago where she advised clients on investment management,
securities, mergers and acquisitions and general corporate matters.
Ms. Olin received a BA from Duke University, majoring in English and Political Science,
and made the Dean's List with Distinction in 1993. She graduated from the University of
Michigan Law School in 1997 with a Juris Doctor degree.
Laurence Herman has served as General Counsel and Managing Director at GLG since 2003. He oversees legal and compliance globally, and works closely with communications and business development. Earlier in his career, Laurence practiced law at Cahill Gordon & Reindel and was Senior Vice President, Operations, for Capital IQ, Inc. He worked in strategic development for Delphi Capital, working with the firm’s affiliated fund of funds and hedge funds, insurance companies and other investment projects.
Leigh Waxman currently serves at the Chief Compliance Officer of Penso Advisors, LLC, a New York based global macro manager and advisory boutique specializing in high convexity strategies. Prior to joining Penso, she was the Chief Compliance Officer/General Counsel at Para Advisors LLC, an investment adviser specializing in event driven investing, where she over saw all legal and compliance matters respecting the firm and its funds from 2006-2016. Prior thereto, Ms. Waxman was the general counsel at Dickstein Partners Inc. from1997- 2006. Prior to that, she worked as an associate in the corporate department in each of Morgan Lewis & Bockius LLP and Lord Day & Lord, Barrett Smith. Leigh received a J.D. degree from Columbia University School of Law and a B.A. Magna Cum Laude from City University of New York, Queens College.
Prior to joining Serengeti, Marc Baum was the General Counsel and a Partner of Offit Capital Advisors and a member of the firm’s Investment Committee. From 2005-2009, Marc was a Managing Director, the General Counsel and Chief Compliance Officer for Ramius LLC (now Cowen Group), which followed his role as Chief Operating Officer and General Counsel for The Seaport Group. Seaport was formed in the broker dealer subsidiary of the IPO Group where Marc served as the CEO and which published the IPO.com web site. Previously, Marc served as the Chief Legal Officer and Managing Director for compliance at T.D. Securities/The Toronto-Dominion Bank. Before T.D., Marc practiced capital markets law at J.P. Morgan Securities, Merrill Lynch and Salomon Brothers. Marc began his legal career as an associate at Fried, Frank, Harris, Shriver and Jacobson.
Marc is a frequent speaker legal, compliance and organizational issues facing the alternative investment industry and a faculty member and frequent speaker for the Regulatory Compliance Association. In addition, Marc is a Director of The NASDAQ Stock Market Educational Foundation, Inc.
Marc received his B.A. magna cum laude from Harvard College, his M.Sc. from The London School of Economics and his J.D. from the University of Chicago Law School.
Marc is a Member of the Board of Directors of Bend the Arc – a Jewish Partnership for Justice as well as Bend the Arc Jewish Action where he chairs the PAC.
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.
Mark Polemeni is the Chief Compliance Officer and Chief Regulatory Counsel of Perella Weinberg
Partners. Prior to joining Perella in 2017, Mr. Polemeni was Chief Compliance Officer and
Associate General Counsel of Citadel, LLC, an SEC-registered, alternative asset manager. Prior
to joining Citadel in 2011, Mr. Polemeni was the Chief Legal and Chief Compliance Officer for
Odyssey Investment Management. Previously, he was the Chief Legal and Chief Compliance
Officer for Alexandra Investment Management.
Mr. Polemeni served as a Steering Committee Member for the Managed Funds Association
(MFA)’s Chief Compliance Officer Forum, and was an editor of recent editions of the MFA’s
Sound Practices for Hedge Fund Managers. Mark currently is a member of the Speaking Faculty
of the Regulatory Compliance Association.
He was named one of the “20 Rising Stars of Compliance” throughout the United States and the
United Kingdom in the 2007 edition of Institutional Investor News.
Mr. Polemeni received his B.A. and J.D. from Georgetown University.
Ms. Hornby has 21 years of experience in private equity matters and assists the investment team in the review, legal analysis and negotiation of underlying fund investments and directs all legal aspects relating to the formation and maintenance of Abbott’s pooled investment funds. In addition, Ms. Hornby assists in the legal aspects of daily operations, including client relationships and contracts, regulatory compliance and internal corporate structuring matters. Prior to joining Abbott in 2005, Ms. Hornby was Counsel and a member of the Private Equity Group at Testa, Hurwitz & Thibeault, LLP, representing investment advisers, funds of funds, public pension plans and other limited partner investors, as well as general partner groups, in all aspects of private equity fund formation. Ms. Hornby received her B.A., magna cum laude, from Boston College and her J.D. from Boston College Law School. She is a member of the Bar of the Commonwealth of Massachusetts.
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.
Michael Pinnisi is the General Counsel and Chief Compliance Officer of Hudson Executive Capital LP. Michael has over thirty years’ experience in public, private, and academic legal work, including service as an Assistant U.S. Attorney in the Southern District of New York (civil and criminal divisions) and in Washington, D.C. (local criminal division); as an Honor Program Trial Attorney for the U.S. Department of Justice in Washington, D.C.; as an associate with Shearman & Sterling in New York, and with Cleary Gottlieb Steen & Hamilton in Washington, D.C.; and as General Counsel of Kionix, Inc. He is an honors graduate of Cornell University and Cornell Law School, and an Adjunct Professor of Law at Cornell Law School. He can be reached at Michael.Pinnisi@HudsonExecutive.com.
Mike brings 25 years of business experience to Malachite Capital. Before joining Malachite in November 2013, Mike was the CFO of Spartus Capital Management LP, a hedge fund focused on equity volatility arbitrage and tail risk strategies. Prior to Spartus, Mike was the CFO and COO for Acuity Capital Management LLC, a global credit relative value fund. From 2005-2007 Mike was the CFO and CCO of Parabolic Partners Capital Management LLC, a SEC-registered investment advisor investing across convertible arbitrage and volatility strategies. From 1998-2004 Mike was a co-founder and EVP of Corporate Strategy for a private technology-based organization. From 1994-1998 Mike was an Equity Analyst at Bankers Trust, DLJ, and Lehman Brothers. Mike also worked as a Management Consultant at Deloitte & Touche. Mike has an MBA from the University of Michigan and a B.S. in Chemical Engineering from Carnegie Mellon University.
Moshe is a results oriented Chief Compliance Officer and Counsel with broad experience evaluating and mitigating compliance, legal and regulatory risk. Moshe is the Chief Compliance Officer and Deputy General Counsel of Zweig-DiMenna Associates LLC. Zweig-DiMenna is among the most experienced long/short equity hedge fund managers. Moshe has a broad range of legal and compliance responsibilities on behalf of the Zweig-DiMenna hedge funds, investment advisers and in-house broker-dealer. Moshe is also the CCO of Brenton Point Wealth Advisors LLC, an affiliated RIA wealth management firm which offers tailored investment and planning solutions to meet individual clients long-term investment goals. Moshe is a frequent speaker at industry conferences and the author of a two part article entitled, How Hedge Fund Managers Can Meet the Cybersecurity Challenge: A Snapshot of the Regulatory Landscape, that was published in The Hedge Fund Law Report in December 2015. Moshe is a faculty member for the Regulatory Compliance Association. He holds Series 7, 24, 66 and 99 FINRA licenses. Moshe serves on the Board of Directors of the Jewish Family Services and Children's Center of Clifton-Passaic. Moshe received his JD from Columbia Law School and he holds a BA from Touro College.
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.
Naama Rosen is the General Counsel & Chief Compliance Officer at Tourbillon Capital Partners, where she oversees the firm’s legal, regulatory and compliance matters. Prior to joining Tourbillon, Ms. Rosen was a Special Counsel in the investment management department at Schulte Roth & Zabel LLP. Ms. Rosen spent over 12 years at Schulte Roth & Zabel advising large institutional and entrepreneurial investment managers and private investment funds in all aspects of their business, including compliance, securities laws and regulatory matters, formation, structuring and ongoing operational needs. Prior to joining SRZ, Ms. Rosen was a legal clerk at the legal department of the Knesset, the Israeli parliament. She also served as a first lieutenant in the Israeli Air Force. Ms. Rosen graduated with an LL.B from the Hebrew University of Jerusalem, Israel. She is a member of the New York State Bar.
Nicole Kalajian represents securities and commodities professionals in a variety of regulatory, compliance and corporate matters. She has extensive experience launching and advising various investment vehicles, such as hedge funds, private equity funds, venture capital funds, real estate funds, commodity pools, fund of funds and socially responsible investment (SRI) vehicles. Nicole provides legal and compliance guidance to registered and exempt investment advisers, commodity pool operators (CPOs), commodity trading advisers (CTAs), introducing brokers (IBs), forex (FX) firms, proprietary trading firms and broker-dealers (BDs). She also serves as counsel to boards, mutual funds and exchange-traded funds (ETFs).
Nicole drafts and develops disclosure documents, compliance manuals, policies and procedures, corporate documents, contracts/trade agreements and advertising materials. She also provides legal and structuring guidance concerning master-feeder structures, domestic and foreign funds, international offerings and separately managed accounts.
Nicole counsels clients in compliance and regulatory matters involving the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), Financial Industry Regulatory Authority (FINRA), Environmental Protection Agency (EPA), exchange and State regulatory authorities. She advises institutional investors in connection with their investments in third-party and private funds. Nicole is a former Co- Chairman of the Chicago Bar Association’s Financial Investment Services Committee and the Futures & Derivatives Law Committee. She was selected by Super Lawyers as a 2016 and 2017 Rising Star in Securities and Corporate Finance.
Noah Leichtling is a Partner, General Counsel and Chief Compliance Officer of Gamut. Prior to joining Gamut, Mr.
Leichtling was a Partner and Head of the New York Corporate Group at Katten Muchin Rosenman LLP, where his
principal areas of practice were general corporate law, private equity, and mergers and acquisitions. Mr. Leichtling
graduated from Northwestern University with a BS in Journalism and earned his JD from Georgetown University
Olivia Maginley is the General Counsel and Chief Compliance Officer of Governors Lane. Prior to Governors Lane, Olivia was an attorney at Wachtell, Lipton, Rosen & Katz, where she represented corporations and boards of directors in a wide range of complex commercial litigation and arbitration, frequently relating to large-scale mergers and acquisitions and other transactions. Olivia holds a Bachelor of Arts from the University of Toronto and a Juris Doctor from the New York University School of Law.
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.
Robert Mendelson is Chief Compliance Officer and Chief Regulatory Counsel for Oz Management. He is an Executive Managing Director and a member of the Firm’s Partner Management Committee.
Prior to joining Oz Management in 2017, Mr. Mendelson was an Attorney Fellow and Senior Advisor for the Financial Industry Regulatory Authority (FINRA). Prior to that, he spent nearly 25 years at Morgan, Lewis & Bockius LLP, most recently as a partner in the Investment Management Practice and Financial Services Transactions Group.
Mr. Mendelson holds an A.B. in Mathematics from Rice University, a M.A. in Mathematics from Brandeis and a J.D. from Boston College Law School.
Robin Roger is General Counsel at Engineers Gate. She joined the company at its inception in January 2014. Previously, she served as General Counsel and Co-Chief Operating Officer of Harbinger Capital Partners. Prior to joining Harbinger Capital in 2009, Ms. Roger was General Counsel at Duff Capital Advisors, a multi-strategy investment advisor. She previously served as General Counsel to Jane Street Capital, a proprietary trading firm, and Moore Capital Management, a multi-strategy hedge fund. Ms. Roger worked at Morgan Stanley from 1989 to 2006. While there, she headed the global equity sales and trading legal practice group, served as General Counsel of the Institutional Securities Division, Morgan Stanley’s investment bank, and performed other roles at the corporate level, including Chief Administrative Officer of Morgan Stanley. She received a BA from Yale College and a JD from Harvard Law School.
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.
Scott Weisman is a Managing Director and Global Chief Compliance Officer at Bain Capital. Prior to joining the firm in 2016, he was a Managing Director in the Financial Services Regulatory Practice at PricewaterhouseCoopers and earlier served as an Assistant Director in the SEC’s Division of Enforcement. Scott holds an LL.M. degree in Securities and Financial Regulation from Georgetown University, a J.D. from American University, and B.A. from the University of Pennsylvania.
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.
Mr. Spencer is a Senior Managing Director as well as the General Counsel and Chief Compliance Officer of Siris Capital. He joined Siris from Point72 Asset Management, L.P., where he was a Managing Director in the legal department, primarily representing the firm in connection with its private investments. Previously, he was an attorney with the law firm of Schulte Roth & Zabel LLP. He earned his J.D., magna cum laude, from St. John’s University School of Law and a B.Sc. in Industrial and Labor Relations from Cornell University.
Terrance J. O’Malley is the General Counsel of Blue Ridge Capital, L.L.C. Prior to joining Blue Ridge in 2009, Mr. O’Malley was a partner in the asset management group at Fried, Frank, Harris, Shriver & Jacobson LLP.
Mr. O’Malley has been an active participant in the hedge fund legal and regulatory community. Mr. O’Malley has served on several committees at the Managed Funds Association and currently is a member of the steering committee for the Chief Operating Officer Forum. He is co-author of The Investment Adviser’s Legal and Compliance Guide (Wolters Kluwer), as well as the soon-to- be-published book, An Insiders’ Guide to Hedge Funds – Successfully Managing the Middle and Back Office. Mr. O’Malley has been recognized by Chambers USA: America's Leading Lawyers for Business as a leading individual in Investment Funds: Registered Funds (National) and by Legal 500 in Investment Funds - Alternative/Hedge Fund Formations. He has also been cited by the BTI Consulting Group as a "Client Services All-Star" based on an independent survey of general counsels and business unit heads at the world's largest investment banks. Mr. O’Malley graduated from Boston College in 1985 and Cornell Law School in 1990. He began his legal career as an attorney in the SEC’s Division of Enforcement.
Tracey is the Chief Legal Officer at Bridgewater Associates, LP. Tracey joined Bridgewater in 2012 and oversees the legal function of Bridgewater’s Legal & Regulatory Group. Prior to joining Bridgewater, Tracey spent close to a decade with the international law firms, Milbank, Tweed, Hadley & McCloy LLP and Dewey & LeBoeuf LLP, representing banks, issuers, private equity funds and mezzanine funds in a wide range of banking and securities transactions.
Tracey received her Bachelor of Arts degree from The Johns Hopkins University, Master of Sciences degree from University of Pennsylvania, and Juris Doctorate from University of Southern California School of Law. Tracey serves on the Board of Directors of Make-A-Wish Connecticut and The Johns Hopkins Lacrosse Advisory Board. Tracey is a member of the California State Bar, New York State Bar, District of Columbia Bar, and is Authorized In-House Counsel in Connecticut.
Trevor S. Wiessmann currently serves as the Chief Compliance Officer and Deputy General Counsel of Maverick Capital. Prior to joining Maverick Capital, Mr. Wiessmann spent two years as the General Counsel and Chief Compliance Officer of Mudrick Capital, an investment adviser focused on distressed debt investing, and five years as senior counsel at Two Sigma, one of the world’s leading quantitative investment firms. In addition, Mr. Wiessmann served as in-house counsel at Credit Suisse and was an associate at Schulte Roth & Zabel. Mr. Wiessmann obtained his law degree from Georgetown University Law Center and his undergraduate degree from Columbia University.
Vick Sandhu is the Chief Operating Officer, General Counsel and Chief Compliance Officer of Honeycomb Asset Management LP, an equity long/short investment firm based in Manhattan. Prior to joining Honeycomb in February 2016, Vick Sandhu was General Counsel & Chief Compliance Officer for P. Schoenfeld Asset Management L.P. (PSAM), an event-driven investment firm. Prior to joining PSAM in 2013, Vick was Associate General Counsel for over 7 years at Silver Point Capital, L.P., an investment firm focused on credit and credit-related investments. Vick began his career at Cleary Gottlieb Steen & Hamilton LLP in 2001. Vick received a B.A. from Yale University graduating magna cum laude and a J.D. from NYU Law School.
Ms. Hadis is General Counsel and Chief Compliance Officer, overseeing Odyssey’s legal and compliance functions. Previously, Ms. Hadis worked at J.P. Morgan Private Bank as Compliance Director, Vice President and Assistant General Counsel of the alternative investments business. Prior to J.P. Morgan Private Bank, Ms. Hadis worked as an attorney at Dewey & LeBoeuf LLP in the Private Equity group. Prior to Dewey, she worked at Arthur D. Little, a strategic consulting firm.
A native of New Jersey, Ms. Hadis received her B.A. in the Mathematical Methods and the Social Sciences from Northwestern University and her J.D. from Fordham University School of Law.
Ms. Jing is the General Counsel and Chief Compliance Officer of Chalkstream Capital Group, L.P. Ms. Jing joined Chalkstream from Barclays, where she was responsible for day-to-day legal and regulatory matters for Barclays Capital’s U.S. asset management businesses. After beginning her legal career at the law firm of Davis Polk & Wardell LLP, Ms. Jing was the Senior Vice President and General Counsel at Asset Alliance Corporation and the General Counsel and Chief Compliance Officer at Arrowhawk Capital Partners. Ms. Jing graduated with a B.A. in English and Economics from Wellesley College and received her J.D. from Yale Law School.
Adam Hakki is Global Head of the Firm’s Litigation Group and a member of the Firm’s Executive Group.
Adam divides his practice between litigation and government/regulatory investigations, with particular
focus on securities, antitrust, and corporate governance matters, both civil and criminal. Adam regularly
appears in the courtroom, boardroom and before the Department of Justice, Securities and Exchange
Commission, CFTC, FINRA, and other regulators. With decades of experience, Adam is seasoned in crisis
management and a first-choice counsel to the financial industry for major cases and investigations. Adam
also frequently represents companies, directors and senior executives in other industries, especially
healthcare, energy/oil and gas, technology and media. In 2016, Benchmark Litigation named Adam the
“Securities Lawyer of the Year” for the entire United States.
Jamie Lynn Walter is a partner in the Investment Funds Group in the Washington, D.C. office of Kirkland & Ellis. Prior to
joining Kirkland, Ms. Walter was Senior Counsel in the Private Funds Branch of the SEC’s Division of Investment Management. While
at the SEC, she provided legal advice and guidance on a wide range of matters involving the regulation of investment advisers
and investment funds, including private funds, mutual funds and exchange-traded funds. She worked closely with the SEC’s
Division of Enforcement and Office of Compliance Inspections and Examinations (OCIE) on matters relating to private funds
and investment advisers, including pending examinations and possible enforcement actions. Prior to joining the SEC, Ms.
Walter was in private practice where she advised clients on a variety of legal matters related to the structure, management and
operation of private funds. Before entering private practice, she served as law clerk to Judge Jacques L. Wiener, Jr. of the
United States Court of Appeals for the Fifth Circuit.
Jason S. Kaplan is a partner at Schulte Roth & Zabel, where his practice concentrates on corporate and
securities matters for investment managers and alternative investment funds. He represents institutional and
entrepreneurial investment managers, financial services firms and private investment funds in all aspects of
their business. He advises managers of hedge, private equity and hybrid funds regarding the structure of
their businesses and on day-to- day operational, securities, corporate and compliance issues; structures and
negotiates seed and strategic investments and relationships and joint ventures; and advises investment
managers with respect to regulatory and compliance issues.
Jason has been recognized as a leading lawyer by Chambers USA, The Legal 500 US, IFLR1000 and New
York Super Lawyers. Jason publishes and speaks often on topics of concern to private investment funds.
Jason is the co-author of Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press) and
“Information Security: Obligations and Expectations,” an SRZ White Paper. A recognized thought leader, he
was quoted in the articles “Schulte Roth Partners Discuss Hedge Fund Seeding” and “Co-Investments with
SRZ’s Leading Fund Formation Group,” both published in The Hedge Fund Journal. Jason was also quoted
in the Financial Times FundFire article “Hedge Fund Co-Investing Picks Up Steam.” A sought-after speaker,
he presented at the Goldman Sachs Annual Hedge Fund Conference, Financial Executives Alliance’s
Regulatory Hot Topics for Private Equity Firms conference and at ALM’s 2017 Hedge Fund General Counsel
& Compliance Officer Summit.
Jason earned his J.D. from Fordham University School of Law and his B.S. from the University of Michigan.
Jeffrey Schultz, Managing Director, Senior Counsel and Chief Compliance Officer. Mr. Schultz brings more than a decade of industry experience to his role at GPB Capital, a private equity firm focused on acquiring and operating income-producing private companies, where he is responsible for the firm's legal affairs and compliance program. Since joining GPB Capital in early 2016, the firm has grown from 22 to 87 employees and AUM has quadrupled. Prior to joining GPB, Mr. Schultz served as Chief Legal Officer and Chief Compliance Officer of Phoenix Investment Adviser LLC, a hedge fund with $1B in AUM, where he oversaw all legal and compliance matters. Before that, he served as Legal Counsel for BNP Paribas Investment Partners where he provided legal and regulatory advice to the bank’s North American asset management business with approximately $68B in AUM. Mr. Schultz also served as an associate in the asset management practices of Bingham McCutchen LLP and Katten Muchin Rosenman LLP. He received his B.A. from the University of Michigan and his J.D.from the Benjamin N. Cardozo School of Law.
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. Landa is a partner in Davis Polk’s Investment Management/Private Funds Group. He
advises a wide range of clients on the formation and operation of private investment funds,
including private equity funds, hedge funds, credit funds, secondary funds, real estate funds,
funds of funds and advisory platforms. He also regularly provides regulatory and compliance
advice to his private fund clients.
He advises clients on secondary, private equity and public market transactions as well as
acquisitions of investment advisers.
Mr. Landa also represents several large institutional investors that invest in private funds.
Representative private fund clients have included Blackstone Strategic Partners, Credit Suisse,
Avenue Capital, Oaktree Capital, Mudrick Capital, Hitchwood Capital, Perella Weinberg
Partners, Reverence Capital, Czech Asset Management, Citadel, Fore Research, Morgan
Stanley and J.P. Morgan.
Meg Eisner is the Chief Compliance Officer and a partner at QVT Financial LP, a multi-strategy investment manager to hedge funds and private equity funds. Prior to joining QVT in 2007, Ms. Eisner earned an A.B. in International Political Economy, summa cum laude, from Fordham University, where she was elected to Phi Beta Kappa and ranked first in her graduating class.
Peter is insightful, commercial, and dedicated to his clients and their businesses. Having served as the General Counsel and Chief Operating Officer of a buy-side investment firm early in his career, Peter has a unique understanding of his clients' goals and the nature of their interactions with investors, regulators, auditors, administrators, employees, and outside counsel.
Peter divides his time between representing top-50 (by assets under management) hedge fund managers and well-pedigreed managers launching their first funds; he enjoys the differing needs of these two client bases. Clients benefit from Peter's candor and experience. He advises them on the formation and structuring of funds and management companies, compliance and regulatory matters, and executive and employee compensation (on both the manager and employee sides). He also has particular expertise in advising clients with respect to insider trading determinations, including with respect to the purchase, analysis and use of alternative/big data. In all these areas, Peter strives to be a business-minded, solutions-oriented counselor.
Peter H. Lieberman is Co-Chair of Greenberg Traurig’s Global Corporate Practice. He has more than 20 years of broad experience in mergers and acquisitions, private equity, public company and hedge fund transactions, start-up and venture capital financings, and complex securities trading and structuring matters. Peter brings to his work a diverse transactional background and trained at the New York law firm of Wachtell, Lipton, Rosen & Katz, where he was involved in both hostile and negotiated transactions (including proxy contests and the implementation of takeover defenses).
Rich Cohen is President and General Counsel of Corporate Creations International Inc., the
3 rd largest Registered Agent. Rich has more than 30 years of legal, business and consulting
experience focused on providing the most efficient legal services to clients. Prior to joining
Corporate Creations, Rich served as a Managing Director of Duff & Phelps and President of
RenewData Corp. He has also held senior positions with The Garden City Group and
LexisNexis, and he has served as General Counsel of Ohio Power and Columbus Southern
Power. Rich has been recognized as an AV Preeminent rated attorney every year since
1998. Rich serves on the Corporate Counsel Advisory Board of The Metropolitan Corporate
Counsel and as Editor in Chief of The Electricity Journal. He is a recipient of the Corporate
Legal Times Distinguished Legal Service Award. He has served as President of Association
of Corporate Counsel Central Ohio, on the Board of Advisors for Bryan University, and as
Co-Chair of the Mass Tort Subcommittee of American Bankruptcy Institute and is currently
President of B’nai Aviv Synagogue in Weston, Florida. Rich is a member of Ohio State Bar
and Authorized House Counsel in Florida. He graduated from State University of New York
at Buffalo and from University of Akron School of Law. Rich and his family reside in Weston,
Robert B. Van Grover is a partner in and co-head of Seward & Kissel’s Investment Management Group. He joined the Firm in 1997. Rob specializes in the formation and representation of private funds (U.S., offshore, single and multi-strategy, fund of funds and private equity), investment advisers (federal or state registered and non-registered), broker-dealers, commodity pool operators and commodity trading advisers. Rob advises clients on a wide variety of securities, tax and business law matters relating to the investment management business, including compliance and regulatory matters, fund and management company structuring, counseling on mergers and acquisitions, buy-sell agreements, employment matters, non-compete and confidentiality agreements, marketing and distribution arrangements and presentation materials, joint ventures, seed capital arrangements, soft dollar and other brokerage arrangements, and general organizational matters. Rob is a contributing author to Hedge Funds: Law and Regulation (Sweet & Maxwell 2001) (chapter entitled, "U.S. Legal and Regulatory Issues Faced by Offshore Funds and Their Sponsors") and has authored articles on various investment management topics. Rob is a frequent speaker on "hedge fund" and investment management related issues. Rob is a member of the American Bar Association (Business Section) and the International Bar Association.
Steven is a partner in the Commercial Litigation Group. Steven is an experienced trial lawyer with numerous successful verdicts for Reed Smith clients. He has handled virtually all types of complex commercial litigation, class actions and financial services litigation, for both plaintiffs and defendants, involving securities fraud, consumer fraud, breach of contract, corporate waste/mismanagement, Foreign Sovereign Immunities Act, fraudulent transfer, intellectual property, breach of fiduciary duty and theft of trade secrets. He has also been involved in a number of preliminary injunction hearings and arbitrations. He has served clients in the financial services, telecommunications, pharmaceuticals, internet and technology, media, professional services, retail, real estate and hospitality industries. Recently, Steven has been engaged by Fortune 200 companies to combat the counterfeiting of their products. Steven has argued numerous times before the U. S. Court of Appeals, U. S. District Court, the New York State Court of Appeals, the New York State Appellate Divisions and the New York State Supreme Court. Steven serves on the New York City Bar Association’s “Committee on the Judiciary.” The Committee on the Judiciary evaluates candidates for election and appointment to judicial office in the Federal and State Courts in New York City. The Committee has been in existence for over 140 years, and seeks to ensure that candidates meet appropriate standards of professional competence and integrity, and are selected based on merit. Martindale-Hubbell gave Steven its highest ranking signifying that his "legal abilities are of the very highest standard.”
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:
- Operational Due Diligence
- Use of technology with respect to compliance & in-house legal teams
- The evolving role of the General Counsel (under Trump)
- Data privacy and the cyber landscape
- Tackling legal & compliance issues from a Hedge Fund vs. Private Equity standpoint
- Investment Research: current and future
- Marketing challenges in the US and abroad
- 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.
107 East 16th Street
New York, NY, 10003
This event starts on January 23rd at 12:00 PM.