General Counsel & Compliance Conference
This event starts on October 11th at 12:00 PM.
On October 11th, 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:
- GDPR & NYFDS Cybersecurity Regulations: Maintaining Compliance both Locally & Globally
- The Effects of Technology on the Legal Landscape
- Expectations & Trends in SEC Examinations for the Near Future
- Investment Research, Big Data, & Web Scraping: Ethics & More
- The Evolving Role of the General Counsel
- 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.
More speakers to come!
Interested in speaking? Contact email@example.com
Adam Felsenthal is the Vice President - Legal and Compliance of Irving Place Capital. Prior to Irving Place, Mr. Felsenthal was an Associate at the law firms of Davis Polk & Wardwell LLP and Paul, Weiss, Rifkind Wharton & Garrison LLP. Mr. Felsenthal received a J.D. from the New York University School of Law, where he was a Robert McKay Scholar, and a B.S., cum laude, in Accounting from Yeshiva University, and is also a Certified Public Accountant. Based in New York City, Irving Place Capital (IPC) is a mid-market private equity firm that invests in the industrial, packaging, consumer and retail industries. Since its founding in 1997, IPC has invested in over 60 portfolio companies, and focuses on making control or entrepreneur-driven investments where it can apply its substantial operating and strategic resources and expertise to enhance value. IPC has successfully executed a broad range of transactions, including buyouts, recapitalizations, build-ups, corporate divestitures, take-privates and distressed-to-control situations, and generally seeks to invest in companies headquartered in North America or Western Europe. More information about Irving Place Capital is available at www.irvingplacecapital.com.
Alex is Cadre’s General Counsel and Chief Compliance Officer. Alex has overseen Cadre’s legal, regulatory, and compliance matters since joining the firm in 2015. Prior to joining Cadre, Alex served as an Associate at Simpson Thacher & Bartlett LLP and Shearman & Sterling LLP. While at Simpson and Shearman, he worked on a broad range of corporate and commercial real estate transactions for private equity funds such as Blackstone, KKR, Northwood Investors, Centerbridge Partners, and Carlyle; foreign and domestic financial institutions including Bank of America, Deutsche Bank, and Citigroup; and sovereign wealth funds such as WAFRA. Alex received his J.D. from the University of Pennsylvania Law School.
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. Mr. Reardon is directly responsible for all legal matters, including transactions, fund formation, offerings, litigation and general corporate matters. Mr. Reardon also functions as a part of the transaction team throughout the investment and post-investment process. In addition, Mr. Reardon is a member of the compliance team and coordinates with the chief compliance officer on such matters. Prior to joining HCR, Mr. Reardon was a corporate lawyer with Willkie Farr & Gallagher. Mr. Reardon’s legal 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.
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.
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 Tween 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 his 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.
Claudia Green is General Counsel at Fermat Capital. Claudia joined Fermat in 2010. She has over 20 years of experience in cat bonds and other structured finance transactions. While an associate at Skadden from 1997 to 2005, she led numerous consecutive issuances of a flagship cat bond program (still the ILS market's largest and longest continuously running program). She also represented banks and investment managers in a wide range of securities transactions. After Skadden, Claudia continued her work in securitization and risk analysis as Vice President and Senior Analyst at Moody's, where she was responsible for reviewing the structural and legal risks in cat bonds and other vehicles. Claudia received her B.A. and L.L.B., from the University of New South Wales (1995). Claudia is a member of the New York State Bar and is Authorized In-House Counsel in Connecticut.
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 joined Wexford Capital LP in June 2012 as Deputy General Counsel. Since joining Wexford, Daniel has been primarily responsible for all compliance and regulatory matters as well as a wide variety of other legal matters that relate to Wexford's hedge funds, private equity business, portfolio companies, human resources, and general business operations. Prior to joining Wexford, Daniel served as Associate Corporate Counsel at Dreman Value Management; interned for the Honorable Michael J. Obus, Chief Administrative Judge for the Manhattan Criminal Court; and served as a research assistant to Ambassador Andrew Jacovides, the former ambassador of Cyprus to each Germany, the United State, and the United Nations. Daniel received a Juris Doctor from Fordham University School of Law in 2008, where he was only the second American law student to win the Neil Kaplan Award for the Best Oralist at the annual Willem C. Vis (East) International Arbitration Moot in Hong Kong, and a Bachelor of Arts in History from Brown University in 2003, where he studied abroad at the Universite Paris-Sorbonne (Paris I and Paris IV) in 2002.
David is General Counsel of QuisLex, Inc., an award-winning pioneer in the offshore alternative legal services industry. David has over 25 years of legal experience, including as a partner at Shearman & Sterling and Paul Hastings, where his practice focused on negotiating and structuring complex technology and intellectual property transactions. He has continually been recognized for his expertise in the field of technology and outsourcing transactions by Chambers USA and Legal 500 and is the author of “Intellectual Property in Mergers & Acquisitions,” a leading guide on the handling of intellectual property issues in corporate transactions. David received his B.S. in electrical engineering from The Cooper Union for the Advancement of Science and Arts and his J.D. from New York University School of Law.
David Levine is Chief Legal Officer for Oz Management, a global alternative asset management firm. He s also an Executive Managing Director and a member of the Firm's Partner Management Committee. Prior to joining Oz Management in January 2017, Mr. Levine spent 15 years at Deutsche Bank AG, where he most recently served as Global Head of Litigation and Regulatory Enforcement. From 1993 through 2001, Mr. Levine worked at the U.S. Securities and Exchange Commission in both New York and Washington, DC. During this time, he served in a variety of roles including as the agency's Chief of Staff ,as well as Senior Adviser to the Director of Enforcement. Mr. Levine was a member of SIFMA's Compliance and Legal Society Executive Committee and Legal Subcommittee from 2011-2017. Previously, he served on FINRA's Membership Committee (2003-2005), including as Chair in 2005. In 2006, Mr. Levine was appointed by FINRA's Board of Governors to the National Adjudicatory Council (the appellate court for FINRA enforcement actions) and served as Vice Chairman (2008) and Chairman (2009). Mr. Levine also served on FINRA's Statutory Disqualification Subcommittee from 2010-2016. Mr. Levine is the author of: Research Analyst Conflict Disclosures - Less Would Be More, BNA's Securities Regulation & Law Report (Vol. 41, No. 6) at 217 (Feb. 9, 2009); and co-author of: "You've Got Jail:" Current Trends in Civil and Criminal Enforcement of Internet Securities Fraud, 38 Georgetown American Crim. L. Rev. 405 (2001); Insider Trading Redux, Nat'l L.J. at B6 (Oct. 18, 1999); The Securities Litigation Uniform Standards Act of 1998: The Sun Sets on California's Blue Sky Laws, 54 Bus. Law. 1 (1998); The New Securities Class Action: Federal Obstacles, State Detours, 29 Ariz. L. Rev. 641 (1997); The Limits of Central Bank's Textualist Approach: Attempts to Overdraw the Bank Prove Unsuccessful, 26 Hofstra L. Rev. (1997). Mr. Levine holds a J.D. Degree from Hofstra University School of Law where he was valedictorian and an editor of the law review.
David A. Palamé is Managing Director, Deputy General Counsel at Colony Capital, Inc. (NYSE: CLNY) and General Counsel at Colony Credit Real Estate, Inc. (NYSE: CLNC). Mr. Palamé’s responsibilities cover legal, private capital formation, investment, regulatory and compliance support for the Colony Capital and Colony Credit businesses. Prior to joining the Colony Capital business in 2007, Mr. Palamé was an associate with the law firm of Sullivan & Cromwell LLP and served as a law clerk to the Honorable William J. Rea, United States District Court for the Central District of California at Los Angeles.
Mr. Palamé received a Bachelor of Arts from the State University of New York at Buffalo and a Juris Doctor degree from the University of Pennsylvania Law School, where he served on the board of officers of the University of Pennsylvania Law Review.
Diana LaMorie is a Compliance Manager at Two Sigma Investments, LP, where she drafts and administers policies and procedures to comply with SEC, CFTC, NFA regulations for three related investment advisers based in NY (as well as FCA regulations for the firm’s UK office). At Two Sigma, Diana also leads automation efforts for enhanced compliance surveillance, creates tailored compliance oversight processes for key strategic projects, and advises business constituents on various compliance matters across the firm. Prior to her current role, Diana worked at Standard General L.P. as a Legal & Compliance Associate (2012 to 2013). Prior to that, she was a Regulatory Compliance Associate at Duff & Phelps (formerly Kinetic Partners) (2010 to 2011). Diana holds a J.D. (2010) from Brooklyn Law School, as well as a B.S. in Finance (2006) and M.B.A. in Finance (2007), both from Fordham University.
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 obligations. 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 Strauss Hauer and Feld’s Investment Funds group and Soros Fund Management. 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.
Frederick Shaw, Chief Compliance Officer and Managing Director
Fred, along with his team, is responsible for the overall direction of Hamilton Lane’s domestic and international regulatory compliance programs and for ensuring that regulatory considerations around new business initiatives, offices, products and services are addressed in an appropriate manner.
Fred joined Hamilton Lane in 2011. Prior to joining Hamilton Lane Fred served as the Chief Compliance Officer for Natsource, LLC, an emissions trading firm where he managed the firm’s global compliance program. Previously, Fred held various compliance and supervisory positions at Bear Stearns Asset Management, JP Morgan Private Bank, UBS and Smith Barney.
Fred received a B.A. in Economics from the University of Delaware and a certificate in Financial Risk Management from New York University.
Gabriel Mairzadeh joined Investcorp in 2015 from Balestra Capital where he was Managing Director, General Counsel and Chief Compliance Officer. Prior to Balestra Capital, Mr. Mairzadeh spent seven years at BlackRock Alternative Advisors, and practiced law with Schulte Roth & Zabel LLP and accountancy at Deloitte & Touche LLP. Mr. Mairzadeh has a Juris Doctor from Boston University School of Law (magna cum laude) and a BBA in Accounting from Bernard M. Baruch College in New York (summa cum laude). He also holds the IACCP, CPA and CFA designations.
Mr. Nissan's practice and experience encompasses the following areas: Strategic Advice. Senior counseling concerning strategic business/legal issues (including advice on acquisitions, high stakes litigation, and liquidity strategies), execution of business plans, complex regulatory concerns and other strategic matters. Mr. Nissan also has substantial international experience including cross-border acquisitions, investments and joint ventures with a focus on China, Europe, the Middle East and South America. Mr. Nissan has been a Lecturer-in-Law at Columbia University Law School for 15 years, where he teaches a course focusing on mergers and acquisitions, private equity, venture capital and legal transactional strategies. Mr. Nissan is originally from Ramat Gan, Israel and speaks three languages. Previously, Mr. Nissan was chair of the Mergers & Acquisitions Group at O’Melveny & Myers. Mr. Nissan also was previously a partner at O’Sullivan Graev & Karabell LLP and began his career with Skadden, Arps, Slate, Meagher & Flom LLP, each in New York City. Mr. Nissan is regularly recognized as a leading lawyer in his fields of expertise by Legal 500 U.S., Super Lawyers, International Financial Law Review and Best Lawyers in America.
Jackie Jacobs joined Veronis Suhler Stevenson in 2004. Ms. Jacobs was promoted to Chief Compliance Officer and Director of Operations in 2017 and is responsible for the firm’s compliance program in addition to office management, employment & benefits administration, and oversight of the Limited Partner Portal. Previously, Ms. Jacobs served as Operations Manager at VSS. Ms. Jacobs graduated cum laude from Strayer University where she earned a B.S. in Economics.
Jared L. Landaw is the Chief Operating Officer and General Counsel of Barington Capital Group, L.P., a value-oriented activist investment firm that assists publicly traded companies in designing and implementing initiatives to improve long-term value. Mr. Landaw holds a B.A. from Colgate University, where he graduated magna cum laude and was elected to Phi Beta Kappa, and a J.D. from Columbia University School of Law, where he was a Harlan Fiske Stone Scholar and Managing Editor of the Columbia Business Law Review. He is also a member of the Board of Directors of Costar Technologies, Inc. and the Board of Trustees of Big Brothers Big Sisters of New York City, Inc. Mr. Landaw is a frequent speaker on corporate governance, shareholder activism and public company shareholder issues. Mr. Landaw leads the corporate governance efforts at Barington, which was named as having the best activist investor corporate governance team in the United State in 2016 by Capital Finance International.
Jason Barnett is one of the founding managing partners of of RXR Realty LLC ("RXR" or the "Company") where he serves as Vice Chairman, General Counsel, and Secretary of the Company. RXR is a fully integrated, multi-billion dollar private real estate company which was form subsequent to the mergers of Reckson Associates Realty Corp ("Reckson")(NYSE: RA) with SL Green, one of the largest public Real Estate management buyouts in REIT history. In this capacity, MR. Barnett is involved in many aspects of the Company's business. In addition to being responsible for all legal matters for the Company, Mr. Barnett is also responsible for overseeing the Company's transactional activities as well as the Company's corporate initiatives. Mr. Barnett is also a member of the Investment Committee of RXR. Prior to the Reckson/SL Green merger, Mr. Barnett served as Senior Executive Vice President - Corporate Initiatives, General Counsel and Secretary of Reckson, where he was responsible for all legal matters and corporate initiative related matters and integrally involved in the structuring and execution of over $6 billion of acquisitions, financings and capital market transactions. During his combined tenure between Reckson and RXR, Mr. Barnett has been integrally involved in over $37 billion of transactions, building RXR into one of the largest office landlords in Manhattan, and one of the largest owners, managers and developers in New York City and the surrounding region. The RXR platform manages 73 commercial real estate properties and investments with an aggregate gross asset value of approximately $17.9 billion, comprising approximately 23.4 million square feet of commercial operating properties and approximately 6,300 multi-family and for sale units in various stages of development in the New York Metropolitan area. Mr. Barnett is also the Senior Executive Vice President, General Counsel and member of the Board of Directors, of RNY Property Trust (ASX: RNY), a public real estate company listed on the Australian Securities Exchange. Mr. Barnett has extensive experience with both the Public Company and Private Fund structures. Mr. Barnett is a frequent speaker at industry conferences on such topics as transaction structures, joint ventures, Real Estate capital markets and corporate and compliance related matters. Prior to joining Reckson, Mr. Barnett practiced in the corporate and securities department of Sidley Austin Brown & Wood, LLP, an international law firm where he focused on Capital Markets and Real Estate Investment Trusts. He is a member of the American Bar Association, National Association of Real Estate Investment Trusts, the Real Estate Board of New York and is admitted to the Bar of the State of New York. Mr. Barnett is an active participant in his community and serves as Director, Trustee or Advisor for a number of community based organizations. Mr. Barnett also serves on the Board of Trustees of Clark University, in Worcester, MA and as a member of the London School of Economics North American Advisory Board. Mr. Barnett earned a Bachelor's of Arts from Clark University, attended the London School of Economics and earned his Juris Doctor from Emory University School of Law.
Mr. Hanlon serves as the Chief Compliance Officer for Crescent Capital Group LP and is member of Crescent’s Executive Management team. Prior to joining the team, Mr. Hanlon was the CCO for the Fidelity Investments Equity and High Income Mutual Funds and Exchanged Traded Funds. Mr. Hanlon was at Fidelity Investments for 13 years in various Compliance capacities. Mr. Hanlon practiced law as a counselor and litigator for Robins, Kaplan, Miller & Ciresi from 1992 to 2001 where he focused on advising and representing insurers on regulatory matters and complex litigation. Mr. Hanlon received a JD from Boston College Law School and BS in Finance from Boston College.
Jonathan Feiler is the General Counsel and Chief Compliance Officer of Arosa where he is responsible for managing the firm’s legal and compliance matters. Prior to joining Arosa, Jonathan worked in the Investment Management department at Schulte Roth & Zabel LLP from 2007 until 2015. While at Schulte Roth & Zabel LLP, Jonathan represented large institutional and entrepreneurial private investment fund managers and private investment funds (including hedge funds, private equity funds and hybrid funds) in connection with their structuring, formation and ongoing legal issues, as well as regulatory and compliance matters. Jonathan is a member of the New York State bar. He received his J.D. cum laude from Boston University School of Law and received a B.S. in Business Administration from the State University of New York at Albany.
Kelly Pettit is the Chief Compliance Officer and Associate General Counsel at General Atlantic. She oversees the firm's global regulatory compliance program and works on capital partnering and general legal matters as part of the firm's Legal and Compliance team. Before joining General Atlantic in 2010, Kelly was an Associate at the New York law firm Hutner Klarish LLP.
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.
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.
Mark Lande is a Senior Managing Director of Island Capital Group and its counsel. Mr. Lande also serves as the General Counsel of Island Global Yachting Ltd.
Prior to joining Island Capital Group, Mr. Lande was an Associate at Allen and Overy LLP, a renowned banking and international capital markets practice based in New York. Over his professional career, he has been involved in hundreds of transactions involving cross border financings, joint ventures, property acquisitions, real estate development, derivative transactions and SEC registered debt and equity offerings. Mr. Lande has also overseen a number of litigations.
Mr. Lande received a juris doctorate degree from University of Pennsylvania Law School in 2000 and a Bachelor of Arts degree in International Relations from University of Pennsylvania in 1992.
Mr. Polemeni is Chief Compliance Officer and Chief Regulatory Counsel of Perella Weinberg Partners. In this role, Mr. Polemeni is responsible for overseeing the Firm's compliance programs globally and is responsible for development, oversight and assessment of PWP's policies and procedures to ensure compliance with government and industry regulations. Mr. Polemeni has more than 20 years of compliance experience in the investment industry. Prior to joining PWP in 2017, Mr. Polemeni was Chief Compliance Officer and Associate General Counsel of Citadel, LLC, an SEC-registered investment adviser where he managed its asset management compliance program globally. Prior to joining Citadel in 2011, Mr. Polemeni was the Chief Legal and Chief Compliance Officer for Odyssey Investment Management and earlier for Alexandra Investment Management. Prior to joining Alexandra in 2005, he was a Partner in Epstein Becker & Green, P.C.'s New York office. Mr. Polemeni earned a Bachelor of Arts and Juris Doctor from Georgetown University. He is a member of the Speaking Faculty of the Regulatory Compliance Association, and serves on the Board of Governors of the Georgetown University Alumni Association.
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 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 Butler is the General Counsel and CCO at Nokota Management, LP where he manages all legal and compliance matters on behalf of the firm's managed hedge funds. Prior to Nokota, Michael most recently served as the GC and CCO of Garrison Investment Group, a diversified asset manager in the corporate lending, real estate and opportunistic sectors. At Garrison, Mr. Butler oversaw all aspects of Garrison's legal and compliance program, comprising over thirty private investment funds, a publicly traded BDC, a broadly syndicated CLO platform and an affiliated broker dealer. Mr. Butler previously acted as Associate GC and Executive VP at Bain Capital, and prior to Bain, Mr. Butler was Counsel at TPG-Axon Capital, a global long-short investment fund. He began his legal career at Ropes & Gray LLP, and previously worked as a Consultant at the Exeter Group and Accenture. Mr. Butler holds a B.A. from Cornell University, a J.D. and an LLM (Tax) from the New York University School of Law, and an MBA from the Judge Business School at the University of Cambridge.
Patrick Gordon is Deputy General Counsel at GLG. Prior to GLG, Patrick was a litigator at Morvillo, Abramowitz, Grand, Iason, Anello & Borher and Skadden, Arps, Slate, Meagher & Flom. Patrick also clerked for the Honorable Joseph McLaughlin of the U.S. Court of Appeals for the Second Circuit. Patrick received a BA from the University of Virginia and a JD from St. John’s University School of Law.
Mr. Ellenbogen serves as Counsel & CCO to Ulysses Management LLC, the family office successor to the historic hedge fund, Odyssey Partners L.P.; Counsel & CCO to a distressed strategy private fund sponsor in windup due to retirement of the Principal; and provides regulatory and operations consulting to several premier law firms and their clients.
Mr. Ellenbogen has more than 30-years law firm, general counsel and chief compliance officer experience, including 21 years at Weil Gotshal & Manges LLP and serving as General Counsel & CCO of a boutique investment management firm managing separately managed accounts, hedge funds and a venture capital fund.
Mr. Ellenbogen earned an MBA, With Distinction from Pace University and a J.D. from New York Law School.
Richard Wheelahan is the general counsel and chief compliance officer of Capitala Group and Capitala Finance Corp. (NASDAQ:CPTA). Richard was hired by Capitala Group in 2010 as an investment professional. In addition to serving as chief compliance officer and general counsel for the firm, Richard has a meaningful role in all capital markets activities of the firm, including the investment advisers and also the funds' debt and equity offerings, credit facilities and structured finance transactions. Prior to joining Capitala Group, Richard was a structured finance attorney with Mayer Brown LLP and a corporate transactional attorney with Moore & Van Allen PLLC. Richard graduated from Appalachian State University with a B.A. in Political Science and Russian Interdisciplinary Studies, received his J.D. from the University of North Carolina School of Law in Chapel Hill, NC, and is a member of the North Carolina Bar.
Simon Raykher is the General Counsel and Chief Compliance Officer of Kepos Capital, a systematic investment management firm. Prior to joining Kepos in 2013, Simon served as General Counsel and Chief Compliance Officer of Lombard Odier Asset Management (USA) Corp, the US asset management subsidiary of one of the oldest and largest private banks in Switzerland. For the previous seven years, he was General Counsel, Chief Compliance Officer and Principal of Satellite Asset Management, L.P., a multi-strategy investment manager, based in New York and London. Prior to Satellite, Simon was an attorney with the law firm of Schulte Roth & Zabel LLP. Earlier in his career, he was a prosecutor with the Investigation Division of the New York County District Attorney's office, where he conducted tax fraud and money laundering investigations. Simon started his career as an auditor with Coopers & Lybrand. Simon is an Adjunct Professor at Fordham University School of Law. Simon earned a B.A. and an M.B.A. from Pace University and a J.D. from Fordham University School of Law.
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.
Tracey is the Chief Legal Officer at Bridgewater Associates, LP and has been with Bridgewater since 2012. Tracey is responsible for the management of legal risk across Bridgewater and the funds, and oversees legal work product and related internal controls functions. 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 also has experience representing public and private companies on corporate law and corporate governance matters.
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.
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.
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.
Chris Wells heads Proskauer’s Hedge Funds Group and has been a leading lawyer in the hedge fund industry for more than 30 years. During that time, he has assisted on hundreds of hedge fund launches, counselling and assisting hedge fund managers as they grew from often very modest beginnings to become some of the world’s largest and best known hedge funds.
He advises fund managers and investors on all aspects of the hedge fund business, including fund structuring and formation, seed investments, asset manager M&A transactions, agreements among principals, employment and compensation issues, and regulatory and enforcement matters.
Chris’s long and deep experience in the hedge fund industry gives him a unique ability to counsel clients dealing with some of the most challenging situations that fund managers can encounter, including complex fund restructurings, evolving hedge fund investment terms, hybrid and alternative fund structures, liquidity challenges and constraints, internal disputes, and complex enforcement matters.
Ed Dartley is a partner in the firm’s New York office where he is a member of the investment management group. Mr. Dartley concentrates his practice on the alternative investment asset classes, including private equity, real estate and venture capital funds, counseling clients on fund formation, governance, and regulatory and other matters. He has a particular focus on emerging and middle market private equity and other private fund managers, and advises them on a wide range of issues facing the industry today. Mr. Dartley regularly counsels private fund managers on seeding and joint venture relationships, and his practice includes representation of a number of international clients seeking to establish or expand their business in the United States. He also advises a number of start-up and emerging private companies outside of the investment management industry.
Mr. Dartley as part of his practice advises energy-focused alternative asset managers and companies on a wide variety of matters, and has worked with industry players in both the traditional and alternative energy industries. In addition, he has extensive experience advising clients in the FinTech and marketplace lending industries.
With over a decade of experience as in-house counsel and chief compliance officer, Mr. Dartley has deep in-house experience and a unique perspective on how asset management works from the inside. Mr. Dartley continues to utilize this experience by serving as regular outside counsel to a number of clients of the firm.
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 Moskowitz, CPA, has more than 15 years of experience providing audit and accounting services, primarily focused on serving clients in the financial services sector. His clients include broker dealers, investment management companies, hedge and private equity funds, and finance companies. Jeff is a member of CohnReznick’s Financial Services Industry Practice and has also been a member of the Firm’s Quality Control Department. He has worked with clients from start-ups to multi-billion dollar SEC registrants, both in a direct client service and quality control capacity. Prior to joining CohnReznick, Jeff worked in a financial services industry practice of a Big Four firm and an international accounting firm where he gained more than 10 years of experience providing audit and assurance services for clients in the financial services sector. His experience during that time included analysis of quarterly and annual financial statements in compliance with SEC regulations, assessing internal control procedures, as well as performing annual audits of private companies. Jeff has lectured at a number of financial service events and is involved in various publications in the financial services industry. He also actively participates in several local institutions. In 2015, Jeff was named as a CPA Practice Advisor “40 Under 40” honoree, which recognizes professionals helping lead the accounting profession into the future.
Mr. Schultz is an attorney who brings more than a decade of industry experience representing hedge funds and private equity funds, most recently as Senior Counsel and Chief Compliance Officer at GPB Capital, a private equity firm focused on acquiring and operating income-producing private companies, where he was responsible for the firm's legal affairs and compliance program. Since joining GPB Capital in early 2016, the firm has grown from 22 to 80 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 appx $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. Mr. Schultz is a founding member of YJP's General Counsel and CCO Division.
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.
Marc Powers understands the legal, business and regulatory environment surrounding his clients, where he confidently and creatively acts on behalf of his diverse client base. The former leader of the firm's Securities Litigation and Regulatory Enforcement practice team, as well as the Hedge Fund Industry practice team, Marc is retained for complex securities and business litigation and SEC enforcement investigations, especially those involving high-profile parallel proceedings and insider trading.
Marc often acts as offsite General Counsel to emerging and established companies in varied industries, guiding them on their legal issues and strategic decisions to achieve their business, regulatory and compliance goals. Marc also advises clients specifically on regulatory compliance with blockchain technology and the federal securities laws, and in forming cryptocurrency investment funds. For hedge funds, Marc's broad experience advises on all aspects of a fund's operation, from formation to regulatory compliance to unavoidable litigations.
Marc is ranked by Chambers USA and Legal 500 as one of New York's leading lawyers in securities and shareholder litigation, and is commended by Chambers "for his impressive handling of high-stakes disputes, in particular in the securities area" (Chambers USA 2015). He is described by clients as an attorney who "has a wealth of knowledge in his field” and the ability “to couch things in a way that businesses can understand” (Chambers USA 2018). Marc formerly worked at the SEC and has been recognized as a New York "Super Lawyer" every year since 2006.
What keeps his clients up at night keeps Peter up at night.
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.
Richard L. Shamos is Counsel in the Firm's Financial Services Group. Mr. Shamos advises financial services firms on the structuring and distribution of investment funds, including hedge funds, private equity funds, registered funds and sub-advised products. Mr. Shamos specializes in bespoke investment fund structures involving alternative asset classes, cross-border fund structuring and distribution, and international taxation and securities law issues. Mr. Shamos has extensive experience with the operation and design of U.S. partnership vehicles, as well as European and offshore fund structures, including Luxembourg, Irish, Dutch, Cayman, BVI and Bermuda-based companies. He has also advised companies in connection with international regulatory issues, including UCITS fund structuring, the conversion of alternative funds to AIFs, the structuring of multi-manager and multi-strategy products, and cross-border regulatory compliance arising from the distribution of funds in Europe, Asia, Latin America and the Middle East. In addition, Mr. Shamos has counseled investment advisers and financial services companies on a variety of transactions, including cross-border fund mergers, corporate acquisitions, securities offerings, fund restructurings and asset-backed securitizations. Mr. Shamos has also advised banks and investment managers in connection with bankruptcy law, regulatory enforcement and securities litigation. Prior to joining the firm, Mr. Shamos was Director of International Legal at AllianceBernstein, where advised on the development of new investment products for the firm's international funds platform, including equity, fixed-income and multi-asset funds, as well as fund of funds and multi-manager fund structures. Mr. Shamos previously was an associate at Schulte, Roth & Zabel LLP and at Clifford Changes US LLP in New York. Mr. Shamos is a classically trained pianist, is fluent in German and also speaks Spanish.
Robert G. Leonard is a partner in the Hedge Funds Group. For more than 25 years Rob has been structuring, organizing and representing hedge funds, funds of funds and other private investment funds (both domestic and offshore) and investment advisers. He has structured and organized numerous master-feeder, side-by-side and mini-master-feeder funds for hedge fund managers engaged in myriad strategies, including long/short equity, multi-strat, credit, distressed credit, mortgage-backed securities, risk arb, emerging markets, global macro, stat arb, relative value and event driven. Rob has advised managers on seed deals, founder’s classes, funds of one and placement agreements and develops innovative ways of building asset bases. He also has worked with managers on bringing in and retaining talent through structuring employment, “phantom” equity and true equity arrangements.