General Counsel & Compliance Conference
Adam Felsenthal is the Vice President - Legal and Compliance of Irving Place Capital, a mid-market private equity buyout fund sponsor. 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.
Adam J. Reback has been Chief Compliance Officer and Partner of J. Goldman & Co., L.P. ("JGC") from 2006-2019, JGC is hedge fund, based in New York, NY. Mr. Reback has over 20 years of experience in hedge fund, investment adviser, investment company, and broker-dealer compliance. While at JGC, Mr. Reback was responsible for all Legal/Compliance matters of JGC including the development, implementation and assessment of the firm's compliance program in addition to jointly overseeing the administration/HR, Operations, and IT Departments of the firm. Prior to joining JGC, Mr. Reback was the Chief Compliance Officer and member of the Senior Managing Committee of BFK Asset Management, Inc. and Gruntal & Co., Inc. Mr. Reback has held FINRA series 7, 9, 10, 24, 62, and 63 registrations. Mr. Reback serves on the Board of Directors of The National Society of Compliance Professionals (NSCP) and chairs the NSCP Private Funds Committee. Mr. Reback is a regular contributor to various investment industry periodicals and a frequent speaker on a wide variety of topics relating to hedge fund, investment adviser and broker-dealer regulation and compliance.
Adam Schreck is the General Counsel of Discovery Capital Management, LLC, an investment management firm that employs discretionary global macro and fundamental strategies to identify long and short investment opportunities across asset classes. Prior to joining Discovery in February 2011, Mr. Schreck was an attorney in the Investment Management Group at Seward & Kissel LLP. While at Seward & Kissel, he specialized in the structuring of hedge fund and private equity funds, counseled registered investment advisers on matters of SEC compliance and examinations, and provided overall corporate and securities advice. Mr. Schreck graduated magna cum laude from Yeshiva University with a B.A. in History (2000) and received his JD from the University of Pennsylvania Law School (2004).
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.
Barry Kronemer is Chief Compliance Officer at Engineers Gate. He joined the company in August 2014. Previously, he served as Regulatory & Compliance Counsel and Anti-Money Laundering Compliance Officer at Jane Street Group, LLC (2002-2014). During his time at Jane Street Group, he also traveled to London and served as Regulatory & Compliance Counsel for Jane Street Financial, Ltd. (2008-2010). Barry holds a J.D. from Whittier Law School and a B.S. from Fairleigh Dickinson University. Barry has over 20 years of legal and compliance experience. Both Jane Street and Engineers Gate focus on quantitative trading and algorithmic trading.
Barton Aronson is the General Counsel and Chief Compliance Officer of New Vernon Capital, an S.E.C.-registered investment adviser sponsoring hedge funds and private equity funds focused primarily on emerging markets. Prior to joining New Vernon Capital, he was a partner in the Washington, D.C. office of Hogan Lovells. At Hogan, his litigation practice focused on class actions, complex litigation, and government investigations across a wide range of industries, and he also assisted clients in designing litigation intake, document preservation, and electronic discovery systems and procedures. Before that, he served as an assistant U.S. attorney in Washington, D.C. and an assistant district attorney in Norfolk County, MA. He has taught Criminal Procedure and Advanced Criminal Procedure at the Georgetown University Law Center. Following law school, he clerked for U.S. District Judge Douglas Woodlock in Boston, MA. He graduated from the University of Chicago Law School with honors in 1992 and from Yale University cum laude in 1988.
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).
Ms. Vogel is a Senior Vice President and Global Chief Compliance Officer of EIG. Prior to joining the firm in 2010, Ms. Vogel was the Head of Policies and Procedures at Morgan Stanley Investment Management. Ms. Vogel has more than 25 years' experience representing asset management firms on a wide range of regulatory and compliance matters, and served as of counsel at Clifford Chance LLP, Mayer Brown LLP and Dechert LLP. Ms. Vogel serves on various industry committees and chairs the Private Equity Fund Adviser Committee of the Investment Adviser Association. She received a B.A., cum laude, from the State University of New York at Albany and a J.D. from Pace University School of Law.
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, DC. Mr. Meyering has the title of Chief Legal Office 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).
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 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 at QuisLex, Inc., an alternative legal services provider with over 1000 lawyers. In this role, David handles a wide variety of legal issues, as well as developing and implementing marketing, sales and business development strategy for QuisLex's contract management services.
David came to QuisLex with over 20 years of law firm experience, including as a partner at Shearman & Sterling and Paul Hastings , where his practice focused on negotiating and structuring complex technology transactions. He has been recognized in Chambers USA and Legal 500 as a leader in the field of technology and IT outsourcing. He is also the author of a book on the handling of intellectual property issues in corporate transactions titled "Intellectual Property in Mergers and Acquisitions."
Prior to practicing law, David worked as an avionics systems engineer on the B-2 bomber program developing automatic target recognition systems.
David has a B.E. degree in electrical engineering from The Cooper Union for the Advancement of Science and Art, and a J.D. degree from New York University School of Law. He is also admitted to practice before the U.S. Patent & Trademark Office.
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.
• Joined Cadian from BlueCrest Capital Management where he was a Principal, a member of the Operating Committee and in charge of U.S. Legal and Compliance.
• Previously, he practiced at Sidley Austin (Chicago), Covington & Burling (NY) and Davis Polk & Wardwell (NY)
• BA, History, Williams College and JD, Cornell Law School (magna cum laude and Order of the Coif)
Eva Carman is a managing partner of the New York office and co-head of the global Securities Enforcement practice. She is Chambers-ranked for “Nationwide, Securities: Regulation: Enforcement,” where she is recognized by clients as “extraordinarily knowledgeable,” “exceptionally smart” and “superb at what she does.”
She has 27 years of experience representing investment advisers and boards in connection with Securities and Exchange Commission examinations, investigations and litigated actions. Her focus is on investment company, private equity, hedge fund and credit fund defense. Her practice is nationwide. She has had recent cases in seven of the SEC's regional offices and the Washington office. Her high-profile successes include the dismissal of claims against one of the central figures in the credit crisis cases - the former head of Countrywide Home Loans. Her recent non-public successes include two rare mid-investigation dismissals of fee and expense investigations, and complete defense of a portfolio manager of a prominent hedge fund in an insider trading case. As a result of her years in the industry and track record of success, she is well-regarded by the most selective firms, who not only seek her counsel in investigations and litigated matters, but also for regulatory guidance on matters relating to insider trading, custody, anti-corruption, design and implementation of compliance programs intended to address complex and novel trading and business issues. She has also been tapped to conduct internal investigations, the most recent of which was of a commodities broker that was under investigation for complex issues associated with accounting disclosures. Throughout these matters, Eva has demonstrated the skills that make her a sought-after counselor and advocate: knowledge of the regulators, sensitivity to the nuances of working in a politically charged atmosphere, and a deep understanding of her clients' industry and businesses.
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 Yor
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.
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.
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 States in 2016 by Capital Finance International.
John Robbins, CFA has an established career leading compliance and risk management programs for some of the world’s largest financial services firms, investment advisors and mutual fund complexes. As Chief Compliance Officer for Intercontinental Exchange (NYSE:ICE) Data Services’ Registered Investment Adviser, ICE Data Pricing and Reference Data LLC, John oversees the compliance program for the company’s investment advisory evaluation services businesses. Prior to his role with ICE, John served as M&T Bank’s Wilmington Trust Chief Compliance Officer overseeing their investment management, wealth, trust, and broker dealer compliance activities for four years. Before M&T Bank, John was Managing Director and Regional Head of Compliance, Americas for BlackRock after serving as Babson Capital Management’s Global Head of Compliance from 2009 through 2011.
Prior to his role with Babson Capital Management, John served as the Global Head of Compliance for AIG Investments, overseeing the global compliance program and assisting the organization prepare the company for sale in 2009. As the Regional Head of Compliance – Americas, and Chief Compliance Officer of Deutsche Asset Management’s SEC registered advisers, John also served as the Global Head of Institutional Compliance from 2005 through 2007. John joined GE in 1999 as the compliance leader for the GE Financial Assurance Investment Department and with the integration of the investment businesses, took the Chief Compliance Officer for GE Asset Management, Inc. In this capacity, he was also the CCO for the GE Mutual Funds and GE Investment Distributors, Inc., a registered broker/dealer, until leaving for Deutsche Bank in 2005.
Preceding GE, John worked for nine years as a Chief Compliance Officer for Pacific Capital, a registered investment advisory and hedge fund manager in Seattle, Washington. He is a graduate of Occidental College and the holder of the Chartered Financial Analyst designation. John maintains several securities licenses, and has served as an expert witness, securities arbiter and on several
Joseph McGill is responsible for all of Lord Abbett’s compliance advice, monitoring, and testing in accordance with relevant U.S. federal and state regulatory agencies.
Mr. McGill joined Lord Abbett in 2014 as the Chief Compliance Officer, and was named Partner in 2015. Prior to joining the firm, he was Managing Director and Chief Compliance Officer at UBS Global Asset Management; Vice President and Assistant General Counsel at J.P. Morgan Fleming Asset Management; Vice President at Goldman Sachs Asset Management; Vice President, Chief Compliance Officer and Counsel at J. & W. Seligman & Co. Incorporated; and Assistant General Counsel at Prudential Securities Incorporated. He started his career in the financial services industry in 1986.
Mr. McGill is a former member of the Thomson Reuters Compliance Editorial Board. He also collaborated in writing and advising sections of Aspen Publishers’ Investment Adviser’s Legal and Compliance Guide.
Mr. McGill is a speaker and presenter at various compliance forums, including the Securities and Exchange Commission’s (SEC) Outreach Program. Mr. McGill established the Investment Management Regulatory Group, and he also actively participates on several boards and committees, including the Board of Directors National Society of Compliance Professionals (NSCP); Investment Adviser Committee; Investment Company Institute Compliance Committee; and the Investment Adviser Institute Compliance Committee.
Mr. McGill earned a BA from Manhattan College and a JD from New York Law School.
Ms. Murtagh is the General Counsel of Caspian Capital LP. Prior to joining Caspian, she was Counsel in the Investment Funds group of Akin Gump Strauss Hauer & Feld LLP (New York office), where her practice focused on the establishment, operation and organization of private investment funds (hedge and PE funds). Prior to joining Akin Gump, Ms. Murtagh was an Associate in the Financial Services group of Simmons & Simmons in London from 2006-2011 where she worked in the general funds practice, with a primary focus on offshore investment structures and UCITS. During this time, she completed two secondments at Seward & Kissel and at ABN Amro Asset Management Limited. Ms. Murtagh graduated from Oxford University with an honors degree and master’s degree in Law (with German Law). She is a member of the New York Bar, is a New York state notary public and is admitted as a solicitor to the Supreme Court of England and Wales.
Mr. Friedler joined Phoenix in June 2016 as General Counsel and Chief Compliance Officer. In this role, he oversees the firm’s legal and compliance matters. Prior to joining Phoenix, Mr. Friedler was a Partner at Sadis & Goldberg where he counseled investment managers, commodity pool operators and commodity trading advisors on structuring and forming US and non-US investment funds, commodity pools and separately managed accounts. Mr. Friedler also prepared and negotiated various types of agreements, including seed capital agreements and joint venture agreements. Mr Friedler also regularly advised investment managers, commodity pool operators and commodity trading advisors on registration and ongoing compliance issues with the SEC, CFTC, NFA and FINRA. Prior to joining Sadis & Goldberg, Mr. Friedler was a Partner at McCarter & English, where he represented numerous private investment funds and counseled investment advisers. Mr. Friedler holds a J.D. degree, cum laude, from New York Law School.
Mark 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.
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).
Mei-Li da Silva Vint is the Chief Compliance Officer, General Counsel, and Chief Administrative Officer at Brevet Capital, a New York based hedge fund. She spent almost five years on the Bank Resource Management team at the investment bank of Morgan Stanley where she covered key institutional clients in the fixed income and equity space, beginning on the Institutional Securities Documentation team and then joining the Sales & Marketing Team. During her time on the Sales & Marketing team, she sold securities financing products (via securities lending, repo, and derivatives products), managed a multibillion dollar exclusive securities lending portfolio, and sourced durable and sustained funding to manage the liquidity of the firm.
Her previous role on the Institutional Securities Documentation team at Morgan Stanley focused on cross-border (specifically Brazil) and local derivatives markets for fixed income, equities, and commodities. Prior to joining Morgan Stanley, she was a corporate associate at McDermott Will & Emery, an international law firm, where she executed cross-border mergers and acquisitions, joint ventures, restructurings, and venture capital and private equity related transactions. She received her J.D. from the University of Michigan Law School and her B.A. in English from Virginia Tech, where she graduated Magna Cum Laude and was Phi Beta Kappa. She is fluent in Portuguese, with a background in French. She enjoys traveling around the globe and spending time with her husband and family.
Michael Kitson is Senior Compliance Officer and Regulatory Counsel in Bridgewater's Legal and Regulatory Group. While his practice is varied, Michael is primarily responsible for advising front office personnel about legal and regulatory obligations that govern interactions with current and prospective clients of the firm. Prior to joining Bridgewater, Michael served in multiple legal and regulatory compliance advisory roles at large banks, broker-dealers, futures commission merchants, and swap dealers.
Michael received his Juris Doctor from Fordham University School of Law and his Bachelor of Arts degree from Boston College. He is a member of the New York and New Jersey bars and is Authorized In-House Counsel in Connecticut.
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.Pinnis@HudsonExecutive.com.
As Guardian’s Chief Ethics & Compliance Officer (CECO), Noreen leads the ethics and compliance program for the enterprise including responsibility for Guardian’s Code of Conduct. Noreen’s responsibilities include oversight of 85 compliance professionals who have accountability for business unit compliance and corporate shared services compliance including anti-money laundering and sanctions compliance, privacy law and compliance, anti-bribery/anti-corruption law and compliance, oversight of all regulatory inquiries and exams including market conduct exams, FINRA and SEC examinations, compliance risk assessments, the records retention program, customer complaints reporting and metrics, policy governance and compliance training.
Prior to joining Guardian, Noreen served as the Chief Compliance Officer for Retirement Solutions and Group Insurance at Prudential Financial. In that role, which included oversight for the annuities, retirement and group businesses, Noreen was responsible for a team of 70 compliance professionals located throughout the United States supporting the respective business divisions. During her ten year tenure at Prudential, Noreen served in a variety of legal and compliance roles, including serving as the enterprise Anti-Money Laundering and Anti- Corruption Compliance Officer where she was responsible for building and implementing corporate standards and operating compliance models for all businesses, both domestic and international. While serving as regulatory counsel for Prudential, Noreen was responsible for building out the outreach protocols with the State Attorneys General.
In addition to the forgoing, while at Prudential, Noreen was responsible for driving the volunteerism efforts of the Law, Compliance, Ethics and External Affairs Departments by Chairing the Volunteerism Committee and identifying social causes that not only aligned with the social investing strategy of the broader organization but allowed for team building opportunities within the department. In 2015, Noreen was charged with developing the overall talent development strategy for the enterprise compliance organization.
Prior to Prudential, Noreen worked as a senior manager for Deloitte Financial Advisory Services, LLP. She has also worked for UBS Financial Services, Inc. as legal counsel to the company’s Money Laundering Prevention Group. Prior to going in-house, Noreen was in private practice as a securities and M&A attorney.
In 2018, Noreen was named to the New York Business Journal’s list of Women of Influence. She was recently named to the Advisory Board of the American College Center for Ethics in Financial Services. Noreen is a graduate of Seton Hall Law School and is a frequent speaker on compliance and ethics issues and has authored pieces on building an FCPA compliance program. She is a periodic adjunct professor at NY Law School and a guest lecturer at Fordham Law School on general compliance issues. She is a member of Advancing Women Executives.
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.
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.
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.
Mr. Todorovich is Senior Vice President, General Counsel and Chief Compliance Officer of Shenkman Capital Management, Inc., an SEC registered investment adviser focused on traditional and alternative credit. Previously, he was General Counsel & Chief Compliance Officer of Prosiris Capital Management LP, a credit-oriented investment manager and Associate General Counsel at Eton Park Capital Management, L.P., a multi-strategy hedge fund manager. Prior to joining Eton Park, Mr. Todorovich was Vice President and Assistant General Counsel at Goldman, Sachs & Co., where he provided legal counsel to the sales and trading desks in the Fixed Income, Currency and Commodities Division. He joined Goldman Sachs from Shearman & Sterling LLP, where he was an Associate in the Asset Management Group in New York. He is an active member of industry and professional association committees and working groups focused on the investment management industry, derivatives, and financial regulation. Mr. Todorovich received his Juris Doctor from the University of Virginia School of Law, a Master of Arts in Law & Diplomacy from the Fletcher School of Law & Diplomacy and a Bachelor of Arts from Tufts University.
Mr. Lorne is Milllennium's Vice Chairman and Chief Legal Officer. Mr. Lorne oversees compliance, legal, and regulatory functions, along with management controls and internal audit. Mr. Lorne had been a partner int he law firm of Munger, Tolles & Olson LLP, which he rejoined in 1999 after originally becoming a partner in 1972.
In 1996, he became a Managing Director at Salomon Brothers where he served as the Global Head of Internal Audit. Following the merger of Salomon Brothers into Travelers Group Inc., he continued as Managing Director and as a senior member of the General Counsel's office. With the merger of Travelers Group and Citicorp, he organized and coordinated the global compliance functions of Citigroup. From 1993 to 1996, Mr. Lorne was General Counsel of the U.S. Securities and Exchange Commission. Mr. Lorne graduated cum laude with an AB from Occidental College and received his JD, magna cum laude, from the University of Michigan Law School. Mr. Lorne also serves as the Chairman of the Alternative Investment Management Association (AIMA).
Mr. Spencer is a Partner and 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.
Ms. Kitay joined Savanna as General Counsel in 2015. She is responsible for providing and/or supervising all of Savanna’s legal activities, including ensuring that all investment vehicles and transactions are structured and documented appropriately, with particular attention to business objectives. She also provides legal support and guidance with respect to fundraising, investor relations and corporate governance matters. Additionally, Ms. Kitay serves as the firm’s Chief Compliance Officer. Prior to joining Savanna, Ms. Kitay practiced law as an associate in the real estate departments of King & Spalding LLP and Goodwin Procter LLP, and most recently as counsel at Hunton & Williams LLP. Her practice focused on representing sponsors in the formation of private real estate debt and equity funds, including Savanna, and representing institutional investors, real estate investment managers, fund sponsors, REITs and other public and private real estate companies in a broad range of complex commercial real estate transactions, including purchases and sales, joint ventures, financings, restructurings, recapitalizations, and development projects. Ms. Kitay received her J.D. from Emory University School of Law and her B.A. from Trinity College.
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.
As Chief Compliance Officer of Onex Partners and ONCAP, Yonah has overall responsibility for Onex' private equity compliance program. Prior to joining Onex, Yonah served as Chief Compliance Officer and Associate General Counsel for the Alternatives business at Neuberger Berman, comprising several private equity strategies and a multi-manager hedge fund business. Previously, Yonah served as in-house legal counsel at Lehman Brothers for the Absolute Return Strategies group, supporting its proprietary hedge fund products. Yonah holds a J.D. from Fordham University School of Law and a Bachelor of Talmudic Studies from Beth Medrash Govoha.
With more than 15 years of experience in the alternative investment industry–as Vice President & Associate General Counsel of Goldman, Sachs & Co., a Director of hedge fund consulting at Deutsche Bank, and, most recently, as General Counsel of Claren Road Asset Management LLC–Ben offers firsthand knowledge of the issues facing investors, funds, and their financing and derivative counterparties. New and existing funds benefit from his transactional and regulatory experience by providing them with the ability to dodge the pitfalls of a turbulent market and translate legal and regulatory challenges into opportunities.
As a legal advisor, Ben brings value to every stage of the fund life cycle. New managers seeking capital, particularly in the startup market, rely on his experience and insights with respect to structuring, fees, and capacity. He can help identify a fund's objectives, minimizing risk through proactive counsel regarding the obstacles they are likely to face in today's market.
Ben offers the comprehensive, practical perspective of a frontline lawyer who has navigated a wide array of issues. His experience includes fund formation and restructuring, counterparty risk and fund financing, separately managed accounts and funds-of-one, ERISA-based vehicles, management company acquisitions and dispositions, and numerous and complex compliance issues ranging from insider trading to SEC exams to difficult valuation and allocation issues. His experience on both the buy side and sell side provides clients a valuable edge as they search for opportunities in a rapidly evolving environment.
Jeffrey Schultz joined Navy Capital in 2018 as General Counsel and CCO. Navy Capital is a hedge fund and venture capital fund manager that invests exclusively in the global legal cannabis industry. Mr. Schultz brings more than 12 years of experience as an attorney in the hedge fund and private equity fund industry. Prior to joining Navy, Mr. Schultz served as Managing Director, Senior Counsel and CCO for an emerging private equity fund manager with $1.7B under management, and prior to that, he served as Chief Legal Officer and CCO of a credit-focused hedge fund manager with peak AUM of $1.4B. In these roles, Mr. Schultz oversaw all legal and compliance matters, and was instrumental in designing, building and maintaing an institutional legal, compliance and operational infrastructure. Mr. Schultz began his career in private practice as an associate in the investment 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. He is a frequent speaker at conferences on legal and compliance issues in the hedge fund industry and the legal cannabis industry.
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.
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.
Rich Cohen is President and General Counsel of Corporate Creations International Inc., the 3rd 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, Florida.
Sam Lieberman is a partner in the Securities Litigation Group of Sadis & Goldberg LLP. He regularly handles high-profile securities litigation, enforcement actions, and government investigations on behalf of companies and individuals. He has handled investigations covering a wide-range of securities law issues before the SEC, FINRA, CFTC, CFE/CBOE, and CME. He has also handled precedent-setting cases addressing corporate governance, including in Delaware Chancery Court. His recent representations have been profiled in the Wall Street Journal, the New York Times, the New York Post, Bloomberg, Reuters and Law360. Sam also regularly advises companies and individuals about compliance programs and preparing for SEC compliance examinations.
Scott joined DMS in 2018 as a Director and is based in the New York office. Scott is an accomplished finance professional with more than fifteen years of experience in the accounting, software, insurance and financial markets in roles covering both the delivery and sales side of the business. Prior to joining DMS, Scott spent over three years as Director, Alternative Investments at KPMG, New York. At DMS Scott works with the New York team to identify strategic partnerships and business relationships, ensuring DMS maintains its dominance in the fund governance sector. Scott holds a bachelor's degree in Political Science from SUNY Binghamton, New York.
This event starts on March 5th at 12:00 PM.
On March 5, 2019, 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:
- SEC Enforcement Trends: Looking Ahead
- Best Practices in Cyber & Data Security
- Using Big Data Effectively & Efficiently
- 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