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Key Sessions

Ryan VanGrack

Regulators' Panel - CTFC, SEC, DoJ & NFA priorities and the enforcement landscape

US Securities and Exchange Commission

Mark DeGaetano

Live step-by-step ODD meeting

PAAMCO Prisma

7:30am - 8:15am 45 mins
Main agenda
Breakfast and Registration - GAIM Ops West 2017
8:15am - 8:30am 15 mins
Main agenda
Welcome Remarks - Day 2
  • Joann Arweiler - Managing Director, BDO
more
8:30am - 9:20am 50 mins
Main agenda
Survey and Discussion: Changing Fund structures – innovations, obstacles and opportunities
  • Laurence Herman - General Counsel & Managing Director, Gerson Lehrman Group
  • John Richardson - Chief Operating Officer and General Counsel, IONIC Capital Management LLC
  • Ginger Norman - Deputy General Counsel, Canyon Partners LLC
  • Jason Garelli - Managing Director – Head of Operational Due Diligence, Strategic Investment Group
more

Innovative funds and COOs are turning to their operating models and in particular their investment vehicles – to differentiate themselves and meet investor needs.

The focus of the 2017 GLG and GAIM Ops West Survey and keynote panel – gain an indepth understanding of how your investment vehicle offerings and practices compare to the industry, with analysis and comparisons from leading users of these new structures.

9:20am - 10:10am 50 mins
Main agenda
Regulators' Panel - CTFC, SEC, DoJ & NFA priorities and the enforcement landscape
  • SEC Ryan VanGrack - Special Counsel and Advisor to the Co-Directors of the Enforcement Division, Head of the FinTech Working Group, US Securities and Exchange Commission
  • Moderator Suzan Rose - Chief Compliance Officer, Marshall Wace North America L.P.
  • CFTC Richard Foelber - Chief, Office of Cooperative Enforcement, U.S. Commodity Futures Trading Commission
  • NFA Regina Thoele - Senior Vice President, Compliance, National Futures Association
  • DoJ Jennifer Waier - Assistant United States Attorney, U.S. Attorney's Office, Central District of California
more

Hear it direct from the lead Regulators of the alternatives industry. With topics including the state of examinations, trade surveillance and regulatory spending on technology, payment fraud, reporting and more - you are sure to understand the priorities to focus your compliance on in 2018.

10:10am - 10:40am 30 mins
Main agenda
Coffee & Refreshments
10:40am - 11:20am 40 mins
Main agenda
Interview: Surviving a cyber attack – making critical decisions in the NOW
  • FBI Ron Manuel - Special Agent - Cyber Squad, FBI Los Angeles Field Division
  • FBI Michael Sohn - Supervisory Special Agent (SSA), FBI Los Angeles Field Division
more

A cyber-attack has crippled your business, your company’s very survival is at risk. Critical, pre-planned, timely decisions must be implemented. Roles should be pre-defined not debated. You need additional resources, who are they? Is there a duty to report the incident? Can you/will you engage law-enforcement? While fighting the fight can essential business operations be continued?


11:20am - 12:00pm 40 mins
Main agenda
Live step-by-step ODD meeting
  • Moderator Mark DeGaetano - Managing Director, ODD, PAAMCO Prisma
  • Eric Siegel - Senior Managing Director, Head of Operational Due Diligence, Mesirow Advanced Strategies, Inc.
  • Brian Guzman - General Counsel, Indus Capital Partners, LLC
  • Tracy Schwartz - Chief Operating Officer, White Elm Capital LLC
more

Liquidity, side pockets, issues across strategies and much much more in this real time ODD meeting that will get to the heart of transparency and communication challenges between managers and investors. 

12:00pm - 1:20pm 80 mins
Main agenda
Lunch & speaker hosted lunch tables
  • David Bradley - Chief Operating Officer & Chief Compliance Officer, Hawk Ridge Capital Management
  • Chris Montclare - Chief Financial Officer, Fisher Lynch
  • David Katz - Chief Operating Officer , Legion Partners
  • Robin Levine - Co-founder and CEO, Scouted
  • David Geffen - President, Geffen Advisors
more

Speaker tables and topics

  • Table 1: Tips for emerging managers - scaling ODD, compliance and operations for investorsSpeaker - David Bradley, Hawk Ridge Capital
  • Table 2: Transitioning from Hedge Funds to Private EquitySpeaker: Chris Montclare, Fisher Lynch
  • Table 3: ODD on Activist Funds - what to do and what to knowSpeaker: David Katz, Legion Partners
  • Table 4: The hiring landscape: managing changing laws, expectations and generationsSpeaker: Robin Levine, Scouted
  • Table 5: Negotiating and Complying with PB agreementsSpeaker: David Geffen, Geffen Advisors
1:15pm - 1:20pm 5 mins
Main agenda
Start of Stream Sessions
more

Choose from seasons in three streams:

  • ODD & Compliance
  • Operational Alpha: evolution of fund structures and fees
  • Technology for Ops & Compliance
1:19pm - 2:04pm 45 mins
Compliance & ODD Priorities
Insider trading: recent case law and what it means for the MNPI boundary (Cooperman, Newman, Deerfield)
  • Moderator Michelle Noyes - Chief Operating Officer, AIMA NY
  • Brett Odom - Deputy Chief Compliance Officer, Partner Fund Management, L.P.
  • Michael Barry - General Counsel, Samlyn Capital
  • Brian Guzman - General Counsel, Indus Capital Partners, LLC
more
2:05pm - 2:10pm 5 mins
Compliance & ODD Priorities
Room change
2:55pm - 3:05pm 10 mins
Compliance & ODD Priorities
Quick coffee break and room change
3:05pm - 4:40pm 95 mins
Compliance & ODD Priorities
Mini-Workshops on ODD & Compliance
  • DoL Fidicuary rule Erin Simpson - Managing Director, Wilshire Associates
  • Trade monitoring JonMarc Buffa - Senior Trial Attorney, Office of Cooperative Enforcement, U.S. Commodity Futures Trading Commission
  • Live risk monitoring Joann Arweiler - Managing Director, BDO
  • Live risk monitoring Jason Garelli - Managing Director – Head of Operational Due Diligence, Strategic Investment Group
  • Fund insurance David Pollok - General Counsel, Lighthouse Investment Partners, LLC
  • Hybrid fund structures Wendy Beer - Head of Business Consulting , Wells Fargo Prime Services
  • Hybrid fund structures David Poulten - Chief Financial Officer, Chief Operating Officer, Glendon Capital Management
  • NFA reporting Patricia Cushing - Director of Compliance, National Futures Association
  • Evolution of ODD Michelle Noyes - Chief Operating Officer, AIMA NY
  • Evolution of ODD Maura Harris - Head of Due Diligence at Bostwick Capital, Bostwick Capital
more

Roundtable discussions on ODD & Compliance. 10 per table for an intimate group discussion lead by one of our expert speakers. Designed for you to get into the details of Ops and Compliance topics and have your key questions answered. First come first served, tables repeat 2 times:

Rotation 1: 3.05PM | Table Switch: 3.50PM | Rotation 2: 3.55PM | Concludes: 4.40PM

Topics including:

DoL Fiduciary Rule: what to do given uncertainty - Erin Simpson, Wilshire Fund Management

The evolution of hybrid structures: a convergence of hedge funds and private equity - Wendy Beer, Wells Fargo and David Poulten, Glendon Capital

Fund Insurance: Identifying priorities, what is required, cyber and more - David Pollok, Lighthouse Partners

Live Risk Monitoring and ODD on Individuals and Entities - Joann Arweiler, BDO & Jason Garelli, Strategic Investment Partners

Trade monitoring and surveillance: updates and expectations - JonMarc Buffa, CFTC

Managing NFA reporting rule 2-46 - Patricia Cushing, NFA

Evolution of ODD: 2017 trends and how to use DDQ data - Michelle Noyes, AIMA & Maura Harris, Bostwick Capital

4:40pm - 4:45pm 5 mins
Compliance & ODD Priorities
End of Stream
2:05pm - 2:10pm 5 mins
Operational Alpha: evolution of fund structures and fees
Room change
2:10pm - 2:55pm 45 mins
Operational Alpha: evolution of fund structures and fees
Co-investing for Managers: balancing investor needs, ODD and operational challenges
  • Douglas Anderson - Chief Compliance Officer and Counsel, Canyon Partners LLC
  • John Canorro - Managing Director, Operational Due Diligence, Cornerstone Advisors Inc.
  • Bonnie L. Harland - Director, Pouschine Cook Capital Management, LLC
more
2:55pm - 3:05pm 10 mins
Operational Alpha: evolution of fund structures and fees
Quick coffee break and room change
3:05pm - 3:50pm 45 mins
Operational Alpha: evolution of fund structures and fees
SMAs, tailored funds, Fund of one & managed accounts
  • Moderator Keith Miller - Partner, EisnerAmper
  • Rachel Hass Reinus - Senior Legal Counsel, PAAMCO
  • Andrea Martin - Associate General Counsel, PIMCO
  • Raymond Mouhadeb - US General Counsel, Lombard Odier Asset Management
more
3:50pm - 3:55pm 5 mins
Operational Alpha: evolution of fund structures and fees
Room change
3:55pm - 4:40pm 45 mins
Operational Alpha: evolution of fund structures and fees
How can Ops create alpha – Idea Talks
  • Moderator Martin Sreba - Head of Product Strategy – SS&C | Advent Integration, SS&C Technologies - Advent
  • Randy Randleman - Co-Founder, Managing Director and Chief Operating Officer, Sumeru Equity Partners
  • Erin Ross - General Counsel and Chief Compliance Officer, Hitchwood Capital Management LP
more
4:40pm - 4:45pm 5 mins
Operational Alpha: evolution of fund structures and fees
End of Stream
1:21pm - 2:06pm 45 mins
Technology for Ops/Compliance
Cyber and payments fraud: how it occurs, what to look for, how to protect
  • Michael Sohn - Supervisory Special Agent (SSA), FBI Los Angeles Field Division
  • Randy Randleman - Co-Founder, Managing Director and Chief Operating Officer, Sumeru Equity Partners
more
2:05pm - 2:10pm 5 mins
Technology for Ops/Compliance
Room change
2:10pm - 2:55pm 45 mins
Technology for Ops/Compliance
Third party Due Diligence & Best Practice Vendor Management
  • Moderator Maura Harris - Head of Due Diligence at Bostwick Capital, Bostwick Capital
  • Shawn Singh - General Counsel & Chief Compliance Officer, DW Partners
  • Jorge de Lafuente - Director of Operational Due Diligence, Texas Treasury Safekeeping Trust Company
  • David Poulten - Chief Financial Officer, Chief Operating Officer, Glendon Capital Management
more
2:55pm - 3:05pm 10 mins
Technology for Ops/Compliance
Quick coffee break and room change
3:05pm - 3:50pm 45 mins
Technology for Ops/Compliance
Ensuring Compliance and ODD for Big Data Usage in the Fund
  • Adam Reback - Chief Compliance Officer, J. Goldman & Co.
  • Anthony Buzzi - Chief Operating Officer & Chief Compliance Officer, Maritime Capital, LLC
more
3:50pm - 3:55pm 5 mins
Technology for Ops/Compliance
Room change
3:55pm - 4:40pm 45 mins
Technology for Ops/Compliance
Compliance in a social world: managing electronic communications and social media
  • Moderator Beth Haddock - Principal, Warburton Advisers
  • Kathleen Olin - Senior Counsel and Chief Compliance Officer, Indus Capital Partners, LLC
  • Steve Farmer - Chief Compliance Officer, Northern Trust Investments
more
4:40pm - 4:45pm 5 mins
Technology for Ops/Compliance
End of Stream
4:40pm - 6:40pm 120 mins
Main agenda
Partner's Party! GAIM Games and Drinks