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Key Sessions

Adam Blitz

Keynote: The CIO’s Perspective on the Holistic Integration of Ops and Compliance

Evanston Capital Management, LLC

7:30 am 8:15 am (45 mins)

Main agenda

BREAKFAST & REGISTRATION

8:15 am 8:30 am (15 mins)

Main agenda

Welcome Remarks

  • Tim Mohr, Consulting Principal, BDO

8:30 am 9:20 am (50 mins)

Main agenda

Manager/ Investor Town Hall

The year’s biggest headlines, challenges and changes according to the leading investors and managers in operations and compliance (Fund of Funds, Fees, Alternative Asset Convergence, Brexit’s impact on AIFMD, .....

  • Jorge de Lafuente, Director of Operational Due Diligence, Texas Treasury Safekeeping Trust Company
  • Jennifer Dimitri, Chief Compliance Officer, DUMAC
  • Kimberly Summe, Co-Founder, President and General Counsel , Stillwater Investment Management
  • Moderator Devinder Sangha, Partner, Operational Due Diligence, Albourne America LLC
  • Richard LeBrun, Managing Director, Deputy General Counsel, Pacific Investment Management Company LLC (PIMCO)
  • Kyle McDaniel, Managing Director of Strategic Research and Partnerships, Whitebox Advisors LLC

9:20 am 10:10 am (50 mins)

Main agenda

What the Regulators are Looking at in the Year Ahead

The insider’s perspective on civil and criminal enforcement priorities: key concerns for you and your firm’s compliance program, responding to regulatory inquiries, understanding surveillance procedures and much more.

  • Moderator Gary Swiman, Consulting Partner, BDO
  • Richard Foelber, Chief, Office of Cooperative Enforcement, U.S. Commodity Futures Trading Commission
  • JonMarc Buffa, Senior Trial Attorney, Office of Cooperative Enforcement , U.S. Commodity Futures Trading Commission
  • Michael Sohn, Supervisory Special Agent , FBI Los Angeles Cyber Outreach
  • Regina Thoele, Senior Vice President, Compliance, National Futures Association
  • Ryan Hinson, Regulatory Counsel , U.S. Securities and Exchange Commission

10:10 am 10:50 am (40 mins)

Main agenda

Blockchain: What Exactly is it disrupting? Will it Negate Counterparty Risk?

  • Moderator Labib Mahfouz, President & Chief Operating Officer, Axonic Capital LLC
  • Andrew Challis, Managing Director, Head of Strategic Investments, Barclays Capital
  • Jennifer Peve, DTCC
  • Tim Swanson, Director of Market Research, R3

10:50 am 11:20 am (30 mins)

Main agenda

BREAK

11:20 am 12 pm (40 mins)

Main agenda

A Tale of Three Managers

The hurdles of launching a hedge fund in today’s environment & the hurdles of growing an existing fund in today’s environment.

  • Jeff Barnett, CFO & Partner, Dorsal Capital Management
  • Jeff Farroni, CFO/COO, Deep Field Asset Management LLC
  • Martin Kalish, Chief Operating Officer, Gillson Capital LP
  • Moderator Michael McCabe, Head of Business Development for North America , MUFG Investor Services

12 pm 12:45 pm (45 mins)

Main agenda

Keynote: The CIO’s Perspective on the Holistic Integration of Ops and Compliance

Keynote Adam B. Blitz, CEO & CIO of Evanston Capital Management, LLC will address the fundamental principles in leading an effective and competitive asset management organization in today's macro environment: human capital & leadership values, setting a tone of compliance from the top, progressive policies influencing operations,  illiquidity in today’s markets including its impact on marking portfolios (particularly in periods of inflows and outflows), communications and transparency with respect to investor demands and much, much more. 

Melanie Pickett, Emory University will interview Adam Blitz. 

  • Adam Blitz, Chief Executive Officer, Chief Investment Officer, Evanston Capital Management, LLC
  • Moderator Melanie Pickett, Chief Operating Officer, Emory Investment Management

12:45 pm 2 pm (75 mins)

Main agenda

LUNCH & Speaker Hosted Lunchtables

Table 1: Legal and Compliance Compensation and Staffing   Speaker: David Claypoole

Table 2:Insurance for CCO Liability and Cybersecurity: what you should be thinking about from SEC Enforcement to Insurance.  Speaker:Wendy Beer

Table 3: Best Practices in Managing Dealer Relationships   Speaker: David Geffen 

Table 4: What your ODD failed to identify: Red Flags for Investors & Allocators  Speaker: Gautham Deshpande and Keith Miller

Table 5: NFA  Speakers: Regina Theole and Carol Wooding 

Table 6: Fees, fees, fees ... from the LP perspective   Speaker: Melanie Picket

Table 7: CFTC  Speakers: Richard Foelber and JonMarc Buffa

  • David Claypoole, President, Parks Legal Placement
  • JonMarc Buffa, Senior Trial Attorney, Office of Cooperative Enforcement , U.S. Commodity Futures Trading Commission
  • Richard Foelber, Chief, Office of Cooperative Enforcement, U.S. Commodity Futures Trading Commission
  • David Geffen, President, Geffen Advisors
  • Melanie Pickett, Chief Operating Officer, Emory Investment Management
  • Gautham Deshpande, Senior Manager, EisnerAmper LLP
  • Wendy Beer, Head of Business Consulting , Wells Fargo Prime Services
  • Regina Thoele, Senior Vice President, Compliance, National Futures Association
  • Keith Miller, Partner, EisnerAmper LLP
  • Carol Wooding, Associate General Counsel, National Futures Association

2 pm 2:45 pm (45 mins)

Operations and ODD

Prime Brokerage: How Financing is Going to Change

Translating the changes in Prime Brokerage to investors.  Can the COOs office be a profit center? The evolving role of the Treasurer. 

  • Moderator Leor Shapiro, Managing Director, Head of Capital Consulting Services, Jefferies LLC
  • Michelle Bergren, Chief Financial Officer, Camden Asset Management
  • David Zirin, Chief Operating Officer, Pentwater Capital Management LP

2:50 pm 3:35 pm (45 mins)

Operations and ODD

A Practical Approach to Implementing an AML Compliance Program for Asset Managers

  • Chris Montclare, Chief Financial Officer, Fisher Lynch
  • Louis Bruno, Principal, EisnerAmper LLP
  • Keith Miller, Partner, EisnerAmper LLP

3:40 pm 4:25 pm (45 mins)

Operations and ODD

Shadowing: Insource vs Outsource.

Industry trends and best practices in shadowing. Investors and managers perspectives on reconciling to the administrator. Weighing the pros and cons of an in-house fund accounting system vs an outsourced shadow administrator.

  • Josh Barlow, Head of Accounting and Operational Due Diligence, PAAMCO
  • Christopher Gimbert, Chief Operating Officer, Star Mountain Capital, LLC
  • Gurvinder Singh, CEO and Co-Founder, Indus Valley Partners

2 pm 2:45 pm (45 mins)

Compliance

PE Equity Fee Reporting

The state of standardization in the industry and how to detect for fraud in Private Equity.

  • David Weden, Corporate Director Investment Operations, Partners Healthcare System
  • Christopher Slavin, Partner and Head of Private Markets Operational Due Diligence, Albourne Partners (Canada) Limited

2:50 pm 3:35 pm (45 mins)

Compliance

Exams and Enforcement Matters from the NFA Perspective

  • Regina Thoele, Senior Vice President, Compliance, National Futures Association
  • Carol Wooding, Associate General Counsel, National Futures Association

3:40 pm 4:25 pm (45 mins)

Compliance

The New Staffing Requirements and Ongoing Demands: Development and Management

Managing headcount, resources and skills to accommodate regulatory requirements, reporting and transparency expectations.  Developing and retaining talent in an private, mid-size (in terms of headcount) financial firm.

  • Ginger Norman, Deputy General Counsel, Canyon Partners LLC
  • Heather Brien, Chief Operating Officer/Chief Compliance Officer, Voleon Capital Management

2 pm 2:45 pm (45 mins)

Technology

The Biggest Challenges and Most Important Safety Nets for the Technology/ Administrator Relationship

Establishing a program for ongoing monitoring and evaluation. Weighing the advantages/disadvantages of using non-main stream providers. Understanding and negotiating the SLA.

  • Darren Huber, Director of Operational Due Diligence and Risk Management, Fintan Partners
  • Matt Perona, Chief Financial Officer , Criterion Capital Management

2:50 pm 3:35 pm (45 mins)

Technology

The FBI's Approach to Cybersecurity

  • Michael Sohn, Supervisory Special Agent , FBI Los Angeles Cyber Outreach

3:40 pm 4:25 pm (45 mins)

Technology

Achieve Operational Efficiency with Middle Office Services

Flexible outsourcing practices are changing financial services and becoming central to firms’ competitive edge. Learn from industry experts on real life experiences to streamline the accounting and middle office process.

  • Martin Sreba, Head of Product Strategy, SS&C Advent
  • Matt Perona, Chief Financial Officer , Criterion Capital Management
  • Jon Anderson, Global Head of Middle Office and Valuations, SS&C GlobeOp

2 pm 4:30 pm (150 mins)

Personal Development: Communications

Secrets of Persuasive Communications

****This Personal Development Workshop repeats every 50 minutes and runs alongside the other boardroom sessions.  First come first served.***

Clients like to engage with executives who are concise, clear and impactful. You need to offer a compelling rationale for action and create an atmosphere of trust and conviction.

This highly interactive workshop will show you what clients want when you present, and how you can deliver a message with both impact and authority no matter the audience or setting.

  • Jason Blackwell, Consultant, Templar Advisors

4:30 pm 6:30 pm (120 mins)

Main agenda

PARTNERS' PARTY