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Key Sessions

Stevan Bernard

Interview: Surviving a cyber attack – making critical decisions in the NOW

Multinational corporation

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

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

Main agenda

Survey and Discussion: Changing Fund structures – innovations, obstacles and opportunities

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.

  • 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

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

Main agenda

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

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.

  • 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
  • CFTC Richard Foelber - Chief, Office of Cooperative Enforcement, U.S. Commodity Futures Trading Commission
  • FBI Michael Sohn - Supervisory Special Agent (SSA), FBI Los Angeles Field Division
  • NFA Regina Thoele - Senior Vice President, Compliance, National Futures Association
  • DoJ Paul Stern - Assistant U.S. Attorney, Senior Litigation Counsel, U.S. Attorney's Office, Central District of California

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

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?

Drawing on real experiences of cyber attacks, Steve Bernard will share his story and offer unique insights into the best steps one can take DURING a cyber attack. Hear the realities firsthand, from a uniquely qualified speaker, to fully understand what it means for your cyber preparedness and due diligence outside of policies on paper.

  • Keynote Stevan Bernard - Executive Vice President - Security, Environment, Health & Safety, Multinational corporation

11:20am 12:00pm (40 mins)

Main agenda

Live step-by-step ODD meeting

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. 

  • Moderator Mark DeGaetano - Director, 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

12:00pm 1:20pm (80 mins)

Main agenda

Lunch & speaker hosted lunch tables

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
  • 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

1:15pm 1:20pm (5 mins)

Main agenda

Start of Stream Sessions

Choose from seasons in three streams:

  • ODD & Compliance
  • Operational Alpha: evolution of fund structures and fees
  • Technology for Ops & Compliance

Stream A - ODD & Compliance Stream

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)

  • Brett Odom - Deputy Chief Compliance Officer, Partner Funds Management
  • Michael Barry - General Counsel, Samlyn Capital
  • Brian Guzman - General Counsel, Indus Capital Partners, LLC

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

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: 3.15PM | Table Switch: 4PM | Rotation 2: 4.05PM | Concludes: 4.50PM

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

New ADV Form deep dive

  • DoL Fidicuary rule Erin Simpson - Managing Director, Wilshire Funds Management
  • 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

4:40pm 4:45pm (5 mins)

Compliance & ODD Priorities

End of Stream

Stream B - Operational Alpha: evolution of fund structures and fees

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

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 Reinus - Senior Legal Counsel, PAAMCO
  • Andrea Martin - Associate General Counsel, PIMCO
  • Raymond Mouhadeb - General Counsel & Chief Compliance Officer, Lombard Odier Asset Management

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

4:40pm 4:45pm (5 mins)

Operational Alpha: evolution of fund structures and fees

End of Stream

Stream C - Technology for Ops & Compliance

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

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

  • 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

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

  • Steve Metzger - Associate General Counsel, Two Sigma
  • Adam Reback - Chief Compliance Officer, J. Goldman & Co.
  • Anthony Buzzi - Chief Operating Officer & Chief Compliance Officer, Maritime Capital, LLC

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

  • Kathleen Olin - Senior Counsel and Chief Compliance Officer, Indus Capital Partners, LLC
  • Steve Farmer - Chief Compliance Officer, Northern Trust Investments

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

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