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Key Sessions

Ryan VanGrack

Regulators’ panel (SEC, DoJ, FBI, CFTC): Fund enforcement trends to pay attention to in 2018-2019

Citadel LLC

Andrew Laurino

Keynote interview with Dyal Capital Partners - Examining the minority stakes trends in alternatives

Dyal Capital Partners

Showing of Streams
Showing of Streams
Showing of Streams
7:30am - 8:15am 45 mins
GAIM Ops West 2018
Breakfast and registration - GAIM Ops West 2018
8:15am - 8:30am 15 mins
GAIM Ops West 2018
Chairwoman's opening remarks - Day 2
  • Chairwoman Joann Arweiler - Managing Director, BDO
9:20am - 10:00am 40 mins
Info
GAIM Ops West 2018
What investors do with the data - Investors on using GP reporting data and what it can show about their funds
  • Chris Mattke - Director, Investment Operations, UNC Management Company
  • David Weden - Corporate Director Investment Operations, Partners Healthcare System
  • Lorelei Graye - Principal & Consultant, Leodoran Financial
  • Christine Campney - Senior Manager, Investment Finance Private Investments, Canada Pension Plan Investment Board (CPPIB)

Investors receive huge amounts of data from their managers: quarterly reports, portfolio positions, DDQs, tailored requests... and much more. But how well do Investors analyze this data, and what does it tell them about their managers? What more could be done with increased transparency and standardized reporting?

This panel will bring together institutional investors to share current best practices in manager data analytics, and views on how much more could be done.

10:40am - 11:10am 30 mins
GAIM Ops West 2018
Coffee & refreshments
11:10am - 11:50am 40 mins
Info
GAIM Ops West 2018
Approaching and tackling sexual harassment in ODD, operations and firm culture
  • Beste Portnoff - Head of Operational Due Diligence, Bessemer Trust
  • Jennifer Pearson - Director of Human Resources & Associate General Counsel, Brigade Capital Management
  • Jason Garelli - Managing Director – Head of Operational Due Diligence, Strategic Investment Group
  • Emily Macina - Head of Human Resources, Director, Napier Park Global Capital

In the wake of the #MeToo movement, many segments of society are analyzing their approach to sexual harassment, its causes and prevention. For many years this topic was swept under the rug in alternatives - a 2018 survey from the IMDDA finding that 90% of investors do not inquire about sexual harassment during fund manager due diligence. However, with new legislation coming through for Funds and several high profile cases, the topic can no longer be ignored.

Our panel of leading Fund operations and ODD experts will tackle the question head on. From the best ODD questions to ask, to how to address the issues culturally within your firm - you will walk away with practical tips to ensure this key issue is not tick box exercise at your firm.

11:50am - 12:30pm 40 mins
Info
GAIM Ops West 2018
Operational alpha pitches – Four mini presentations on how ops can benefit the business
  • Rachel Masory - Deputy General Counsel, Golden Gate Capital
  • Suzan Rose - Chief Compliance Officer, Marshall Wace North America L.P.
  • Moderator Melanie Pickett - Practice Executive, Head of Front Office Solutions, Northern Trust
  • Mark Walker - Chief Operating Office, Crestline Summit Equity Alpha

Four mini talks on practical steps your peers are taking to reevaluate Fund operations, compliance and staffing. Hear real life case studies to inspire your innovative thinking and real change at your firm. One of the most popular sessions of GAIM Ops Cayman 2018 arrives in West!


12:30pm - 1:40pm 70 mins
Info
GAIM Ops West 2018
Lunch & speaker hosted lunch tables
  • 1. Investing in India Brian Guzman - General Counsel, Indus Capital Partners, LLC
  • 2. AML updates Mark Shamia - Partner, CFO and CCO, Marcato LLC
  • 3. CalAlts best practices Lauri Haas - Managing Director and Principal, PRISM LLC
  • 4. Prime Broker Landscape David Geffen - President, Geffen Advisors
  • 5. AICPA valuation Vikram Tuscano - Transactions and Business Analytics, Deloitte
  • 6. Legal and compliance compensation Kate Phillips - Founder and President, Pine View Partners, Inc.
  • 7. CFTC priorities JonMarc Buffa - Senior Trial Attorney, Office of Cooperative Enforcement, U.S. Commodity Futures Trading Commission
  • 8. Governance Chris Bodden - Director, The Harbour Trust Co. Ltd

Networking lunch for all attendees on the veranda.  

Speaker hosted lunchtables (all welcome, first-come- first-served - tables seat 10):

  1. Investing in India - Regulatory developments and operational considerations
    Brian Guzman, General Counsel, Indus Capital
  2. Reviewing Anti-money laundering (AML) developments in the US and Cayman
    Mark Shamia, Partner, CFO and CCO, Marcato LLC
  3. Recent best practices from CalAlts 
    Lauri Haas, MD and Principle, PRISM LLC
  4. The Prime Broker Landscape - an update and discussion
    David Geffen, President, Geffen Advisors
  5. Reviewing the AICPA Valuation guidance
    Vikram Tuscano, Deloitte
  6. Latest legal and compliance compensation and team size survey
    Kate Phillips, Pine View Partners
  7. CFTC priorities: enhanced reporting and record keeping surveillance, and BSA/AML monitoring
    JonMarc Buffa, CFTC
  8. LP Advisory Boards and Private Equity Governance
    Chris Bodden, Harbour Trust
1:40pm - 1:50pm 10 mins
Info
GAIM Ops West 2018
Start of stream sessions

Choose from sessions in three streams below

1:50pm - 2:35pm 45 mins
ODD Priorities & Roundtables
Operations and ODD on esoteric and hybrid strategies: top tips for getting comfortable quickly with a new asset class
  • Jeff Barnes - Head of Operational Due Diligence, University of Virginia Investment Management Company (UVIMCO)
  • Irina Ludkovski - Senior ODD Analyst, Albourne Partners
  • Moderator Jennifer Zloto - Managing Director, Operational Due Diligence, Summit Rock Advisors
  • Lauri Haas - Managing Director and Principal, PRISM LLC
1:50pm - 2:35pm 45 mins
Best practice Operations
Paying attention to retention: key considerations for retaining top performers – Portfolio, Marketing, Operations and Compliance
  • Emily Macina - Head of Human Resources, Director, Napier Park Global Capital
  • David Claypoole - Founder & President, Claypoole Executive Search
  • Allison Walker - Principal, Head of Human Capital, TCV
  • Tracy Schwartz - Chief Operating Officer, White Elm Capital LLC
2:35pm - 2:40pm 5 mins
ODD Priorities & Roundtables
Room change
2:35pm - 2:40pm 5 mins
Best practice Operations
Room change
2:35pm - 2:40pm 5 mins
Hot topics in alternatives
Room change
2:40pm - 3:25pm 45 mins
ODD Priorities & Roundtables
Management fees and fund expenses: A practical discussion on grey areas - what can and can’t be included
  • Moderator Keith Miller - Partner, EisnerAmper
  • David Bradley - Chief Operating Officer & Chief Compliance Officer, Hawk Ridge Capital Management
  • Joshua Barlow - Managing Director, Valhalla Fiduciary, LLC
  • Tracy Schwartz - Chief Operating Officer, White Elm Capital LLC
2:40pm - 3:25pm 45 mins
Best practice Operations
Experiences in outsourcing and automation: 4 success stories from finance, compliance, tech and ops
  • Peter Rivera - Chief Financial Officer, Shamrock Capital Advisors
  • Brad LeClair - Senior Director, Product Management, Broadridge
  • Kevin Tynan - Managing Director, SS&C GlobeOp
  • Moderator Suzan Rose - Chief Compliance Officer, Marshall Wace North America L.P.
2:40pm - 3:25pm 45 mins
Hot topics in alternatives
ESG/SRI – Practicing what you preach, and how to measure it
  • David Pollok - General Counsel, Lighthouse Investment Partners, LLC
  • Tiffany Ayres - General Counsel and Chief Compliance Officer, ClariVest Asset Management LLC
  • David Warsoff - Executive Director, J.P. Morgan Alternative Asset Management
3:25pm - 3:35pm 10 mins
ODD Priorities & Roundtables
Quick coffee break and room change
3:25pm - 3:35pm 10 mins
Best practice Operations
Quick coffee break and room change
3:25pm - 3:35pm 10 mins
Hot topics in alternatives
Quick coffee break and room change
3:35pm - 5:10pm 95 mins
Info
ODD Priorities & Roundtables
Roundtables on ODD & compliance
  • 1. Insider and expert networks Michael Barry - General Counsel and Chief Compliance Officer, Samlyn Capital
  • 1. Insider and expert networks Patrick Gordon - Deputy General Counsel, GLG
  • 2. Shadow accounting William Saltus - Director, Wells Fargo
  • 2. Shadow accounting Heidi Kaldenberg - Director, Financial Control, CarVal Investors
  • 3. GDPR for Funds Beth Haddock - Chief Compliance Officer, Flat World Partners
  • 3. GDPR for Funds Emily Macina - Head of Human Resources, Director, Napier Park Global Capital
  • 4. Risk premia Chris Crawford - Chief Operating Officer , Mizuho Alternative Investments, LLC
  • 4. Risk premia Erin Simpson - Managing Director, Wilshire Associates
  • 5. SEC fiduciary and conduct rules Asher Ailey - Chief Legal Officer & Chief Compliance Officer, Research Affiliates
  • 6. Digital diligence West Chapman - CEO, AlphaPipe
  • 6. Digital diligence Michelle Noyes - Managing Director, Head of Americas,, The Alternative Investment Management Association
  • 7. Political contributions Ginger Norman - Deputy General Counsel, Canyon Partners LLC
  • 8. Co-investing Adam Hilkemann - Counsel, Akin Gump Strauss Hauer & Feld LLP
  • 9. Fund governance Michael Lange - Securities Litigation Counsel, Financial Recovery Technologies

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:

2018 topics including:

  1. Reviewing insider trading, political intelligence and expert network compliance
    Michael Barry, CCO, Samlyn Capital
    Patrick Gordon, Deputy General Counsel, GLG
  2. Shadow accounting – what to do?
    Bill Saltus, Wells Fargo
    Heidi Kaldenberg, Financial control, CarVal Investors
  3. Checking in on GDPR for Funds
    Beth Haddock, CCO, Flat World Partners
    Emily Macina, Head of HR, Napier Park
  4. Utilizing risk premia: diligence and operational considerations 
    Chris Crawford, COO, Mizuho Alternative Investments, LLC
    Erin Simpson, MD, Wilshire Funds Management
  5. Reviewing the SEC Fiduciary and Conduct proposals
    Asher Ailey, Chief Legal Officer, Research Affiliates
  6. Digital Diligence: Optimizing humans and machines
    West Chapman, CEO, AlphaPipe
    Michelle Noyes, COO Americas, AIMA
  7. Managing political contributions
    Ginger Norman, DGC, Canyon Partners
  8. Co-Investment Trends and Issues from the Investor’s Perspective
    Adam Hilkemann, Counsel, Akin Gump
  9. Spotlight on fund governance: Refining shareholder litigation protocol from reporting procedures to board selection
    Michael G. Lange, Securities Litigation Counsel, FRT

Rotation 1: 3.35PM | Table Switch: 4.20PM | Rotation 2: 4.25PM | Concludes: 5.10PM

3:35pm - 4:20pm 45 mins
Best practice Operations
Collateral and cash management in a rising rates environment: adding Alpha through Treasury
  • Moderator Pat O’Callaghan - Vice President, Global Head of Client Portfolio Management, GSAM Liquidity Solutions
  • Brock Bell - Senior Vice President, Treasury and Portfolio Finance, Capstone Investment Advisors
  • Lauren Gutierrez - Vice President, Investment Management, Goldman Sachs Asset Management
  • Brian Humphries - Lead Investment Operations Analyst, DUMAC, Inc
3:35pm - 4:20pm 45 mins
Info
Hot topics in alternatives
Meeting investor demand with customized and hybrid structures – impacts and considerations for the middle and back office
  • Katherine Pearce - VP, Product Management, SS&C Advent
  • Chris Addy - President and Chief Executive Office, Castle Hall Alternatives
  • Rachel Hass Reinus - Senior Legal Counsel, PAAMCO
  • Larry Block - Managing Director, Counsel and Chief Compliance Officer, C-III Capital Partners LLC
  • Vijay Srinivasan - Chief Investment Officer, Scarsdale Capital LLC
  • Assessing the growth alternatives: stats and drivers; new structures (hybrid, PE, SMAs, etc)
  • Impacts and implications for the middle and back office:
    • Legal structure
    • Finance and accounting
    • Operations
    • Compliance
  • Demands on the operating model
  • Common pitfalls to watch out for and experiences
4:20pm - 4:25pm 5 mins
Best practice Operations
Room change
4:20pm - 4:25pm 5 mins
Hot topics in alternatives
Room change
4:25pm - 5:10pm 45 mins
Best practice Operations
Making the most of PB relationships
  • Michelle Bergren - Chief Financial Officer, Camden Asset
  • Rachel Hass Reinus - Senior Legal Counsel, PAAMCO
  • Dennis ChenFu - Vice President, Prime Services, BNY Mellon’s Pershing
  • David Bradley - Chief Operating Officer & Chief Compliance Officer, Hawk Ridge Capital Management
4:25pm - 5:10pm 45 mins
Hot topics in alternatives
Working with Crypto and Blockchain: Assessing the key practical uses and ops/compliance pitfalls
  • Andrew Siegel - Deputy General Counsel and Chief Compliance Officer, Galaxy Digital LP
  • Brice Wilson - Chief Operating Officer, XBTO
  • Moderator Jeff Barnes - Head of Operational Due Diligence, University of Virginia Investment Management Company (UVIMCO)
  • Lewis Fellas - Chief Investment Officer, Bletchley Park Asset Management
5:10pm - 5:15pm 5 mins
ODD Priorities & Roundtables
End of Stream
5:10pm - 5:15pm 5 mins
Best practice Operations
End of Stream
5:10pm - 5:15pm 5 mins
Hot topics in alternatives
End of Stream
5:15pm - 7:15pm 120 mins
GAIM Ops West 2018
Partner's party! GAIM games and drinks