01 Mar 2018
02:15- 05:30


MiFID II for Non-EU Managers: The Extension of
the Senior Managers and Certification Regime in
the UK

Lance Friedler
General Counsel and Chief Compliance Officer
Phoenix Investment Adviser LLC

Paul Ellis
Global Head of Regulatory
Product Development
HSBC Securities Services

It’s crunch time for the alternative investment community, as MiFID II will take effect in January of 2018.  Those not prepared will suffer the consequences of non-compliance.

  • Analyzing critical updates on which aspects of the reform non-EU fund managers need to know
  • Overview of new rules applicable to inducements for research and “soft dollar” commissions applied to research
  • Analyzing structures involving in-scope fund managers
  • Grasping the proposals from the FCA on broadening the scope of the rules on inducements
  • Comprehending the transparency obligations as they apply to non-equity financial instruments
Perfecting Data Management
for Investment Operations

Michael Asher
Richard Fleischman & Associates

Creating a culture of data management is a critical competency in today’s investment culture, and problems with data are a common occurrence that can leave your business in ruins.  Further, from the top down, we’re being tasked to do more with less.  One way to achieve this is by creating a strong culture of data management.  The industry has been plagued with problems related to the management of data, but recent technological advancements have made solutions available.  Attend this session and learn how to cultivate a strong culture of data management and promote awareness of internal governance standards.

Addressing New Challenges for Investment
Adviser Advertising Compliance: Analysis of the
OCIE’s Risk Alert

Heidi Kaiser
Deputy General Counsel & COO
Campbell & Company

  • Considering changes to your compliance program to combat potential deficiencies
  • How to examine the adequacy of your disclosures provided to clients
  • Reviewing the most frequently violated advertising rule compliance regulations
Addressing Cybersecurity Demands and Information Security in an Insecure World: Policy and Implementation

Greg Ciaverelli
Private Advisors, LLC

Yohan Kim
President and COO
Richard Fleischman & Associates

  • Identifying realistic, implementable and budget-conscious cybersecurity strategies for alternatives based on scale and available capital
  • Assessing available technologies and making the business case to your team
  • Understanding cyber liability insurance products
  • Ascertaining who is motivated to attack investment management entities and classifying what they’re after
  • Ensuring that your data is protected when information leaves your firm
Cybersecurity Preparedness in the Wake of Global Ransomware Attacks

Alfred j. Saikali
Shook Hardy & Bacon L.L.P.

Steven H. Bruce
Managing Partner
ASC Advisors

Human behavior plays a huge role in leaving firms vulnerable to cyber incidents.  Join us for an interactive conversation with technologists and compliance experts on the importance of finding new ways to frame the cybersecurity conversation within the force of habit.  Points to be discussed include:

  • Reviewing recent actions from the SEC Office of Internet Enforcement
  • Reviewing cybersecurity in the news – a look at the recent uptick of ransomware attacks
  • Best practices for assessing the status of your cyber hygiene (password veracity, patching, inventory, access and controls
  • Meeting the demands of enhanced regulatory standards
  • Developing a cyber-incident response plan
  • Incorporating vendor due diligence into your compliance program
Appreciating The Importance of Ongoing Operational Due Diligence: Strategies for Allocators Pre-and-Post-Investment

Mitchell Clayton
Alternative Investment Analysis & Operational Due Diligence
Lazard Asset Management

Christopher Mendez
General Counsel and Chief Compliance Officer
Semper Capital Management


  • Designing ODD controls at your fund to impress and attract investors
  • Knowing how much of your control test data to divulge to investors
  • Identifying best practices for managers to best establish ongoing improvements in operations
  • Assessing the parade of new and emerging technologies that can be harnessed to assist with operations at your firm
Exploring New Compliance Initiatives in Data Management Capabilities

Rainford M. Knight, Ph.D.
Co-Founder &
Managing Partner
Florida Institute of Finance, LLC

Adam J. Reback
Chief Compliance Officer
J. Goldman & Co., L.P.

  • Assessing how the DOJ and SEC use data analysis in investigations and enforcement
  • Reviewing the costs associated with poor data management practices across the alternative investment industry
  • Developing strong data management awareness within individual firms and the industry
  • Learning how strong data management governance can significantly reduce regulatory and cyber security risks
  • Understanding why a strong culture of data management at individual firms can result in significant increases in operational efficiencies
  • Using data management to promote to reduce operational spend
Making Dollars Out of Cents
: Operational and Governance Best Practices for Increasing Efficiencies and Lowering Costs

Joseph Dutton
Wasserstein Debt Opportunities Management, LP

  • Integrating functionality across different groups, specifically operations, compliance, and risk management, in order to increase efficiency and reduce costs
  • Addressing talent management and current staffing considerations
  • Adapting the middle- and back-office to meet evolving investor demands
  • Tips for lowering the rising cost of compliance and fraud detection
  • Assessing the potential cost savings from outsourcing