If you are interested in a speaking opportunity for yourself or a client, please send the suggested speaker's name, title, company and brief summary of the suggested topic and role (moderator, panelist, keynote, etc.)  to: Laura Manis, Conference Programmer, 212-457-7918,

Please note, we are mainly looking to fill speaking opportunities with in-house counsel.

  • Monday, September 30, 2013
  • 7:30 AM  -  8:30 AM
    Breakfast and Conference Registration
    8:30 AM  -  8:45 AM
    Welcome Remarks
    8:45 AM  -  9:45 AM
    Keynote Address: Current and Future Priorities and Initiatives on the Federal Enforcement Agenda

    George Canellos

    Co-Director, Division of Enforcement
    U.S. Securities and Exchange Commission
    9:45 AM  -  10:45 AM
    Surviving a Government Investigation: Civil vs. Criminal
    The Securities Exchange Commission and the Department of Justice continue to focus on hedge funds and hedge fund managers and governmental investigations and enforcement actions are likely to increase  This panel will cover the essentials of investigations conducted by the SEC and the DOJ as well as parallel investigations by the SEC and the DOJ.  This panel will also address formulating strategies for handling governmental investigations, including conducting internal investigations, responding to subpoenas for documents and testimony, and responding to Wells notices.  In addition, the panel will discuss key considerations in determining whether to litigate or settle enforcement actions.

    Speakers to include:

    Thomas A. Ferrigno
    Brown Rudnick LLP

    Mark H. Tuohey
    Brown Rudnick LLP
    10:45 AM  -  11:15 AM
    Networking Break
    11:15 AM  -  12:15 PM
    Derivatives and Dodd-Frank: Current Issues on the Minds of Hedge Funds
    Title VII of the Dodd-Frank Act imposed substantial new regulations on derivatives transactions, notably mandatory central clearing for certain types of swaps trades and mandatory reporting.  While implementation of certain of these requirements has begun, several key rules have yet to be implemented.  This panel will discuss the current status of Dodd-Frank rulemaking related to derivatives as well as the major questions weighing on the minds of hedge fund managers:

    • How will the rules apply to cross-border swaps and non-U.S. funds?
    • What effect will mandatory capital and margin requirements have on hedge funds?
    • How will the requirement to enter into certain derivatives on a swap execution facility affect hedge funds?
    • What steps are hedge fund managers taking to comply with Dodd-Frank?

    Speakers to include:

    Leigh R. Fraser
    Ropes & Gray

    Matt Nevins

    Managing Director and Associate General Counsel, Asset Management Group
    12:15 PM  -  1:45 PM
    Luncheon: Advanced Preparedness for Document Request – The Data Map
    When a document request is made and a tight compliance deadline awaits is not the time to begin to learn about where your data is, or may be, and what you will have to do to have it collected, processed and reviewed before you can produce the records that will satisfy the request. You should know where your data is, how to identify quickly what of it you will need to search, how best to collect it. You should also be taking steps to audit your data, so that when the request is made, you will be confident that your knowledge of your data is accurate and up- to-date.

    To do this, here are some steps we will discuss and problems to confront.

    • How to create a data map
    • Problems with BYOD (Bring Your Own Device), i.e., problems arising when user-owned devices, such as smart phones and tablets, as well as laptop and desktop computers, are used to access the corporate IT infrastructure
    • Problems with Social Media and Personal Email – how to create policies regarding usage and take steps to audit such usage
    • Preventing and Auditing the Use of User-Owned Devices to Avoid Regulatory Compliance
    • How to collect data without altering metadata


    Leonard Deutchman
    Vice President and General Counsel
    1:45 PM  -  2:45 PM
    Best Practices for Managing Distressed Investments:
    Legal Strategies for Minimizing Risk and Optimizing Outcomes

    This panel will focus on the legal issues, procedures, and risks involved in making and managing a distressed investment, including:

    • Managing confidential information in trading and negotiation environments
    • Participating effectively in informal and formal committees during restructuring, with attention to fiduciary duty and disclosure issues
    • Planning for bankruptcy litigation
    • Avoiding risks related to equitable subordination, equitable disallowance or vote designation
    • Managing multiple investments in distressed companies in the same industry
    • Other issues arising in the distressed investing and claims trading context

    Speakers to include:

    Natasha Labovitz
    Debevoise & Plimpton LLP

    Shannon Selden
    Debevoise & Plimpton LLP

    D. Forest Wolfe
    General Counsel and Chief Compliance Officer
    Angelo, Gordon & Co.
    2:45 PM  -  3:15 PM
    Networking Break
    3:15 PM  -  4:15 PM
    Comprehensive Due Diligence: Are You Sure You Know Who You’re Doing Business With?
    • Understand why “Good enough” is no longer good enough
    • See industry trending highlighting due diligence as an area where companies are expected to make significant changes
    • Hear about a notable example where thorough due diligence saved a hedge fund from losing millions
    • Find out what can you do to mitigate exposure and risk while expanding your business and client portfolio?

    Speakers to include:

    William Barth
    Vice President of Fraud & Investigation, Corporate Segment, U.S. Legal
    Thomson Reuters
    4:15 PM  -  5:15 PM
    Charting a Path through the AIFMD Landscape
    With implementation of the Alternative Investment Fund Managers Directive (AIFMD) now underway, compliance deadlines are beginning to loom on the horizon. While at the same time, a number of significant questions still remain to be worked out by the Commission and Member States. This session will address the implications of the directive on both EU and non-EU AIFMs, the timelines for implementation, and outline steps funds need to take now to transition.

    Solomon Kuckelman
    Legal Counsel, Product Legal
    Man Investments

    Steven C. Bennett
    Jones Day

    5:15 PM  -  6:15 PM
    Cocktail Reception
  • Tuesday, October 1, 2013
  • 7:30 AM  -  8:40 AM
    Breakfast and Conference Registration
    8:40 AM  -  8:45 AM
    Day Two Opening Remarks
    8:45 AM  -  9:45 AM
    Training and Compliance Strategies to Prevent Insider Trading
    With recent high-profile insider trading cases dominating industry news, developing a firm-wide culture of compliance is more important than ever.  It is important to regulators, existing investors and prospective investors.  But what does it mean?  It means a genuine commitment from senior management to ethical business conduct, as well as rigorous training at every level of the firm to ensure that all employees and managers understand:

    • the importance of compliance to the firm, regulators and investors;
    • the basic elements of insider trading;
    • the application of these basic elements to interactions with expert networks, political intelligence firms, investment banks and peer hedge funds; and
    • internal policies and procedures.

    Speakers to include:

    David Chaves

    Peter Greene
    Member and Vice Chair, Investment Management Group
    Lowenstein Sandler LLP
    9:45 AM  -  10:45 AM
    Balancing the Roles of Chief Compliance Officer vs. General Counsel
    • Should the CCO report into the GC or have another reporting line.
    • When the GC is dually hatted, how do you determine which hat your wearing? How do you carve out privileged emails?
    • CCO liability - Enforcement actions against CCOs are rising. What are the risks of accepting the title.

    Speakers to include:

    Edward T. Dartley
    Of Counsel
    Pepper Hamilton LLP

    Simon M. Lorne
    Vice Chairman & Chief Legal Officer
    Millennium Management LLP

    Dianne Mattioli
    Chief Compliance Officer
    HedgeMark Securities LLC
    10:45 AM  -  11:15 AM
    Networking Break
    11:15 AM  -  12:15 PM
    The Increasing Disclosure Burden on Activist Investors:
    Recent Proposals in Canada and Why U.S. Hedge Funds Should Care

    It’s no secret that for U.S. hedge funds engaging in shareholder activism, Canada has been a popular jurisdiction for seeking targets. However recent proposals to revise the regime governing reporting of block ownership may dampen this activity. Similar proposals have already been adopted in Europe and elsewhere and the SEC is currently reviewing and considering tightening Rule 13D. Canada’s proposals, which in a number of ways are much more onerous than current Rule 13D rules, are being followed with interest by the SEC and could influence the direction of regulation in the United States.

    Proposed changes in Canada include lowering of reporting thresholds, requiring immediate notification and a moratorium on purchases, and inclusion of so called ‘hidden ownership’ instruments in threshold computations. This panel will discuss how this could stifle activist investing in Canada and influence the debate in the U.S.


    Alex Moore
    Davies Ward Phillips & Vineberg LLP

    Patricia Olasker
    Davies Ward Phillips & Vineberg LLP

    Charles Penner
    Partner and Chief Legal Officer
    JANA Partners LLC
    12:15 PM  -  1:45 PM
    Luncheon: Key Metrics and Reporting for Effective Management of Outside Counsel Spend
    In today’s competitive business environment, law departments are expected to generate performance metrics like other business units—showing the value and ongoing improvements that the legal function contributes to the company’s bottom line.  However, most law departments face significant reporting challenges:  collecting data from outside counsel regarding the company’s legal activities and exposure, keeping this information current, and using this information to generate effective reports.  This session will discuss the latest metric that law departments are generating to demonstrate effective stewardship of their companies’ legal work and for enhanced collaboration with outside counsel.  We will also discuss the myriad of metrics that legal departments are collecting and consuming, and how recent developments in technology and adoption of legal project management provide general counsel previously unavailable reports and benchmarks to assess both inside and outside counsel performance.

    Speakers to include:

    Cole Morgan
    Director of Client Solutions
    Serengeti Law — a Thomson Reuters business
    1:45 PM  -  2:45 PM
    A Whole New World - SEC (Finally) Adopts Final Rules under the JOBS Act
    Removing Restrictions on General Solicitation and Advertising – But Wait....What Now?

    After more than a year of delay, the SEC’s rules allowing use of general solicitation in certain private offerings were finally passed in July and will go into effect this September.  However, with these new freedoms, come new responsibilities, as well as many unanswered questions funds  and fund managers will have to consider before they are able to take the leap towards wider advertising.  This session will discuss the implications of the new rules as well as questions remaining:

    • Reasonable steps funds must take to verify purchasers are accredited investors
    • Disqualification of “Bad Actors”
    • Form D and additional proposed filing requirements
    • What impact do these rules have on funds falling under CFTC jurisdiction?

    Asher Friend
    Jones Walker LLP

    Ted Jones
    Special Counsel
    Jones Walker LLP

    2:45 PM  -  2:45 PM
    Conference Adjourns

    Agenda is updated frequently, check back often!