 |
|
|---|
FINANCIAL REGULATORY OVERHAUL FUND COMPLIANCE WORKSHOP
JULY 27TH
We will be hosting a breakfast session focusing on fund compliance with the passage of the Financial Regulatory Overhaul AKA Dodd-Frank bill. We have scheduled a slate of speakers from due diligence,
compliance, risk management and litigation services. This event is oriented towards fund managers, risk and compliance professionals and internal
fund corporate legal representatives that are looking for insight into how far the risk and compliance function extends into the fund policies and procedures.
Attendees will come away with a better understanding of the present environment for compliance best practices. To get through security, you must register.
Networking begins at 8 a.m. The presentations begin at 8:30 a.m. and ends at 10:30 a.m.
BARBARA MATTHEWS, MANAGING DIRECTOR - BCM STRATEGY
Ms. Matthews has been a leader in global financial regulatory policy issues for over 18 years. She has created new value, strategic directions, and business lines while working in leadership positions in the private sector (as Associate Banking Advisor (1992-1994) and then as Banking Advisor and Regulatory Counsel (1996-2003) at the Institute of International Finance, Inc.) and in government (as Senior Counsel to the U.S. House of Representatives Financial Services Committee (2003-2005) and as U.S. Treasury Attaché to the European Union (2006-2008)). As such, she has worked closely with financial engineers and senior management of the world’s largest financial institutions, as well as senior financial policymakers and government officials since 1991 on a broad range of policy matters. She has deep, concrete experience in dealing with the risk management and political implications of: the savings & loan and BCCI crises in the United States; the establishment of the Financial Services Action Plan in the European Union; the East Asian financial markets crisis; the Basel 2 credit risk capital framework; the Market Risk Amendment to Basel 1; valuation standards, including mark-to-market accounting; implementation of the international provisions of the Sarbanes-Oxley Act; insurance regulatory capital; and, most recently, the onset of the credit crisis while working in Brussels as the U.S. Treasury Department’s Attaché to the European Union.
IRWIN LATNER, CHAIR / PARTNER HEDGE FUND GROUP - HERRICK FEINSTEIN
Irwin Latner represents individual and institutional fund managers in the establishment and ongoing operation of private investment funds (hedge funds and private equity funds), both domestic and offshore. His practice also includes representation of investment advisers, broker-dealers and commodity pool operators, as well as structuring strategic investor agreements, marketing agreements and operating agreements among the principals, developing compliance programs, fund restructurings, derivative transactions and other corporate transactions associated with the establishment and ongoing operation of a private investment fund. Irwin regularly speaks at hedge fund industry seminars and is frequently quoted in the press on current hedge fund industry issues.
Irwin also has extensive experience in a variety of other corporate transactional and regulatory work, including public offerings, private placements, structured finance transactions, joint ventures, bank financings and technology licensing agreements. He has represented numerous asset managers, major domestic and international banks, securities firms, European governments and public and private companies.
Prior to joining Herrick, Irwin was a Partner at the law firm of Sadis & Goldberg LLC in New York. Prior to Sadis, he was Senior Associate in the Finance and Corporate Departments of the New York office of Baker & McKenzie. While at Baker, he worked on numerous international financings, acquisitions and joint venture transactions, and authored several articles in the banking and derivatives areas. Irwin began his career as an associate with Seward & Kissel where he gained experience in structured finance transactions and bank regulatory matters.
MARC CHENN, MANAGING DIRECTOR, COMPLIANCE 11
BILL COSGROVE, FINANCIAL INSTITUTIONS PRACTICE LEADER - WILLIS INSURANCE
STEVEN FELDMAN, PARTNER HERRICK FEINSTEIN
Steven Feldman is a lead partner in Herrick's White Collar Defense practice. He represents companies and individuals accused of securities law violations, business crimes and fraudulent practices by the U.S. Attorney's Office, State Attorney General, District Attorney and U.S. Securities and Exchange Commission. He also works with companies to conduct internal investigations and represents individual corporate officers in corporate internal investigations. In criminal and regulatory matters, Steven represents broker dealers, stock brokers, hedge funds, investment advisors and corporate executives. In some of his most important victories, Steven has convinced criminal authorities not to prosecute his clients for wrongdoing.
Prior to joining Herrick, Steven spent more than six years as an Assistant U.S. Attorney for the Southern District of New York in Manhattan. During his last four years as a federal criminal prosecutor, Steven served on the Securities and Commodities Fraud Task Force. There, he investigated and prosecuted cases under the federal securities laws, including hedge fund frauds, accounting fraud, insider trading, fraudulent offerings of securities and commodities, market manipulation and broker bribery, private placement frauds and boiler room schemes�often while coordinating parallel proceedings with the SEC, CFTC and court-appointed receivers.
* Insider Trading: Extensive experience defending and prosecuting individuals charged with insider trading by the U.S. Attorney's Office and the Securities and Exchange Commission.
* Hedge Fund Fraud: Experience in criminal matters involving hedge funds. At the U.S. Attorney's office, Steven prosecuted the operator/manager of domestic and off-shore hedge funds who acquired large, undisclosed positions in publicly traded companies and made significant misrepresentations that resulted in approximately $88 million in losses to investors. Steven also represented clients in a prosecution resulting from major hedge fund collapses and a client in a pay-to-play investigation. Steven's experience provides Herrick's clients with a clear advantage in all types of hedge fund fraud investigations.
Steven graduated magna cum laude from Georgetown University Law Center, where he was an editor of the law review and was selected to the Order of the Coif. After graduation, he clerked for then-Chief Judge Thomas P. Griesa of the U.S. District Court for the Southern District of New York. Following his clerkship, he spent three years at boutique litigation firm, which he left in December of 2001 to join the U.S. Attorney's Office.
BARBARA MATTHEWS, MANAGING DIRECTOR - BCM STRATEGY
Ms. Matthews has been a leader in global financial regulatory policy issues for over 18 years. She has created new value, strategic directions, and business lines while working in leadership positions in the private sector (as Associate Banking Advisor (1992-1994) and then as Banking Advisor and Regulatory Counsel (1996-2003) at the Institute of International Finance, Inc.) and in government (as Senior Counsel to the U.S. House of Representatives Financial Services Committee (2003-2005) and as U.S. Treasury Attaché to the European Union (2006-2008)). As such, she has worked closely with financial engineers and senior management of the world’s largest financial institutions, as well as senior financial policymakers and government officials since 1991 on a broad range of policy matters. She has deep, concrete experience in dealing with the risk management and political implications of: the savings & loan and BCCI crises in the United States; the establishment of the Financial Services Action Plan in the European Union; the East Asian financial markets crisis; the Basel 2 credit risk capital framework; the Market Risk Amendment to Basel 1; valuation standards, including mark-to-market accounting; implementation of the international provisions of the Sarbanes-Oxley Act; insurance regulatory capital; and, most recently, the onset of the credit crisis while working in Brussels as the U.S. Treasury Department’s Attaché to the European Union.
IRWIN LATNER, CHAIR / PARTNER HEDGE FUND GROUP - HERRICK FEINSTEIN
Irwin Latner represents individual and institutional fund managers in the establishment and ongoing operation of private investment funds (hedge funds and private equity funds), both domestic and offshore. His practice also includes representation of investment advisers, broker-dealers and commodity pool operators, as well as structuring strategic investor agreements, marketing agreements and operating agreements among the principals, developing compliance programs, fund restructurings, derivative transactions and other corporate transactions associated with the establishment and ongoing operation of a private investment fund. Irwin regularly speaks at hedge fund industry seminars and is frequently quoted in the press on current hedge fund industry issues.
Irwin also has extensive experience in a variety of other corporate transactional and regulatory work, including public offerings, private placements, structured finance transactions, joint ventures, bank financings and technology licensing agreements. He has represented numerous asset managers, major domestic and international banks, securities firms, European governments and public and private companies.
Prior to joining Herrick, Irwin was a Partner at the law firm of Sadis & Goldberg LLC in New York. Prior to Sadis, he was Senior Associate in the Finance and Corporate Departments of the New York office of Baker & McKenzie. While at Baker, he worked on numerous international financings, acquisitions and joint venture transactions, and authored several articles in the banking and derivatives areas. Irwin began his career as an associate with Seward & Kissel where he gained experience in structured finance transactions and bank regulatory matters.
MARC CHENN, MANAGING DIRECTOR, COMPLIANCE 11
BILL COSGROVE, FINANCIAL INSTITUTIONS PRACTICE LEADER - WILLIS INSURANCE
STEVEN FELDMAN, PARTNER HERRICK FEINSTEIN
Steven Feldman is a lead partner in Herrick's White Collar Defense practice. He represents companies and individuals accused of securities law violations, business crimes and fraudulent practices by the U.S. Attorney's Office, State Attorney General, District Attorney and U.S. Securities and Exchange Commission. He also works with companies to conduct internal investigations and represents individual corporate officers in corporate internal investigations. In criminal and regulatory matters, Steven represents broker dealers, stock brokers, hedge funds, investment advisors and corporate executives. In some of his most important victories, Steven has convinced criminal authorities not to prosecute his clients for wrongdoing.
Prior to joining Herrick, Steven spent more than six years as an Assistant U.S. Attorney for the Southern District of New York in Manhattan. During his last four years as a federal criminal prosecutor, Steven served on the Securities and Commodities Fraud Task Force. There, he investigated and prosecuted cases under the federal securities laws, including hedge fund frauds, accounting fraud, insider trading, fraudulent offerings of securities and commodities, market manipulation and broker bribery, private placement frauds and boiler room schemes�often while coordinating parallel proceedings with the SEC, CFTC and court-appointed receivers.
* Insider Trading: Extensive experience defending and prosecuting individuals charged with insider trading by the U.S. Attorney's Office and the Securities and Exchange Commission.
* Hedge Fund Fraud: Experience in criminal matters involving hedge funds. At the U.S. Attorney's office, Steven prosecuted the operator/manager of domestic and off-shore hedge funds who acquired large, undisclosed positions in publicly traded companies and made significant misrepresentations that resulted in approximately $88 million in losses to investors. Steven also represented clients in a prosecution resulting from major hedge fund collapses and a client in a pay-to-play investigation. Steven's experience provides Herrick's clients with a clear advantage in all types of hedge fund fraud investigations.
Steven graduated magna cum laude from Georgetown University Law Center, where he was an editor of the law review and was selected to the Order of the Coif. After graduation, he clerked for then-Chief Judge Thomas P. Griesa of the U.S. District Court for the Southern District of New York. Following his clerkship, he spent three years at boutique litigation firm, which he left in December of 2001 to join the U.S. Attorney's Office.
DATE:
Tuesday, July 27th, 2010
Tuesday, July 27th, 2010
TIME:
* 8:00 AM to 10:30 AM
* Breakfast, administrative preceding presentations, presentations, round table, reception.
* 8:00 AM to 10:30 AM
* Breakfast, administrative preceding presentations, presentations, round table, reception.
VENUE:
THERE IS NO WALK IN REGISTRATION.
* Herrick Feinstein
* 2 Park Avenue
*
* New York, New York 10016
* 212-592-1400
THERE IS NO WALK IN REGISTRATION.
For more information contact us