October 26 - 27, 2017 / THE PARK LANE / NEW YORK, NY
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From the creators of Operations for Alternatives (OFA)

 Global Fund Compliance

The creators of Operations for Alternatives (OFA) present this inaugural event dedicated to the regulatory, examination, and compliance concerns of institutional investors, legal and compliance professionals from funds, private practice attorneys, and members of the global investment community at large.

October 26-27, 2017 The Park Lane Hotel on Central Park South | New York, NY

With the current tempestuous geopolitical climate, the future holds a great deal of uncertainty for the global marketplace. Anticipated regulatory shifts in domestic and international markets have caused investors to change the way they do business.
In response to the state of global market insecurity and volatility, the creators of Operations for Alternatives (OFA) have developed a premier forum focused on the regulatory, examination, and compliance controversies brought to fruition by this sea change.
The GLOBAL FUND COMPLIANCE Conference will take place on October 26-27 at the Park Lane Hotel on Central Park South in New York City.


James Loonam
Deputy Chief, Business and Securities Fraud Section, U.S. Attorney’s Office
Eastern District of New York (tentative)

Daniel Scott Noble
Assistant U.S. Attorney,
U.S. Attorney’s Office, Southern District of New York (tentative)

Michael Ferrara
U.S. Attorney’s Office
Southern District of New York (tentative)

Edward Y. Kim
U.S. Attorney’s Office
Southern District of New York

Charles D. Riely
Assistant Regional Director
U.S. Securities and Exchange Commission

Azam A. Riaz
Exam Manager
U.S. Securities & Exchange Commission

Lilian Perez
Supervisory Special Agent, White Collar Crime Coordinator

Salvatore G. Cincinelli
Supervisory Special Agent, Complex Financial Crimes Unit

Kurt Spero
Chief Operating Officer
Citrine Capital Management

Marshall Terry
Managing Director, Chief Operating Officer & Chief Compliance Officer
Rotation Capital Management, LP

Judith Posnikoff, Ph.D.
Managing Director, Portfolio Manager and Co-Founder
Pacific Alternative Asset Management Company, LLC

Vincent Cuticello
General Counsel and Chief Compliance Officer

John Ward
Managing Director, Head of Operational Due Diligence
LumX Asset Management Ltd.

Colleen Lynch
Former Assistant Regional Director, U.S. Securities and Exchange Commission, General Counsel
Coatue Management

Robert A. Saperstein
Senior Managing Director, Global Head of Compliance and Senior Counsel
Guggenheim Partners, LLC

Lisa Roitman
Entity Intelligence
Bloomberg LP

Heidi Kaiser
Deputy General Counsel & COO
Campbell & Company

Joseph Hanlon
Chief Compliance Officer
Crescent Capital Group

Mitchell Clayton
Vice President, Portfolio Analyst
Lazard Asset Management

Eric Goldstein
Chief Compliance Officer and Deputy General Counsel
Insight Venture Partners

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

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

Herb Chain
Director of Education
Investment Management Due Diligence Association (IMDDA)

Warren Feldman
Skadden, Arps, Slate, Meagher & Flom LLP

Arlo Devlin-Brown
Former Chief, Public Corruption Unit, U.S. Attorney’s Office, SDNY, Partner
Covington & Burling LLP

Scott L. Silver
Managing Partner
Silver Law Group

Christina Hamilton
Shartsis Friese LLP

Cary J. Meer
Partner, New York, New York and Washington, DC,
K&L Gates LLP

Dawn Howe

Roger Wise
Stradley Ronon

Beth R. Kramer
Winston & Strawn LLP

Michael F. Mavrides
Proskauer Rose LLP

Michael Neus
Senior Fellow, Program on Corporate Compliance and Enforcement
NYU School of Law

Serina M. Vash
Former Federal Prosecutor, Executive Director, Program on Corporate Compliance and Enforcement,
NYU School of Law

Rashmi Airan
Former Federal Defendant and Ethics Keynote

Tom Hardin
Tipper X Advisors LLC

Andrew Bauer
Former Assistant US Attorney, SDNY, Partner
Arnold & Porter Kaye Scholer LLP

Lilian Perez
Supervisory Special Agent, White Collar Crime Coordinator

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

Day 1
26 Oct 2017
Day 2
27 Oct 2017

Avoiding the Fate of Tipper X: Secrets of Insider Trading Prevention

Tom Hardin shares his story about how he became an instrumental, key figure in what the FBI deemed “Operation Perfect Hedge” — a Wall Street housecleaning campaign that matured into the biggest insider trading case of this generation.  In an industry where information is valued as legal tender, attend this session and understand why the Commission and the Department of Justice will continue to seek out cases of insider trading on a global scale.

Critical Regulatory and Enforcement Initiatives Impacting Global Markets

This session will assess the evolving regulatory and business environments in the U.S. and key foreign markets.

  • A compliance overview related to funds
  • Types of exams
  • Recent enforcement actions and findings

The Impact of Nationalism on International Financial Markets

The industry is scrambling to forecast what the impact of deglobalization will be on regulatory regimes. If nationalism continues to take root, what happens to cross-country “passport” regulatory efforts? The resurgence of nationalism, most notably, the UK’s referendum and the election of Donald Trump stateside, will affect the advancement of the post-financial crisis regulatory plan. This session will review the impact of diminishing interdependence on the markets at large.
10:45 - 11:00

Networking Break

Strategies for Emerging Managers: Building an Infrastructure to Meet your Operational Due Diligence Requirements

  • What to look for when hiring your COO and other ops professionals
  • Things to consider when looking at outsourcing v. in house operations
  • How to choose your service providers
  • Who needs to be on your investment team and why

Your Data Speaks Volumes: Regulatory Compliance Initiatives and Investing in Data Management Capabilities

Today, we are consistently asked to do more with less.  One way to do this is by creating a strong culture of data management.  The investment industry has been plagued with problems related to the management of data, but recent advancements have made solutions available.  Attend this session and learn how to cultivate a strong culture of data management and promote awareness data governance standards internally.
12:10 -01:10

Networking Luncheon for Speakers and Attendees

Compliance Part I: Managing Potential and Actual Conflicts of Interest

  • How does a Frim evidence a Culture of Compliance to internal and external stakeholders?
  • What are best practices for identifying, disclosing and mitigating actual and potential conflicts of interest?
  • What types of conflicts are currently attracting regulatory attention?

Compliance Part II: Custody Concerns for Both Investors and Advisors

This session will consider the latest SEC guidelines, including the 2017 “inadvertent custody” initiatives; weaknesses of custody documentation with banks and brokers; and risk of loss from cyber-attack of bank accounts.  The session will offer practical tips for identifying and ameliorating risk of custody in its various forms.

Anticipating the Fiduciary Duties of Institutional Investors in Hedge Funds

Regulators have made it clear that the definition of the fiduciary duty is of utmost concern. Contrary to implications of the new definition of the role and who it implicates, the prevalent industry corporate governance standards feature nominal governance requirements for several historical reasons. In preparation of the new standard taking effect, this session will:

  • Assess current case law trends
  • Identify the legal responsibilities of the board
  • Understand global litigation post Morrison

Striving for Greater Fee Transparency: Fund Fees and Expense Allocations

Join these panelists and consider recent SEC enforcement actions in this area and gather tips and best practices from the institutional investor’s perspective.
Themes will include:

  • Allocation of expenses to funds
  • Conflicts of interest
  • Ambiguous terms
  • Lack of transparency

Obtaining International Capital and Aiding Global Performance, Marketing and Solicitation

After AIFMD, fund have been called to modify the way they market across Europe. Now, more than ever, it is vital that funds understand the amplified requirements so that the necessary changes can be made to their marketing and solicitation practices and procedures. This session will guide you through the application of MiFID II and MiFIR in relation to investor protection.
04:00 -04:15

Networking Break

Cybersecurity Preparedness in the Wake of Global Ransomware Attacks

Human behavior plays a huge role in leaving firms vulnerable to cyber attacks. An interactive conversation with technologists and compliance professionals on the importance of finding new ways to frame the conversation around cyber-security Conversation will focus on:

  • Cybersecurity in the news – a look at the recent uptick of ransomware attacks
  • Quick tips regarding cyber hygiene (strong passwords, patching, inventory, access and controls)
  • Interactive game to test skills

FCPA Enforcement and Individual Culpability for Corporate Misconduct

Global Funds, Financial Institutions and the Foreign Corrupt Practices Act (FCPA)—The Aftermath of Och-Ziff:

  • Do global funds need to worry about the FCPA?
  • Is this a problem for the entity or do individuals need to be concerned as well?
  • What is the FCPA Pilot Program and does it matter to global funds and financial institutions?
  • If we are only investors, is this really our problem?
  • What should we do if we find that we may have an FCPA issue?
  • Should we be investing in compliance?

It Could Be You: A Case for Ethical Vigilance and Responsible Global Investment

A former federal prosecutor and a former federal defendant join forces, sharing the experiences that led them to careers in the law, the decisions that took them on vastly different journeys, and the understanding that ultimately brought them together.

Now, these two women speak side-by-side, sharing their insight and exploring the psychology behind ethical and unethical decision-making. In this talk, they identify inflection points for individuals and organizations where questions, interventions, knowledge or relationships can help you make better, more informed and more ethical decision

A Deep Dive into Global Portfolio Valuation

  • How should funds who invest in less-than-liquid securities value the portfolio holdings
  • How much is too much? When do manager marked positons put independent fund administration into doubt?
  • Are all valuation experts the same and do the methods of valuation they use make a difference?
  • How to get comfortable with positions valued using broker quotes, and when to be concerned.

Mitigating Risk and Reducing Liability: Risk Assessments, Reviews and Testing Procedures

The industry is perpetually looking for new ways to revise and reinvent risk management techniques. Recently, global regulations have been enacted that affect both the business and operations units. In order to accurately measure risk and performance, it is essential that you have testing procedures in place to evaluate the effectiveness of your current compliance program. This session will provide you with risk management tools that will allow you to proactively asses the risks throughout your business.
10:30 - 10:45

Networking Break

Insider Trading: Political Intelligence as a New Enforcement Target and What these Investigations Mean for You

With United States v. Salman resolving some (but not all) of the questions about the scope of the insider trading crime, the Department of Justice and the Securities and Exchange Commission are back at it again, this time with a series of high-profile enforcement actions targeting trading on "political intelligence." There are countless governmental decisions made in the executive and legislative branches with enormous potential to move the price of securities of particular companies or the market as a whole. Early intelligence on key governmental events -- from drug approvals to sanctions lists to the minutiae of tax legislation -- can lead to great profits, but sometimes at great risks. A panel if diverse guests from government, private practice, and the fund industry will discuss the key questions surrounding the new wave of political intelligence insider trading actions, including:

  • How instructive are the guidelines for trading on confidential commercial information when assessing trading on confidential governmental information?
  • When do government officials and employees have a duty to keep information confidential? When do members and staff of the legislative branch?
  • Can actual or expected campaign contributions satisfy Salman's person benefit requirement? Can expected post-government employment?
  • What are the risks in hiring political intelligence consultants? How can they be mitigated?
  • What changes do funds need to make to compliance procedures to address these new risks?

Post-Conference Investor Workshop: Why and How Funds Choose Certain Domiciles – Key Strategic Considerations and Decision Making Criteria that Will Influence Their Decision and How it Affects You and Your Due Diligence Practices

The Workshop will explore the reasons funds choose an offshore jurisdiction or the United States, and the advantages and disadvantages of the primary offshore jurisdictions.

Considerations include:

  • The regulatory framework
  • Speed and cost of launch
  • Investor familiarity
  • The costs of ongoing compliance

We will also discuss the impact of a fund’s investment strategy (in particular, where it will make its investments and the types of investments it will make) and the domicile and tax status of its investors.

Finally, the Workshop will discuss how U.S. tax considerations affect decisions about fund domicile. The Workshop is intended as an interactive opportunity for participants to discuss issues raised during the conference.




Conference + Workshop
649.00 USD
Early Bird Pricing Valid Until:
September 22, 2017

What’s Included:

  • Full 2 Day Conference
  • Workshop
  • Breakfast, Lunch & Refreshments
  • After Party
Book Now

Conference + Workshop
1,795.00 USD
Early Bird Pricing Valid Until:
September 22, 2017

What’s Included:

  • Full 2 Day Conference
  • Workshop
  • Breakfast, Lunch & Refreshments
  • After Party
Book Now

Conference Only
1,495.00 USD
Early Bird Pricing Valid Until:
September 22, 2017

What’s Included:

    • Full 2 Day Conference
    • Breakfast, Lunch & Refreshments
    • After Party
Book Now

Brochure Download

Fill out the form below to recieve a copy of our conference brochure


The Park Lane Hotel on Central Park

36 Central Park South, New York, NY 10019

Contact Us

Agenda and speaking

Joe Gallagher
Director of Research & Programming
212-352-3220 x 5511

Sponsorship and exhibition inquiries:

Aaron Goldstein
Business Development Executive
212 352 3220 x 5260

Marketing and media partnerships inquiries:

Chris Corbin
Event Marketing Director
212-352-3220 x 5540

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Media Partners

For marketing and media partnerships inquiries:
Chris Corbin Event Marketing Director 212-352-3220 x 5540