Archived Teleconferences
For the year 2012
NYHFR Regulatory Call, International Survey of Investment Adviser Regulation
International Survey of Investment Adviser Regulation
October 2, 2012
The Regulatory Conference Call series features industry experts that succinctly address important legal, regulatory and compliance issues affecting the hedge fund industry. There is no charge to participate in the call.
Dial-in information is as follows:
Dial-in number: (712) 432-1001
Access Code: 487749705#
The Panelists:
Marcia L. MacHarg, a corporate partner based in Debevoise’s Frankfurt office, is a member of the Investment Management Group and spent more than 15 years in the firm’s Washington, D.C. office. Ms. MacHarg represents international clients in a wide variety of regulatory and transactional matters, internal control and compliance assessments and examinations by securities regulators.
Kenneth J. Berman, a corporate partner based in the firm’s Washington, D.C. office, focuses on providing regulatory and compliance advice to financial services firms, particularly investment advisers and sponsors of mutual funds, private equity funds and other pooled investment vehicles.
Moderator:
Young Lee, CFA
March 27, 2012 Regulatory Conference Call
Topics and Speakers Include:
This call will feature a discussion on risk management and liability best practices and pitfalls. Panelists include:
Shahri Griffen, Senior Vice President and co-head of the Jamison Group’s Alternative Investments Insurance Management Group(AIIMG).
Nicole Z. Segal, Senior Vice President and co-head of the Jamison Group’s Alternative Investments Insurance Management Group(AIIMG).
Sarah Quinlan, Founder and CIO of QAM, an investment advisor.
Moderator:
Aileen Doherty, Director Virtusa Corporation
March 27, 2012
The next Regulatory Conference Call is scheduled for March 27, 2012 at 12:30pm to 1:30pm (EDT). The Regulatory Conference Call series features industry experts that succinctly address important legal, regulatory and compliance issues affecting the hedge fund industry. There is no charge to participate in the call.
Dial-in information is as follows:
Dial-in number: (712) 432-1001
Access Code: 487749705#
The Panelists:
Sarah Quinlan is the Founder and CIO of QAM, an investment advisor.
Previously, she was the Chief Investment Officer and Head of Alternatives for Saad Financial Services, S.A. from 2006 to 2009. At Saad, she was a member of the Investment Committee, advising on assets globally located outside of the Gulf region. She oversaw the selection of a broad range of hedge fund and private equity investments for the Saad Group, including early stage managers through established funds. Additionally she advised on a macro overlay including equity, bond and private equity investments in a long short portfolio and actively traded to mitigate the risk of the portfolio’s long only holdings. She was responsible for building and leading a team conducting due diligence, portfolio construction and management of the hedge fund exposure. Ms Quinlan was also responsible for overseeing the risk management to monitor portfolio exposures and correlation levels.
Prior to joining Saad, she was in 2005, an Executive Director at UBS, with a focus on identification of the best hedge funds for individual private clients. She had previously created, developed and led the Alternative Investments Group, in addition to a Multi-Manager strategy, for Lloyds TSB from 2002 to 2004. She was co-founder and manager of TwentyFirst Century Advisors, a small and mid cap long/short hedge fund which was ranked in the Top 10 of Mar Hedge during 1997 to 1998.
She received her BA and MBA from the University of Chicago in Politics, Economics, Rhetoric and Law with Special Honors and in Finance and Accounting, respectively.
Shahri L. Griffin is a Senior Vice President and co-head of the Jamison Group’s Alternative Investments Insurance Management Group(AIIMG). She joined the Jamison Group 6 years ago to build the firm’s effort in the Alternative space, focusing on insurance products designed for hedge funds, private equity firms, broker/dealers, and service providers including Compliance firms and third party marketers. Ms.Griffin and her co-head, Ms. Segal, have successfully created a one-stop insurance shop for the firm’s clients. Ms. Griffin’s product focus includes Errors and Omissions, Directors and Officers, Employment Practices Liability, Fiduciary Liability, Commercial General Liability, and a number of other property and casualty insurances. She works with personal lines insurance, group benefit coverages as well as individual life, disability,and long term care insurance. For a number of her clients, she has also placed their key man insurance.
Additionally, Ms. Griffin has assisted a number of firms in establishing and/or enhancing their retirement plan designs to include profit-sharing and cash balance plans as a means to larger qualified pre-tax contributions.
Ms. Griffin holds Series 7 and 63 licenses through Royal Asset Alliance. She also holds Life, Health, Property and Casualty licenses.
Ms. Griffin completed her Bachelor of Arts in computer science from Harvard University, 1986, and an MBA from the Wharton School of Business, 1990.
Nicole Z. Segal is a Senior Vice President and co-head of the Jamison Group’s Alternative Investments Insurance Management Group(AIIMG). She joined the Jamison Group 6 years ago to build the firm’s effort in the Alternative space, focusing on insurance products designed for hedge funds, private equity firms, broker/dealers, and service providers including Compliance firms and third party marketers. Ms.Segal and her co-head, Ms. Griffin, have successfully created a one-stop insurance shop for the firm’s clients. Ms. Segal’s product focus includes Errors and Omissions, Directors and Officers, Employment Practices Liability, Fiduciary Liability, Commercial General Liability, and a number of other property and casualty insurances. She works with personal lines insurance, group benefit coverages as well as individual life, disability,and long term care insurance. For a number of her clients, she has also placed their key man insurance.
Additionally, Ms. Segal has assisted a number of firms in establishing and/or enhancing their retirement plan designs to include profit-sharing and cash balance plans as a means to larger qualified pre-tax contributions.
Ms. Segal holds Life, Health, Property and Casualty licenses. She has a Bachelor of Arts in American History from Columbia University, 1989.
The Moderator:
Aileen Doherty, Regulatory Compliance and Operations Attorney:
Ms. Doherty is a regulatory compliance and operations attorney.
Formerly a Director at Virtusa Corporation, Ms. Doherty has extensive project management experience with U.S. and international broker dealers and wealth management institutions, inclusive of Alliance Capital Management, Citigroup Investment Services /Private Bank and Fiduciary Trust Company International. Aileen has led multiple project teams responsible for the development and implementation of Investment adviser, broker dealer, alternative investments and bank compliance and operational policies and procedures.
Ms. Doherty works with clients on the enhancement and streamlining of existing infrastructure to create efficient and compliant operations and mitigation of a firm’s overall risk profile via the incorporation of Dodd-Frank requirements. She has also worked with institutional investors to insure compliance with Fiduciary standards.
She received her BA in History from Trinity College and JD from New York Law School. She is a member of the New York State Bar.
March 2012 Regulatory Conference Call
Topics and Speakers Include:
This call will feature a roundtable panel discussion on the importance of governance in mitigating both overall enterprise and specific component of investment risk. The panel will review some of the more recent developments in governance and risk management.
Panelists include:
Joyce E. Heinzerling, Managing Member Meridian Fund Advisers
Craig J. Peretz, COO, CFO and CCO, Sierra Global Management, LLC as well as a Director for the Sierra Europe Offshore Ltd
William J. Ferrell, Founder, President & Chief Investment Officer Ferrell Capital Management
Moderator:
Aileen Doherty, Director Virtusa Corporation
The next Regulatory Conference Call is scheduled for March 6, 2012 at 12:30pm to 1:30pm (EDT). The Regulatory Conference Call series features industry experts that succinctly address important legal, regulatory and compliance issues affecting the hedge fund industry. There is no charge to participate in the call.
Dial-in information is as follows:
Dial-in number: (712) 432-1001
Access Code: 487749705#
The Panelists:
William J. Ferrell, Founder, President & Chief Investment Officer Ferrell Capital Management
Mr. Ferrell pioneered the concept of managing multi-strategy trading accounts to a target volatility and created many practical applications of market risk measurement and management. He is President and CIO for a fund of hedge funds that was seeded by two bank clients in 2001.
Currently, Mr. Ferrell is developing a business that enables institutional investors to outsource active portfolio risk management. In this endeavor he has enlisted academic support from several of the top authorities in the field of quantitative analysis and interpretation. He is also a frequent contributor to major investment publications and often speaks as an expert on portfolio construction as well as the theory and practice of tactical risk control.
Joyce E. Heinzerling, Managing Member Meridian Fund Advisers
Joyce Heinzerling is the Managing Member at Meridian Fund Advisers, a hedge fund consulting firm formed in April 2009. Meridian Fund Advisers provides a broad scope of consulting services to hedge funds, with a special emphasis on Regulatory Compliance, Fund Formation, Operational Due Diligence, and Corporate Governance Best Practices. Previously, Ms. Heinzerling was a Partner and the General Counsel at Archery Capital LLC, a New York-based fund of funds. Prior to joining Archery Capital in May 2000, Ms. Heinzerling was in the private practice of law both at Shearman & Sterling and Kramer Levin Naftalis where she specialized in providing regulatory advice to investment funds. Ms. Heinzerling currently serves as a Director on the Boards of two registered mutual fund families - Burnham Investors Trust and The Value Line Funds, and is a frequent speaker at industry conferences, seminars, and roundtables, including those sponsored by MARHedge, FRA LLC, Pension Bridge, and Incisive Media, where she speaks on topics pertaining to Hedge Fund Regulation, Due Diligence, and Corporate Governance Best Practices. Ms. Heinzerling is a member of the New York Bar, the American Bar Association, the International Bar Association, 100 Women in Hedge Funds (Member of the Legal Peer Advisory Committee), and the New York Hedge Fund Roundtable.
Craig J. Peretz is the Chief Operating Officer, Chief Financial Officer and Chief Compliance Officer of Sierra Global Management, LLC as well as a Director for the Sierra Europe Offshore Ltd.
Mr. Peretz is responsible for the non-portfolio management side of the business at Sierra, including all aspects of operations, compliance and risk monitoring. Mr. Peretz joined Sierra in 1998 from International Fund Administration (1995-1998), where he was in charge of client administrative operations, financial review/preparation and investor/manager relations for three years. Previously, Mr. Peretz worked in the corporate finance and investment recovery divisions of Equitable and Alliance Capital Management for seven years (1988-1995), also serving as a member of Equitable's demutualization team. Mr. Peretz completed his undergraduate studies at Alfred University in 1988 and received his MBA from The Stern School of Business at New York University in 1993.
The Moderator:
Aileen Doherty, Director, Virtusa Corporation:
A Director in the Compliance and Regulatory Practice of Virtusa, Ms. Doherty current focus is on the enhancement and streamlining of existing infrastructure to create efficient and compliant operations while incorporating Dodd-Frank requirements and mitigating a firm’s overall risk profile.
An Attorney and Compliance Professional with extensive project management experience with U.S. and international broker dealers and wealth management institutions, inclusive of Alliance Capital Management, Citigroup Investment Services /Private Bank and Fiduciary Trust Company International. Aileen has led multiple project teams responsible for the development and implementation of Investment adviser, broker dealer, alternative investments and bank compliance and operational policies and procedures.
February 2012 Regulatory Conference Call
Topics and Speakers Include:
Caroline Abramo, Pana Consulting Strategies, Dee Martin, Bracewell and Guiliani, Evan Zuckert, Eco Risk Markets, LLC and Paul Sharp, Sr. Metals Specialist. The panel will discuss:
- Recent events impacting commodity markets
- New Regulatory and Financial Requirements and proposals
- Operational Methods to manage events and new requirements
Presentation slides
The next Regulatory Conference Call is scheduled for February 7, 2012 at 12:30pm to 1:30pm (EDT). The Regulatory Conference Call series features industry experts that succinctly address important legal, regulatory and compliance issues affecting the hedge fund industry. There is no charge to participate in the call.
Dial-in information is as follows:
Dial-in number: (712) 432-1001
Access Code: 487749705#