At the third annual Private Funds Forum, Seward & Kissel and Bloomberg BNA will bring together top names in the hedge fund world to discuss the latest challenges for an industry facing unprecedented pressures and scrutiny.
Even as some major funds thrive, the industry has seen scores of others close after years of sub-par performance; 2016 saw the highest number of withdrawals from hedge funds since the financial crisis. That can mean more pressure on managers to experiment with new strategies and untested financial instruments. And while in Washington, a new administration is promising a more hands-off regulatory agenda, policy outcomes are more difficult than ever to forecast.
This dynamic and uncertain regulatory and business environment creates both risks and opportunity, and fresh insights from leading industry practitioners. The Private Funds Forum will bring together fund managers, compliance officers, general counsels, and other business leaders to learn from each other and from other experts in the field.
Registration is now closed.
September 27, 2017
3:30 PM – 6:00 PM
Networking reception to follow
Skirball Center for the Performing Arts
566 LaGuardia Place
New York, NY 10012
Earn up to 2.0 CLE credits
3:30 PM Registration
4:00 PM Welcome Remarks
4:10 PM How the Current Regulatory Environment is Shaping Business Strategies
With unified Republican control of government and a promise of de-regulation from President Trump, the financial market is operating in a new regulatory environment. In this session, presented by Seward & Kissel’s regulatory policy experts, Washington watchers will explain how the political landscape is affecting the major issues that matter to private funds, and fund experts will explain how to adjust business strategies to capitalize on the current climate.
Moderator: Patricia A. Poglinco, Partner, Seward & Kissel
4:50 PM The Impact of Cryptocurrency and Blockchain on Asset Management
In this session, presented by Bloomberg BNA and moderated by Bloomberg Markets Magazine Editor Joel Weber, we’ll discuss the growing popularity of cryptocurrency hedge funds with one of the top fund managers and the impact of blockchain technology on asset management.
Moderator: Joel Weber, Editor, Bloomberg Markets Magazine
Speaker: Olaf Carlson-Wee, Founder & CEO, Polychain Capital
5:20 PM The Top Compliance Challenges in 2017/2018
Technology, changing investor demands and competing business developments. It's a combination that's pushing many fund managers to be more creative in how they operate their firm and look for alpha. That can mean significant challenges from a compliance standpoint. In this session, presented by Seward & Kissel and featuring various compliance experts, we will examine:
Moderator: Steven B. Nadel, Partner, Seward & Kissel
6:00 PM Networking Reception
Olaf Carlson-Wee is the founder of Polychain Capital, which manages the world’s premier blockchain asset hedge fund. Polychain has $250 million in assets under management including investment from Andreessen Horowitz and Union Square Ventures, among others. Olaf was the Head of Risk and first employee at Coinbase, where he built a 40 person operations team, conducted agent training on blockchain analysis for the FBI, HSI, and the Treasury Department, and designed fraud prevention and security mechanisms protecting billions of dollars in transactional value occurring in over 30 countries. He has a patent pending for the Bitcoin Host Computer System, a multi-authorization bitcoin storage mechanism. He received a BA from Vassar College after completing his thesis on distributed networking and financial cryptography.
Maureen Hurley is a partner in Seward & Kissel’s Investment Management Group. Maureen specializes in the structuring and formation of private investment funds and other pooled investment vehicles (U.S. and offshore), including hedge funds, funds of funds, private equity funds and “hybrid” funds; the establishment of separate accounts; the structuring, registration and regulatory compliance of investment advisers, commodity pool operators and commodity trading advisors; the negotiation of private investments and transactions, including seed capital investments and joint venture transactions; and the representation of clients in related investment management matters.
Maureen received a B.A. from Georgetown University, magna cum laude, and a J.D. from the University of Virginia School of Law.
Scott Mozarsky was named President of Bloomberg BNA’s Legal Division in November 2016. In that role, Mozarsky is responsible for driving the growth of the company’s legal products, including the flagship Bloomberg Law product.
Mozarsky joined Bloomberg BNA in March 2014 as President, Cross Platform Businesses, where he was the driving force behind the division, which leverages content and market expertise to deliver a range of marketing and live event services to the company’s clients.
Previously, Scott held a number of leadership roles during a13-year tenure in the UBM plc Group. As President – Media & Marketing Services for UBM Tech, Scott was responsible for building the marketing services business and driving the evolution of leading websites Information Week.com, EE Times, Dr. Dobbs Journal and Light Reading to an online community model tied to UBM Tech’s live events.
As EVP, Chief Commercial Officer of UBM subsidiary PR Newswire, Mozarsky oversaw commercial activities worldwide. Mozarsky also served as EVP and Chief Operating Officer of CMP Media. From 2002-2009, he served as General Counsel and headed up M&A and corporate development globally for UBM’s subsidiaries in North America and Latin America.
Prior to joining the UBM Group, he spent eight years at two multinational law firms representing media, technology, telecommunications, insurance and manufacturing companies. Mozarsky, who speaks Japanese and lived in Japan, has advised numerous companies on business, financial, and legal issues arising out of cross border transactions.
Mozarsky earned his Bachelor of Arts degree in Political Science from Williams College and his J.D. from Fordham Law School.
Patricia A. Poglinco is a partner in and co-head of Seward & Kissel's Investment Management group. Pat joined Seward & Kissel in 1986 and has been a partner since 1994.
Pat’s practice specialties include the representation of investment advisers and related regulatory compliance; the formation and representation of private investment partnerships, group trusts and various offshore investment vehicles; the formation and CFTC registration of commodity pools, commodity pool operators and commodity trading advisors; the formation and ongoing representation of registered investment companies (open-end and closed-end funds) and their managers, distributors,underwriters and other service providers; and general securities and general corporate matters.
Christopher Riccardi is a partner in Seward & Kissel’s Investment Management Group. Christopher joined Seward & Kissel in 2000 and has been a partner since 2010.
Christopher works with sponsors and managers of various private investment funds and other pooled investment vehicles, including private equity funds, hedge funds, funds of funds, commodity pools, and various "hybrid" funds. In particular, Christopher focuses on fund formation and structuring, the offering of interests by private investment funds, and the negotiation and documentation of such investments.
Christopher has substantial experience in organizing both domestic and offshore partnerships and other investment vehicles, including separately managed accounts. Christopher also represents fund sponsors in connection with seed-capital investments and represents funds of funds and other institutional investors in connection with their investments in private funds. Christopher regularly counsels investment advisers, commodity pool operators and commodity trading advisors on regulatory and compliance matters, including the development of comprehensive compliance programs and in connection with applicable regulatory examinations. On the transaction side, Christopher represents these clients in connection with their investment activities, including private equity and venture capital transactions, joint ventures and PIPE transactions.
Christopher received a B.S. from the United States Military Academy (West Point), an M.B.A. from Chaminade University and a J.D. from Fordham University School of Law.
Christopher was recognized as a 2014 New York Metro Super Lawyer.
Matthew B. Siano, Esq. is Managing Director, General Counsel of Two Sigma Investments, LP, Two Sigma Advisers, LP and Two Sigma Investor Solutions, LP, a trio of global investment managers specializing in quantitative investing across a broad range of asset classes, as well as their other U.S and non-U.S. affiliates. Two Sigma and its various affiliates currently manage numerous hedge funds, private investment pools, registered funds and managed accounts with over $48 billion in assets under management. As Two Sigma’s General Counsel, Mr. Siano is responsible for the firm’s legal, regulatory and compliance matters and is the head of both their legal and compliance departments. Mr. Siano joined Two Sigma in July 2004.
From September 1999 through June 30, 2004, Mr. Siano was an associate in the Investment Management Group of Seward & Kissel LLP, a New York City-headquartered law firm with an industry-leading hedge fund practice. At Seward, Mr. Siano specialized in the formation and structuring of private investment funds (including hedge funds and private equity funds), representing registered and unregistered investment advisers, listing private investment funds on non-U.S. exchanges, advising clients on SEC, CFTC and FINRA filings, and providing overall corporate, securities and tax advice.
Mr. Siano graduated cum laude from the College of William and Mary in Virginia in 1996 with a B.A. in Government and History. While in Williamsburg, he also minored in Religion and published an honors thesis on the New York City public school system. In 1999, Mr. Siano earned a J.D. from Fordham Law School, where he was the Special Publications Editor for the Urban Law Journal and a member of the Fordham Moot Court Board.
Mr. Siano is also an adjunct professor in the Mason School of Business, the undergraduate business school of the College of William and Mary in Virginia, where he teaches a seminar course on the management of hedge funds. He has also been an active industry speaker at events hosted by the American Bar Association, Bloomberg, the Corporate Lawyering Association, Fordham Law School, PLI, the RCA and various U.S. and international law firms.
Joel Weber is the editor of Bloomberg Markets magazine, which he re-launched in 2016 as a bi-monthly publication for customers of the Bloomberg Professional service. Weber joined Bloomberg in 2012 as a senior editor at Markets, where he covered banking, finance, economics, and technology. Before Bloomberg, Weber worked at ESPN The Magazine, Men’s Health, and Men’s Journal. He has a Bachelor’s degree in journalism from the University of Oregon.
Mr. Daniels is the General Counsel and Chief Compliance Officer, and a member of the Risk Committee. Prior to joining Brigade, Mr. Daniels was an Associate in the Investment Management Group at Seward & Kissel LLP from 2004 to 2010. Mr. Daniels’ practice focused primarily on hedge fund formation, and investment adviser registration and compliance. Mr. Daniels received a BA in Political Economy, cum laude, from Tulane University and a JD from Georgetown University.
Jiri Krol joined AIMA in April 2010, was appointed Director of Government and Regulatory Affairs in April 2011 and in May 2013 became Deputy CEO.
Prior to joining AIMA, he worked at the European Commission, where he was responsible for the coordination of the Commission’s policy towards the Financial Stability Board and the G20.
Jiri started his career at the Czech securities market regulator. He then moved to the European Commission’s Internal Market Directorate-General, where he was responsible for the drafting and negotiation of the Markets in Financial Instruments Directive (MiFID) implementing measures. While at the Commission, he also worked on the Non-Equity Market Transparency and the Commodity Derivatives reviews.
Previously, Jiri was appointed Financial Markets Policy Director in the Czech Ministry of Finance in 2007. In 2009, he led the Czech European Union Presidency’s work in the area of financial services, which involved finalising the Capital Requirements Directive (CRD II) and the Solvency II Directive as well as the Credit Rating Agencies regulation negotiations.
He studied international relations, economics and politics at Tufts University, London School of Economics and Sciences Po.
Steve is a partner in Seward & Kissel’s Investment Management Group. He joined the Firm in 1997. He is also the founding editor of The Private Funds Report and The Private Funds Bullet Report, two Group newsletters.
Steve has extensive experience in issues relating to the establishment and ongoing operation of hedge funds, funds of funds (U.S. and offshore), private equity funds, separate accounts, registered investment advisers, commodity pool operators and commodity trading advisors, as well as related matters, including management company structuring, fund marketing, employment agreements, solicitation agreements, joint ventures, seed capital arrangements, regulatory compliance and general organizational matters.
Steve’s strategic, practical, highly responsive approach is well known throughout the industry. Through his large network, he is able to source practical industry trends, which he seeks to impart in addition to his legal guidance. He represents a wide variety of clients ranging from startup entrepreneurs to very large, prominent institutions, and he is considered by the various services providers in the space (including accountants and brokers) to be one of the premier attorneys in the alternative investment management arena.
Steve wrote a chapter on U.S. private investment fund regulation for the book entitled The Capital Guide to Alternative Investment, as well as for The Review of Securities & Commodities Regulation. He has also authored the following investment management articles: Foresight for Established Managers, Law 360, June 2010; The Expansion of Hedge and Private Equity Funds, Law 360, May 2010; How to Reinvigorate Investment in Hedge Funds, HedgeWorld.com, July 2009; Hedge Funds Affected by New Rules, 2009 Hedge Fund Industry Report;State Level Investment Adviser Registration, Private Investment Forum, Fourth Quarter 2001; The Principal Elements of Private Equity, Private Asset Management, May 3, 1999; An Accountant’s Guide to the Major Legal Issues Affecting Hedge Funds, The CPA Journal, October 1998; and Becoming an SEC-Registered Investment Adviser: Understanding What’s Really Involved, Hedge Views, Summer 1998. Steve is a highly sought after lecturer who speaks regularly on various investment management topics, and who is also often quoted in many leading business and legal publications, including the New York Times, the Wall Street Journal and Bloomberg. He is listed in the Super Lawyers New York-Metro edition. He also previously taught a course at the New York Institute of Finance titled, "How to Start a Hedge Fund."
Steve is a member of the American Bar Association and the New York State Bar Association. Steve also sits on the Boards of Directors of the charities Hedge Funds Care and the RBaby Foundation.
Rosali is a partner in the services regulation group, which forms part of our financial markets practice in London. She has more than 20 years’ experience of advising on broker-dealer, asset management and bank regulation, derivatives and funds. Rosali is highly rated for her work on energy and commodity derivatives.
Rosali “has a very good name in the market” (Legal 500, 2017) and is praised for providing “comprehensive legal services with a personal touch” (Chambers & Partners, 2017).
Adam Schreck is the General Counsel of Discovery Capital Management, LLC, an investment management firm that employs discretionary global macro and fundamental strategies to identify long and short investment opportunities across asset classes. Prior to joining Discovery in February 2011, Mr. Schreck was an attorney in the Investment Management Group at Seward & Kissel LLP.
While at Seward & Kissel, he specialized in the structuring of hedge fund and private equity funds, counseled registered investment advisers on matters of SEC compliance and examinations, and provided overall corporate and securities advice. Mr. Schreck graduated magna cum laude from Yeshiva University with a B.A. in History (2000) and received his JD from the University of Pennsylvania Law School (2004).
Robert B. Van Grover is a partner in and co-head of Seward & Kissel’s Investment Management Group. He joined the Firm in 1997.
Rob specializes in the formation and representation of private funds (U.S., offshore, single and multi-strategy, fund of funds and private equity), investment advisers (federal or state registered and non-registered), broker-dealers, commodity pool operators and commodity trading advisers. Rob advises clients on a wide variety of securities, tax and business law matters relating to the investment management business, including compliance and regulatory matters, fund and management company structuring, counseling on mergers and acquisitions, buy-sell agreements, employment matters, non-compete and confidentiality agreements, marketing and distribution arrangements and presentation materials, joint ventures, seed capital arrangements, soft dollar and other brokerage arrangements, and general organizational matters.
Rob is a contributing author to Hedge Funds: Law and Regulation (Sweet & Maxwell 2001) (chapter entitled, "U.S. Legal and Regulatory Issues Faced by Offshore Funds and Their Sponsors") and has authored articles on various investment management topics. Rob is a frequent speaker on "hedge fund" and investment management related issues.
Rob is a member of the American Bar Association (Business Section) and the International Bar Association.
Skirball Center for the Performing Arts
566 LaGuardia Place
New York, NY 10012
Earn Up to 2.0 CLE Credits
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Seward & Kissel LLP, founded in 1890, is a leading U.S. law firm with an international reputation for excellence. We have offices in New York City and Washington, D.C. The Firm established the first hedge fund ever, A.W. Jones, in 1949, and is particularly well known for its investment management work, and its representation of investment advisers and related investment funds (including hedge funds and mutual funds), major commercial banks, investment banking firms, broker-dealers, and institutional investors. The Firm’s practice also focuses on corporate, litigation and restructuring work for clients seeking legal expertise in the financial services, corporate finance and capital markets areas.
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