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The Ethics of Using Big Data as an Information Channel: Exploring the Legal and Compliance Framework


Level: Advanced
Runtime: 65 minutes
Recorded Date: October 05, 2017
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Agenda

  • Overview of types and sources of alternative data
  • Legal issues raised by alternative data collection and use
  • Compliance guidance to mitigate risk
Runtime: 1 hour and 5 minutes
Recorded: October 5, 2017

Description

In this session, experts will discuss how hedge funds benefit from using consumer-related big data to help make investment decisions and will help you understand and protect yourself against the legal, compliance and ethical implication with data collection, privacy and information security.

This program was recorded on October 5th, 2017.

Provided By

ALM Events
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Panelists

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Steven Rosen

Former Chief Compliance Officer
Surveyor Capital

Steven Rosen is the former Chief Compliance Officer of Surveyor Capital, a long/short equity, multi-manager platform within Citadel. Steve began his career as an enforcement attorney at WilmerHale and later UBS Financial Services, representing clients in internal investigations and investigations by the SEC and other securities regulators. Subsequently, Steve was Assistant General Counsel at Coleman Research, where he managed the day-to-day legal and compliance activities of the international primary research firm.

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Betsy Thedford

Deputy Chief Compliance Officer/Counsel
Highfields Capital Management LP

Betsy Thedford is the Deputy CCO/Counsel of Highfields Capital Management LP where she facilitates the implementation of the compliance testing program and advises the firm on legal and regulatory compliance matters, including with the rules and regulations of the SEC, CFTC, NFA, and other domestic and foreign regulators.

Prior to joining Highfields in 2014, she was a Director within PwC’s Regulatory Practice specializing in the retail and alternative asset management industries. At PwC Betsy helped numerous advisers analyze their compliance environment and prepared unregistered alternative fund advisers for SEC registration, CFTC registration and other Dodd-Frank regulatory requirements impacting the financial services industry in the Boston and London office. Betsy first started working with asset managers in the PwC Assurance Practice, where she focused on auditing registered investment companies, hedge funds, real estate and private equity funds and related controls attestation engagements.

Betsy earned a Bachelors and Masters of Accountancy at the University of Colorado and graduated with Distinction from Suffolk University Law School with emphasis in Business Law and Financial Services. She is a Certified Public Accountant, member of Massachusetts Bar and sits on the Advisory Board of Back on My Feet Boston.

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Matthew H. Bloom

Chief Compliance Officer & Associate General Counsel
Viking Global Investors LP

Matthew Bloom is an Associate General Counsel and the Chief Compliance Officer at Viking Global Investors LP, responsible for legal, regulatory and compliance matters.

From 2009 until he joined Viking in 2013, Mr. Bloom was an Associate at Cravath, Swaine & Moore LLP, where he focused on complex civil litigation and internal investigations. From 2008 to 2009, he served as a law clerk to the Hon. Joel M. Flaum of the United States Court of Appeals for the Seventh Circuit.

He graduated from Yale Law School (2008) and Yale University (2005).


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