Attention:
Card image cap

The Regulators Aren't the Only Eyes on Your Compliance Program: Successfully Responding to Increased Investor Scrutiny


Level: Advanced
Runtime: 65 minutes
Recorded Date: October 05, 2017
Click here to share this program
Download PDF

Agenda

  • Evaluationg your Compliance Practices
  • Opportunities for In-House Counsel and Compliance Officers to add value and reduce risk
  • How to select and oversee a Compliance Consultant
  • Q & A
Runtime: 1 hour and 5 minutes
Recorded: October 5, 2017

Description

In this program, the panel of experts will discuss the ways for in-house counsel and compliance officers can respond to investor scrutiny in an effective manner.

This program was recorded on October 5th, 2017.

Provided By

ALM Events
Card image cap

Panelists

Card image cap

Andrew Dominus

General Counsel & Chief Compliance Officer
Seer Capital Management, LP

Andrew Dominus has been General Counsel and Chief Compliance Officer of Seer Capital Management since July 2013. He has a broad range of transactional and regulatory experience, having spent 12 years, including his last three there as General Counsel, at KBC Financial Products (a broker/dealer with at its peak over 1000 employees and offices in New York, London, Hong Kong and Tokyo) before joining Seer Capital. He started his career at Stroock & Stroock & Lavan, where his practice focused on securitizations and derivative products. He then worked at UBS supporting their equity derivatives and fixed income securities groups until he left to join DE Shaw & Co., where he supported its equity derivatives group. That group was part of the unit sold by DE Shaw & Co. to KBC Bank in 1999, which then became the KBC Financial Products Group.

Mr. Dominus graduated from Dartmouth College in 1986 with a B.A. in Comparative Literature, and received his J.D. from Columbia Law School in 1991.

Card image cap

Laura Torrado

General Counsel, Chief Compliance Officer and Human Resources Director
Knighthead Capital Management, LLC

Ms. Torrado-Malley is the General Counsel, Chief Compliance Officer and Director of Human Relations of Knighthead Capital Management, LLC (“Knighthead”), an SEC registered investment management firm specializing in long-short event driven, distressed credit and other special situations across a broad array of industries. Ms. Torrado-Malley supervises all legal, compliance and HR issues at the firm.

Prior to joining Knighthead at its launch in 2008, Ms. Torrado-Malley was a Senior Managing Director at Bear, Stearns & Co. Inc. in the High Yield/Special Situations Department where she performed the dual role of legal advisor for the distressed debt trading desk and global head of loan settlement. She was also a founding member of the Bear Stearns Women’s Network.

Before joining Bear Stearns in 1997, Ms. Torrado-Malley was an associate in the Bankruptcy Reorganization/Claims Trading Department at Robinson Silverman Peace Aronson & Berman, LLP, NKA Bryan Cave.

Ms. Torrado-Malley graduated from Albright College with a B.A. in Political Science/French and received her J.D. from New York Law School.

Card image cap

Maura Harris

Head of Due Diligence
Bostwick Capital

Maura Harris is an experienced ODD expert with over 25 years of operational experience. Today, Ms. Harris is the Head of Due Diligence at Bostwick Capital, a multi-manager in New York.

Previously, Ms. Harris was EVP, Business Development & Operations at AITEC, an online peer to peer community of CTOs in financial services.

From 2006 to 2015, Ms. Harris was a SVP & Director of Operational Due Diligence at Permal. At Permal, Ms. Harris designed, developed and managed ODD covering over 125 global, multi-strategy alternative asset managers. Ms. Harris began her career in accounting, administration and reporting working at Bank of America, GAM, Prudential and Scor.

Card image cap

Michael R. Schwenk

General Counsel & Chief Compliance Officer
NWI Management LP

Michael R. Schwenk serves as the General Counsel and Chief Compliance Officer of NWI Management LP. Mr. Schwenk is responsible for all legal and regulatory issues affecting the firm and its advised funds, including compliance with securities and commodity future regulations. He joined NWI Management in May 2015.

Before joining NWI, Mr. Schwenk was the General Counsel and Chief Compliance Officer of Mizuho Alternative Investment, LLC from 2014 to 2015, and the General Counsel and Chief Compliance Officer of Platinum Grove Asset Management, L.P. from 2001 to 2014.

Mr. Schwenk received his juris doctor degree from the Benjamin N. Cardozo School of Law, New York, New York (1995) and his bachelor’s degree from The City College of New York (1992). He is a member of the New York bar.


Card image cap

Similar Courses

Card image cap
77 minutes
§ 363 Sale Issues
Dive into Section 363 sales issues, including whether there are limits to “free and clear”; the GM conflict between Sections 365(h) and 363(f) (“lease-stripping”); sales free and clear of leasehold interests, restrictive covenants and override royalties; being free and clear of successorships in CBAs; selling free and clear of environmental liabilities (La Paloma, Exide); and loan-to-own strategies.

American Bankruptcy Institute

$75

Add to Cart
Card image cap
97 minutes
26 Words that Created the Internet - Basics of the Communications Decency Act Section 230 Safe Harbor
This program will examine the basics of CDA 230 and its day to day affect for those who advise internet businesses as well as those who litigate against them. It will give practical guidance as to what extend internet companies can or should edit or censor the information their users contribute to their sites and to what extent those users will actually be liable.

New Media Rights

$115

Add to Cart
Card image cap
63 minutes
360-Degree View on How to Navigate a Crisis
During this session, our panel of experts will explore the following topics to arm you with a plan to protect the company and minimize long-term problems: - Building a crisis management team and understanding each person’s unique role -Preparedness – advance planning and assessing potential risk areas - First Response – responding in the critical first hours and days to minimize the long-term impact - Resolution Strategy – managing various actions stemming from the crisis to enable the best resolution for the company.

Women, Influence & Power in Law Conference

$65

Add to Cart
Card image cap
95 minutes
401k and Other Retirement Topics for Beginners and Non-ERISA Attorneys
Join us to learn the basics of defined contribution retirement plan issues under ERISA, including 401(k) plans.

American Bar Association

$115

Add to Cart
Previous Next