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Speakers:

Robert Amaee, Partner, Covington & Burling

Robert Amaee practises from the London offices of Covington & Burling LLP and specialises in white collar defence work and in the handling of corporate compliance issues.
Dr. Amaee advises and assists companies and individuals on issues arising under the UK Bribery Act, the US Foreign Corrupt Practices Act and various country specific anti-corruption laws. This work includes conducting risk assessments, helping companies design and strengthen anti-corruption compliance programmes, developing and delivering tailored training, leading internal investigations and, when necessary, interacting with law enforcement authorities.
Dr. Amaee is the former Head of Anti-Corruption and Head of Proceeds of Crime at the UK Serious Fraud Office. He was responsible for the operational delivery of the SFO’s anti-corruption cases — from acceptance through investigation and on to prosecution and confiscation of criminal assets — and for the development and promotion of the SFO anti-corruption strategy. Dr. Amaee regularly met with Boards of Directors and senior officers of companies as part of the SFO's active engagement policy and acted as the point of contact for corporates approaching the SFO under its voluntarily disclose programme. He had strategic oversight of and involvement in negotiations aimed at reaching equitable resolutions such as the civil settlements reached in the cases of Johnson & Johnson/De Puy International Limited, MW Kellogg Limited/KBR and Macmillan Publishers Limited.
Dr. Amaee represented the SFO on the Attorney General's Working Group tasked with drafting the Prosecutors' guidance to the UK Bribery Act, the UK Foreign Bribery Strategy Board and the Prosecutors’ forum at the OECD. He also served as the SFO’s Head of International Assistance leading the SFO’s response to requests for assistance from overseas law enforcement authorities.
Prior to joining the SFO, Dr. Amaee practised as a criminal barrister. He is an accomplished litigator having prosecuted and defended clients in the UK criminal courts. He graduated from the Inns of Court School of Law and was called to the Bar by the Honourable Society of Lincoln’s Inn.
Dr. Amaee holds a Ph.D. in medical research and a degree in life science from the University of Birmingham and has a wealth of practical business experience having worked for over seven years in the commercial sector in Europe, Middle East and Africa in a business development capacity for two US headquartered organisations, VeriSign Inc and American Power Conversion Inc.


Mark Berman, CEO of CompliGlobe Limited

Mark Berman is the founder and CEO of CompliGlobe Limited www.compliglobe.com. He advises and has advised Asian and European hedge funds, investment managers, banks and investment firms on U.S. and cross-border regulatory, compliance, training and AML matters. Mr Berman was a senior lawyer with the SEC’s Division of Corporation Finance and the Division of Market Regulation, where he worked on domestic and cross-border disclosure and trading practices issues, respectively. He has lectured on law and regulation at the London Business School, is the editor of and a contributor to “SEC Regulation Outside the United States” and “Hedge Funds and Prime Brokers”. He is the author of “Introduction to Hedge Funds”. Mr Berman is a Trustee of the SEC Historical Society.


Thomas Deinet, Executive Director of the Hedge Fund Standards Board
Thomas was appointed Executive Director of the Hedge Fund Standards Board (HFSB) in September 2008. In 2007, Thomas joined the working group to project manage the development of practice standards proposed by 14 leading international hedge fund managers that led to the establishment of the HFSB. Prior to joining the HFSB, he was a senior manager at Oliver Wyman, where he extensively worked with major financial institutions in Europe covering asset management as well as corporate and investment banking. Thomas also worked as an analyst in energy trading for a major commodities trading firm. He is a graduate of the University of Karlsruhe, Germany, with a major in industrial engineering and holds an MSc from Purdue University, USA. Thomas is a CFA charterholder.


Carine Delfrayssi, Deputy Head of International Affairs Division, Association Française de la Gestion financière

Carine Delfrayssi is Deputy Head of International Affairs Division at the AFG (the French asset management trade association). AFG Members manage over 2,600 billion euros on behalf of institutional and private investors, through mandates and investment funds.
Prior to joining the AFG in April 2009, Carine worked as a Senior Associate with Gottex Fund Management in the UK and in Switzerland. From 2002 to 2006 she was employed as an Associate Vice President at Financial Risk Management based in London. Her first professional experience in the asset management industry started as a Fund Accountant with Fastnet in Luxembourg.
Carine holds a Certificate in Investment Management and an Investment Administration Qualification. She obtained a Master’s degree from the Institute for Business Administration in Valenciennes in 1997 and graduated in Economics and Finance from the Institute of Political Science in Strasbourg in 1996. Her education also includes a six-month internship at the University of Finance and Economics in Chengdu, China and a one-year programme at Trinity College Dublin, Ireland.


Thomas Donegan, Partner, Shearman & Sterling LLC

Thomas Donegan is a partner in the Financial Institutions Advisory & Financial Regulatory team. Recently, Thomas has become increasingly focused on advising the exchange and clearing sector. He played a pivotal role as the lead associate in advising ICE on the establishment of its new credit default swap clearing operations in the EU and the US, having previously advised ICE Clear in setting up its new clearing house, ICE Clear Europe Limited which is a London clearing house for commodity futures and OTC contracts. Thomas also advises clients such as Citibank, Maverick, Morgan Stanley, Newedge, S3 and Tudor on UK legal and regulatory matters.




Nathan Greene, Partner, Shearman & Sterling LLC

Nathan Greene is a partner in the Asset Management Group (where he is also Deputy Practice Group Leader) advising on all regulatory aspects of fund and investment advisory operations. His practice includes the formation and representation of U.S. and foreign investment companies, their sponsors, advisers, directors and marketers.
Mr. Greene has been recognized by leading legal reference publications Chambers USA, which calls him a “notable practitioner… praised for his calm, objective and comprehensive advice,” and Legal 500 US, which refers to his “deep knowledge and business-focused advice.”
Mr. Greene has lectured and written on a broad range of asset management topics, participating as a speaker or panelist at industry conferences sponsored by such organizations as the Global Association of Risk Professionals, Institutional Investor, Investment Company Institute, MAR Hedge, the National Society of Compliance Professionals and the Regulatory Compliance Association. Mr. Greene’s articles appear in, among other publications, the BNA Securities Regulation and Law Report, Financial Fraud Law Report, Hedge Fund Law Report, Investment Lawyer, Journal of Securities Compliance, Journal of Structured Finance, and Private Equity International. Mr. Greene has also contributed book chapters to Hedge Funds and Prime Brokers (RiskBooks, 2009 edition) and The US Private Equity Fund Compliance Guide (PEI 2010). Commenting on regulatory activity, Mr. Greene has been quoted in several prominent publications and news agencies, including The Wall Street Journal, Bloomberg and BoardIQ.
In addition to asset management matters, Mr. Greene has been active in Shearman & Sterling’s pro bono asylum and domestic abuse practices, winning a 2002 victory on behalf of an asylum seeker in U.S. Immigration Court. Because that case established new law in its area, it was profiled in the New York Law Journal and listed in the Lexis Nexis Immigration Law “Immigration Cases of Interest” database.


Ed Harley, Head of Department, Asset Management, FSA

Ed is Head of the Asset Management Department in the FSA. The Department currently supervises Asset Managers, Hedge Funds, Private Equity, and Platforms and Administrators. It also leads on risk analysis of the Asset Management Sector for the FSA. Ed previously led Policy departments at the FSA, and had a range of roles in risk and research. These included producing the first editions of the FSA’s Financial Risk Outlook. Prior to joining the FSA, Ed worked as an economist in the Civil Service.


Jonathan Herbst, Partner, Norton Rose

Jonathan Herbst is a corporate lawyer based in London. He is an expert in UK and EU financial services law and regulation.
Jonathan provides specialist advice relating to hedge and other funds, investment management and custody and the regulatory aspects of acquisitions and disposals. He also has experience of advising on contractual and regulatory structures for hedge and other funds, limited partnerships, investment managers, automated trading systems and other financial services businesses.
Jonathan is mentioned in Chambers and Partners UK 2010 for his “good mix of lawyering and practical skills, combined with a sound understanding and close relations with the FSA”.
Jonathan is the co-author of the e-commerce volume of the Butterworths Financial Regulation Service, has written articles on market abuse and other regulatory issues for the Journal of International Financial Markets and is a frequent speaker at financial services conferences.
Jonathan studied politics, philosophy and economics at the University of Oxford. He qualified as a barrister in England and Wales in 1992. Jonathan joined the London practice as a partner in the financial services group in October 2002 and was previously head of European law at the Financial Services Authority.


Robert Mirsky, Partner, KPMG

Robert is a Partner in KPMG’s Financial Services Practice and Head of the UK Hedge Fund Practice. He has over 14 years experience in advising financial services companies and hedge funds. Robert joined the firm after overseeing the creation of an independent UCITS platform. A US-trained lawyer, Robert was previously a partner in Ernst & Young’s Hedge Fund Practice.
Robert has worked with Big 4 firms in London, New York, Washington DC, Milan, Bangkok and the Cayman Islands. He has considerable experience in the establishment, operation, and structuring of both offshore and onshore hedge funds. He has handled the tax aspects of cross-border financings, financial products, international mergers & acquisitions, insurance and project financings. He is also chairman and founder of the industry-supported charity Hedge Funds Care UK which works toward the treatment and prevention of child abuse.
Robert attended Boston University where he received a BA in Political Science, and American University's Washington College of Law (Washington, D.C.) where he received a JD. Robert is a Member of the New York Bar.


Gareth Murphy, Director of Markets Supervision, Central Bank of Ireland

As Director of Markets Supervision, Gareth Murphy oversees the supervision and regulation of Irish securities markets including the funds, stockbroking and investment management industries. He sits on the Board of Supervisors of the European Securities and Markets Authority.
Prior to joining the Central Bank, Gareth was a Senior Advisor at the Bank of England. He lead a Tripartite consultation on the structure of the UK securitisation market, an internal task force on the future of the UK banking industry, advised on the potential role of contingent capital for banks and on the structure of the credit ratings industry. During the financial crisis, he was directly involved in the resolution of certain distressed UK deposit-taking institutions and he conducted a consultation with the hedge fund industry as part of the UK authorities' response to the failure of Lehman Brothers International Europe.
Gareth Murphy spent seven years trading equity derivatives at JP Morgan Chase in London and was Co-Head of the European Equity Flow Derivatives desk. He has spent six years in the hedge fund industry as a strategist at Long Term Capital Management in the 1990s and as a partner at Castlegrove Capital Management in London.
Gareth Murphy graduated from University College Dublin with a BA in Mathematics and Economics. He holds a Diploma in Mathematical Statistics from the University of Cambridge and an MSc in Economics and Finance from the University of Warwick.

Alexander Nightingale, Director, Legal, Blackrock

Alexander Nightingale, Director, Legal & Compliance, BlackRock, is a senior lawyer with responsibility for EMEA Government Affairs & Public Policy and EMEA Fundamental Equities plus advises other areas of BlackRock's business. He has participated throughout BlackRock's engagement with EU policy-makers during the AIFM Directive Level 1 and 2 process and has participated in ESMA hearings as an industry expert. He joined BlackRock from Nomura International where he was legal counsel for International Equity Derivatives. Prior to this Alexander was a lawyer specialising in alternative and regulated funds at Dechert LLP and Norton Rose LLP, where he qualified as a solicitor in 2000. Alexander holds an LLB (Law) and LLM (European and International Trade Law) from the University of Leicester and attended Nottingham Law School.


Achim Putz, Partner, Dechert

Achim Pütz has extensive experience in advising both German and international clients on traditional and alternative fund structuring, structured debt products and all aspects of investment strategy regarding complex alternative structures.
Institutional investors, especially insurance companies, regularly call on Mr. Pütz with regard to their investments in complex alternative investment structures, especially hedge funds, commodity funds, real estate funds and private equity funds.
Mr. Pütz is recognised as a leading lawyer in his field by several independent legal directories, including Chambers Europe, Who's Who Legal, Best Lawyers, Handelsblatt Legal Success and JUVE. He is a contributor to leading financial services and asset management publications and texts, and a regular speaker at industry events.
He is founder and chairman of the German Alternative Investment Association (BAI). For many years, he was council member of the Alternative Investment Management Association (AIMA).


Jordan Thomas, Partner, Labaton Sucharow

Jordan A. Thomas exclusively concentrates his practice on investigating and prosecuting securities fraud on behalf of whistleblowers and institutional clients. As Chair of the Firm’s Whistleblower Representation practice, Mr. Thomas protects and advocates for whistleblowers throughout the world who have information about possible violations of the federal securities laws. He strongly believes that whistleblowers play a critical role in protecting investors and is deeply committed to helping courageous whistleblowers come forward and report securities violations to law enforcement authorities without having personal or professional regrets.
A career public servant and seasoned trial lawyer, Mr. Thomas joined Labaton Sucharow from the Securities and Exchange Commission where he served as an Assistant Director and, previously, as an Assistant Chief Litigation Counsel in the Division of Enforcement. He had a leadership role in the development of the Commission’s Whistleblower Program, including leading fact-finding visits to other federal agencies with whistleblower programs, drafting the proposed legislation and implementing rules and briefing House and Senate staffs on the proposed legislation. He is also the principal architect and first National Coordinator of the Commission’s Cooperation Program, an initiative designed to facilitate and incentivize individuals and companies to self-report securities violations and participate in its investigations and related enforcement actions. In recognition of his important contributions to these national initiatives, while at the Commission, Mr. Thomas was a recipient of the Arthur Mathews Award, which recognizes “sustained demonstrated creativity in applying the federal securities laws for the benefit of investors,” and, on two occasions, the Law and Policy Award.
Throughout his tenure at the Commission, Mr. Thomas was assigned to many of the Commission’s highest-profile matters such as those involving Enron and Fannie Mae. He successfully investigated, litigated and supervised a wide variety of enforcement matters involving violations of the Foreign Corrupt Practices Act, issuer accounting fraud and other disclosure violations, audit failures, insider trading, market manipulations, offering frauds and broker-dealer, investment adviser and investment company violations. His cases resulted in monetary relief for harmed investors in excess of $35 billion.
Prior to joining the Commission, Mr. Thomas was a Trial Attorney at the Department of Justice, where he specialized in complex financial services litigation involving the FDIC and Office of Thrift Supervision. He began his legal career as a Navy Judge Advocate on active duty and continues to serve as a senior officer in the Reserve Law Program. Earlier, Mr. Thomas worked as a stockbroker.


Barry Vitou, Partner, Pinsent Masons

Barry leads the Pinsent Masons LLP corporate crime team specialising in corporate risk and cross border corporate crime issues.
He provides strategic advice to the Boards of public and privately held companies on mitigating corporate bribery and corruption risk and advises on anti-money laundering and associated investigations.
He has extensive experience of representing, defending and dealing with U.S., EU, Russian, Middle East and North African and other overseas based clients. He has dealt with regulators, criminal and civil, in the UK, EU, US, CIS and offshore (throughout the Caribbean and Bermuda) and has strong relationships with local counsel in these jurisdictions as well as relevant regulators.
He has successfully represented clients defending criminal and civil worldwide money laundering investigations.
He advises the Boards of corporations on compliance risk in their operations in high risk markets and conducts internal investigations into suspected violations.
He is a regular speaker on corruption, money laundering and the new Bribery Act. He co-authors www.thebriberyact.com the leading resource for the UK Bribery Act, with Richard Kovalevsky QC, with whom he has worked for many years. The site is “The leading web resource for corporates in the field of bribery and corruption.” (Richard Alderman, Director of the Serious Fraud Office).
With nearly twenty years experience, unusually in the world of white collar and anti-corruption, Barry was a corporate lawyer representing international clients in transactions, ranging from M&A to global IPO’s. His original background provides Barry with rare insight when considering the application of criminal and regulatory law to corporate groups and their transactions.


Steven Woolfe, General Counsel, Boyer Allan Investment Management LLP

Steven Woolfe is a Barrister and General Counsel of Boyer Allan Investment Management LLP a leading Asian specialist hedge fund with offices in London, Hong Kong and the USA.
Having been a General Counsel since 1996 he has advised firms on the full range of law affecting them from fund launches to mergers as well as day to day issues. He advises now on complex restructuring, business growth and dealing with government bodies and regulators.
He has seen the advance of regulation from the early days of Lautro, Fimbra and Bank of England to the current FSA. He has also seen the emergence of EU financial services law and its rapid expanse, the growth of the SEC and now other international regulators He is passionate about the need to control the unchecked growth and burden of regulation on business and its adverse affects on jobs and wealth creation. He founded the Hedge Fund Lawyers Association in 2007 and sits on ad hoc AIMA working committees.



How to Navigate a Prime Brokerage Agreement, 24th January 2012
Programme | Speakers | Sponsors & Partners | Venue | Register
The 3rd annual Hedge Fund Regulation conference will be held in conjunction with the workshop How to Navigate a Prime Brokerage Agreement on 24th January 2012. How to Navigate a Prime Brokerage Agreement explores relationship between hedge funds and prime brokers forms the core of and drives the alternative investment industry, and is at the heart of our financial markets. Neither could exist without the other. This partnership resolves around and is based on the prime brokerage agreement.

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