New York, New York
WEDNESDAY, DECEMBER 5, 2012
(All times Eastern Standard Time)
1:00 pm– 1:05 pm
Welcome and Overview of the Program
Presented by Beth R. Kramer
Ms. Kramer, a partner in the New York office, focuses her practice
on investment management and securities law. She regularly advises
investment advisers and financial institutions on the regulatory and
compliance aspects of their businesses. She counsels investment
companies, broker dealers, hedge funds and separately managed
accounts on structuring, organization, distribution, and SEC regulatory
and compliance issues, including responses to SEC examinations and
investigations. She may be reached at 212.536.4024 or beth.kramer
@klgates.com.
1:05 pm– 2:15 pm
Advanced Topics in Adviser Regulation
Presented by Diane Ambler, Beth R. Kramer, William P. Wade and
Young Lee, MacKay Shields
 Dodd-Frank Update
 Social Media
 ERISA Compliance Considerations
Ms. Ambler, a partner in the Washington, D.C. office, has substantial
experience in financial institution regulation under federal securities
laws, including the USA PATRIOT Act and the Sarbanes-Oxley Act. She
focuses her practice on mutual fund governance, compliance activities
of mutual funds, private funds and variable insurance product issuers
and distributors, and activities of related service providers. She may be
reached at 202.778.9886 or diane.ambler@klgates.com.
Mr. Wade, a partner in the Los Angeles office, has assisted banks,
trust companies, investment advisers, and other financial institutions
in planning for and creating collective investment funds, proprietary
mutual funds, and other investment management vehicles, products,
and services for individual and institutional investors, including
employee benefit plans subject to ERISA. He has also assisted these
institutions in addressing legal problems arising under ERISA and other
fiduciary laws and applicable banking regulations. Before entering
private practice, Mr. Wade was inside counsel for a major bank for
more than ten years, where his responsibilities included advising the
bank’s trust and investment management departments and affiliates.
He may be reached at 310.552.5071 or william.wade@klgates.com.
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New York, New York
WEDNESDAY, DECEMBER 5, 2012
(All times Eastern Standard Time)
Mr. Lee joined MacKay Shields in 2010, as Deputy General Counsel.
Prior to MacKay Shields, he worked as General Counsel at Principled
Asset Administration, LLC, a registered investment adviser to hedge
funds. Previously, Mr. Lee was Chief Legal Officer at Oppenheimer
Capital LLC and Vice President and Counsel at AllianceBernstein. Mr.
Lee is currently Chair of the Education and Best Practices Committee
of the New York Hedge Fund Roundtable. He has a BA from Cornell
University, a JD from New York University School of Law, and is
a CFA charterholder.
2:15 pm– 3:00 pm
SEC Enforcements and Examinations: Developments and Trends
Presented by Laura Brevetti and Beth R. Kramer
Ms. Brevetti is a partner in the New York office with 30 years of
experience in government and private practice. She is a noted trial
attorney, having tried many cases and arbitrations in both the state
and federal systems as a former prosecutor and defense attorney.
Ms. Brevetti has extensive experience representing individuals and
corporate entities engaged in a broad spectrum of businesses and
industries facing grand jury investigation, criminal trials and
government regulatory and enforcement actions. She also conducts
internal corporate investigations involving fraud and a wide range of
employee misconduct. Ms. Brevetti has extensive experience working
with the media and advising clients confronting emerging crises and
heightened public profile events. Additionally, her practice includes
complex commercial litigation, particularly RICO and fraud actions.
She may be reached at 212.536.4008 or laura.brevetti@klgates.com.
3:00 pm– 3:15 pm
Break
3:15 pm– 4:20 pm Advanced Topics in Private Fund Regulation
Presented by Kay Gordon, Richard Guidice, Jr. and Joel S. Kress, ICON Investments
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Form PF
FATCA
JOBS Act
CFTC Regulation
Ms. Gordon is a partner in the firm’s New York office and concentrates
her work in the Investment Management practice, with a particular
emphasis on hedge funds, private equity funds, real estate funds and
compliance-related matters involving registered and unregistered
investment advisers and broker-dealers. She also advises clients on a
broad range of securities and regulatory matters as well as a variety of
financial instruments and transactions, including managed accounts,
credit facilities, joint ventures and derivative instruments. Ms. Gordon
also works closely with strategic investors and also represents clients
in investigations by the SEC and other regulators. She may be reached
at 212.536.4038 or kay.gordon@klgates.com.
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New York, New York
WEDNESDAY, DECEMBER 5, 2012
(All times Eastern Standard Time)
Mr. Guidice, an associate in the New York office, concentrates his
practice in the investment management and securities areas, with a
particular emphasis on hedge funds and compliance-related matters.
He regularly advises clients (including investment advisers, private
domestic and offshore investment funds, broker-dealers and financial
institutions) on structuring, organization, distribution, compliance
and other regulatory issues. He also assists clients undergoing SEC
investigations and examinations. He may be reached at 212.536.3982
or richard.guidice@klgates.com.
Mr. Kress, Senior Managing Director, joined ICON in 2005 as Vice
President and Associate General Counsel. In 2006, he was promoted
to Senior Vice President and General Counsel, and in 2007, was
promoted to his current position. Prior to joining ICON, Mr. Kress
was an attorney from 2001 to 2005, in private practice in New York
and London, England, concentrating on mergers and acquisitions,
corporate finance and financing transactions (including debt and
equity issuances) and private equity investments. Mr. Kress received
a J.D. from Boston University School of Law and a B.A. from
Connecticut College.
4:20 pm– 5:00 pm Advanced Topics in Derivatives
Presented by Kay Gordon, Anthony Nolan, Juan Arciniegas and Keith Palzer, Director,
Merrill Lynch Alternative Investments
Mr. Nolan, a partner in the New York office, specializes in
domestic and cross-border securitization, structured finance,
structured products and derivatives. He has broad familiarity with
synthetic, cash-flow and market value CDOs, large loan CLOs,
mortgage-backed and asset-backed securities and asset-backed
commercial paper programs as well as servicing retained wholeloan sales. Mr. Nolan has represented issuers, underwriters,
servicers, bond insurers and others in a wide variety of whole-loan
sales and asset-backed securities issuances, including registered
offerings, private placements, offshore offerings and cross-border
structured financings. He may be reached at 212.536.4843 or
anthony.nolan@klgates.com.
Mr. Arciniegas is a counsel in the firm’s New York and Orange
County offices. Mr. Arciniegas works primarily as a derivatives
lawyer and has substantial experience in derivatives and
commodities trading documentation, including documentation
relevant to futures, prime brokerage, OTC clearing, securities
lending, and repurchase transactions. In that regard, Mr. Arciniegas
advises on a range of substantive rules and regulations related to
derivatives reform and regularly participates in industry initiatives
in the development of standards in the OTC and cleared
derivatives markets. Contact him at 212.536.4844, 949.623.3579
or juan.arciniegas@klgates.com.
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New York, New York
WEDNESDAY, DECEMBER 5, 2012
(All times Eastern Standard Time)
5:00 pm–5:45 pm Views from the Industry­­­­­—Post-Election Regulation Reform
Presented by Diane E. Ambler, Andras P. Teleki, Hugh O’Beirne, Chambers Street
Properties and Paul Cellupica, MetLife, Inc.
Mr. Teleki focuses his practice on regulatory compliance issues
facing registered investment companies, including mutual funds
and closed-end funds, broker-dealers, investment advisers,
unregistered funds, variable insurance product issuers and
distributors, and related service providers. He also advises
financial institutions on anti-money laundering and OFAC
issues. Mr. Teleki also has experience in corporate governance
and Sarbanes-Oxley issues. He may be reached at 202.778.9477
or andras.teleki@klgates.com.
Mr. Cellupica is currently Chief Counsel for the Americas at
MetLife, Inc. He joined MetLife in 2004. Between 1996 and 2004,
Mr. Cellupica served at the U.S. Securities and Exchange
Commission in a number of capacities in the Division of Investment
Management and the Division of Enforcement. From 2001 to 2004,
he was Assistant Director in the Division of Investment
Management, where he and his staff were responsible for
rulemaking initiatives related to disclosure provided by mutual
funds and variable insurance products. In 2002 he received the
SEC’s Martha Platt Award, and in 2004 he received the Law and
Policy Award (as part of the SEC’s Proxy Review Task Force).
Before joining the SEC, Mr. Cellupica was in private practice.
5:45 pm– 7:15 pm Reception
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