Times are listed in Eastern Daylight Time. Times, order and format are subject to change 

9:10am - Panel one | A spotlight on compliance

This panel will shine a light on compliance costs associated with SEC rulemaking, covering key reforms including the custody rule, dealer definition and predictive analytics rule. Industry practitioners will address the operational and commercial impacts associated with the proposals and offer a perspective on whether the SEC’s own cost benefit analysis is meaningful or accurate. It will consider what firms can do to best position themselves in light of the changes.

Brendan Kalb

Global General Counsel, ExodusPoint Capital Management, LP

Anna Spector

Managing Director, Chief Compliance Officer, CVC Credit Partners

David Zeiden

Executive Managing Director, Chief Compliance Officer & Chief Regulatory Counsel, Sculptor


9.55am - Keynote speaker | Paul Horvath, Chief Executive Officer, Orchard Global

Paul Horvath

Chief Executive Officer & Co-Founder, Orchard Global.


10:30am - Breakout sessions

SESSION A Navigating the UK regulatory framework post-Brexit

In this session we will explore the post-Brexit landscape for hedge fund managers operating and doing business into the UK and highlight some of the key regulatory changes and trends coming out of the post-Brexit reforms. In particular, we will delve into the Edinburgh Reforms, market developments, FCA outreach and enforcement trends, cross-border fund marketing and ESG.



SESSION B |  Cayman Islands regulatory update including in relation to beneficial ownership and corporate governance 

In this session we will provide an update on the Cayman Islands regulatory landscape with a particular focus on corporate governance and the upcoming changes to the beneficial ownership regime.

Chris Capewell

Global Head of Regulatory and Financial Services team, Maples Group



SESSION C | Trends in SEC Examinations

To help managers better understand the complete picture when it comes to SEC examinations, Silver’s CEO, Fizza Khan, will be addressing the below key themes in this breakout session:

  • Overview of SEC Exam Priorities in 2024 
  • What to expect in an SEC Examination 
  • Form ADV as a Roadmap




11:25am - Panel two| Private Fund Advisor Rule

The SEC’s Private Fund Adviser Rule represents a sweeping set of changes that will have a significant impact on private funds and private fund advisers, including those not required to be registered with the SEC. The rule’s numerous new and amended provisions rewrite the terms of business for private fund management, modifying disclosure and transparency requirements and prohibiting certain activities regardless of disclosure, in addition to numerous other prescriptive obligations. This session will explore the impact of the changes on the fund management industry and highlight key practical challenges for firms. 

Mark Egert

Chief Compliance Officer, Brevet Capital Management

Minh Ta

Principal, Global Government Affairs, Carlyle

Jennifer Wood

Managing Director, Global Head of Asset Management Regulation & Sound Practices




12.10pm - Panel three | Market structure

This session will address the cumulative impact of the SEC’s work to overhaul reporting rules (including in respect of short positions, securities lending and securities-based swaps) as well as slated changes to market structure requirements including changes to the tick size regime and rules on clearing of Treasury contracts. It will consider what the changes mean for investment strategies and compliance programs of asset management firms.

Stephen Berger

Managing Director, Global Head of Government & Regulatory Policy, Citadel

Haoxiang Zhu

Director, Division of Trading and Markets, U.S. Securities and Exchange Commission


12:55pm - Lunch break

1:10 - 1:35pm Lunchtime briefing: Geopolitical wildcards for 2024 | Navigating uncharted waters

With the world focused on Russia's invasion of Ukraine, the Israel-Gaza conflict and US-China tensions, this session delves into the lesser-known, low-probability but high-impact events poised on the periphery of our collective foresight. These geopolitical wildcards, often overlooked amidst more immediate concerns, hold the power to change history, disrupt markets, and create risks - and opportunities - for businesses and investors alike.  



1:45pm - Panel four | Sustainability

The debate about how to craft rules addressing sustainability practices of asset managers has become increasingly polarised, with distinct policy ambitions underlying approaches in different regions of the world. This session will shine a light on key developments, regional differences and the associated compliance challenges for asset managers. It will also look at the wider landscape of ESG rules, including corporate disclosure requirements.

Jeff Cohen

Head of ESG & Sustainability, Oak Hill Advisors

Fayyaz Muneer

Deputy Director, Green Finance and Prudential, HM Treasury


2:30pm - In conversation with FSB & IOSCO

Jiří Król

Deputy CEO, Global Head of Government Affairs, AIMA


3:10pm - Breakout sessions


SESSION D | Private Investment Funds Under Increased National Security Oversight: New Executive Orders & Expanded CFIUS Scrutiny

Joe Engelhard

Head of Private Credit and Asset Management Policy, Americas

Timothy Keeler

Partner and Co-Head of International Trade Practice, Mayer Brown

Ruth Jin

Partner and Leader of Private Investment Funds Practice, Moses & Singer LLP





SESSION E | Whats on the NFA agenda?

Regina Thoele

Senior Vice President of Compliance, National Futures Association


SESSION F | Trends in insider trading enforcement

During this session, Philip Moustakis and Noelle Indelicato, Seward & Kissel, will discuss why it may be time to take a fresh look at existing policies, procedures, and practices in light of recent developments in insider trading enforcement







4:00pm - What happens when the worst happens: navigating through an enforcement action

Despite best efforts and intentions, a firm or its employees may be ensnared in an enforcement matter. From that first regulatory contact with you through each step forward, everything said or done matters. How you manage communications, any actions you may take, and your regulatory responses all are critical to the outcome – and your firm’s survival.

Suzan Rose

Senior Adviser, Government and Regulatory Affairs, AIMA




4.30pm - Panel five | Financial stability

Financial stability and the topics of liquidity risk management and risks related to the use of leverage are high on the agenda of global and regional supervisory bodies, following COVID-19-related market events. This session will review the work undertaken by the Federal Reserve Board, the Financial Stability Board (FSB), the International Organization of Securities Commissions (IOSCO), the European Systemic Risk Board and other regional and local supervisory authorities and policymakers.

Martin Arrowsmith

Martin Arrowsmith, Head of Emerging Risks and Special Projects, Bank of England

John Golden

Global Head of Insurance Regulation, Apollo Partner and Executive Vice President, Athene

John Gulliver

Executive Director, Committee on Capital Markets Regulation

Sandra Lee

Deputy Assistant Secretary, Financial Stability Oversight Council


Event hosts

Adam Jacobs-Dean

Managing Director, Global Head of Markets, Governance and Innovation

Joe Engelhard

Head of Private Credit and Asset Management Policy, Americas