Wednesday, September 25, 2019

7:45 AM - 8:45 AM | Registration

8:45 AM - 8:50 AM | Opening Remarks

8:50 AM - 9:50 AM | Keynote Presentation: Leadership for Today's General Counsels & Strategic Business Alignment

Adam Markel, Bestselling Author, Executive Business Mentor & CEO, More Love Media, Inc

9:50 AM - 10:50 AM | Biggest Challenges Facing the Modern GC

The GC is a proactive member of a corporation’s C-Suite, and their role as counsel is often utilized across the organization in different ways. GCs are collaborating with CEOs and COOs, HR and Finance departments to help drive strategic business decisions across the board. As the scope of the GC’s responsibilities continue to broaden year after year, this session will explore the GC’s evolving role, the business challenges they face in risk management, compliance and regulation across different industries, and discuss how they are dealing with the pressures that are keeping them up at night.
Eric Dinallo, Executive Vice President & General Counsel, Guardian Life Insurance Company of America
Dave Kerstein, Chief Risk Officer, Validity Finance
Brian T. Markley, Partner, Cahill Gordon & Reindel
James Sheehan, Chief, Charities Bureau, NY State Department of Law
Steve Kovalan, Director of Research, ALM Intelligence

10:50 AM - 11:15 AM | Morning Networking Break

Hedge & Private Equity

11:15 AM - 12:15 PM | The SEC Perspective: Priorities and the Year Ahead – A One-on-One Conversation with the SEC

New commissioners are settling in under the leadership of Chairman Jay Clayton and carving out an agenda that includes new rules and mandates for firms. Plus, in 2019, there has been shifting attention to new areas of compliance. Hear the SEC’s perspectives on recent risk priorities, how are the examinations being carried out and who is the SEC prioritizing?
Daniel S. Kahl, Deputy Director & Chief Counsel, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations
Jeff Lubitz, Executive Director, ISS’ Securities Class Action Services

12:15 PM - 1:15 PM | Lunch

1:15 PM - 2:15 PM | Compliance Tune Up: The Challenges of Compliance Monitoring

Is your existing compliance program equipped to handle new regulatory changes? What is the evolving role of the GC, CCO, COO, internal compliance committees, compliance consultants and law firms in the face of new regulations? This panel will discuss the methodology in conducting a comprehensive review of risk controls and processes on an ongoing basis to ensure compliance as well as strategies for better managing the expanding scope of examinations with limited resources. Topics will include; Developing effective testing and evaluation techniques; Utilizing staff and service providers to assist the evaluation process; Leveraging technology to enhance oversight and testing.
Michael Emanuel, Partner, Stroock & Stroock & Lavin, LLP
Helene Glotzer, Chief Compliance Officer, Bridgewater Associates
Karen L. Shapiro, Chief Compliance Officer, ZAIS Group

2:30 PM - 3:30 PM | Cybersecurity Practices in Deterring Threats

Cybersecurity is very much on the minds of advisory firms and regulators alike. Recent enforcement and industry research indicates that firms are still struggling to get a handle on even basic cybersecurity protections. In this session, you’ll hear the latest on the current cyber threat environment, the cybersecurity best practices and how firms can implement appropriate data security programs to protect their systems and customer data. Topic includes specifics on how to; Identify the requirements for a specific examination; Develop a checklist to ensure you have a comprehensive compliance program; Consider the best risk controls and processes to utilize as part of your compliance plan.
Brad Carpenter, Special Agent, FBI Cyber Division
Timothy T. Howard, Co-Chief, Complex Frauds & Cybercrime Unit, US Attorney’s Office, SDNY
Ondrej Krehel, CEO & Founder of LIFARS
Michael D. Saarinen, Alston & Bird LLP 

3:30 PM - 4:00 PM | Afternoon Networking Break

4:00 PM - 5:00 PM | Roundtable 4: Recent Supreme Court Decisions that will Likely Broaden Judaical Review of Federal Agency Action

Norman W. Bernstein, N.W. Bernstein & Associates, LLC

4:00 PM - 5:00 PM | Roundtable 1: Lawyer Wellbeing: Strategies for Supporting Your Team’s Mental Health

Gina Passarella, Editor-in-Chief, Global Legal Brands (The American Lawyer, Corporate Counsel, The National Law Journal, Legal Week, China Law & Practice)
Christopher LalanSenior Vice President & Director of the Legal Division - Popular Bank

4:00 PM - 5:00 PM | Roundtable 6: Identifying Risk Within Your Information Security Environment

Facilitator: Ankur Sheth, Senior Managing Director, Ankura


This discussion will be geared to general counsel looking to identify and contain risk within their organization's information security environment. Topics will include the benefits of conducting baseline cybersecurity assessments, identification, and prioritization of risk, and best practices to reduce risk.

4:00 PM - 5:00 PM | Roundtable 8 : Alternative Billing Strategies and Other Value-Added Services Law Firms Can Provide

Larry Crawford, Attorney, Butler Snow, LLP

4:00 PM - 5:00 PM | Roundtable 7: Discrimination and Harassment in the Workplace

The discussion will be geared to general counsel looking to protect their employer against harassment and discrimination claims, and educating company employees on appropriate company policy.  Topics will include sexual harassment in the era of #MeToo, admissibility of evidence, and special considerations of investigating claims. 


Mark W. Lerner, Partner and Head of the Employment Practices and Litigation Group. Kasowitz Benson Torres LLP 

Jessica Taub Rosenberg, Employment Practices and Litigation Partner,  Kasowitz Benson Torres LLP 

4:00 PM - 5:00 PM | Roundtable 5: Offshore Fund Structures : Changes in the Cayman Regulatory Landscape and the Impact on US Funds and Investment Managers

Ramona Tudorancea, Corporate / M&A Specialist, Loeb Smith Attorneys

4:00 PM - 5:00 PM | Roundtable 2: Using Data to Manage State Court Litigation

Facilitator: Justin Brownstone, SVP & General Counsel, Gavelytics

4:00 PM - 5:00 PM | Roundtable 3: Utilizing New & Emerging Tech in Your Legal Department

How do you measure your lawyers’ performance?  Only if there was a FICO-like scoring system for lawyers/firms specific to types of claims (not just general practice areas), wouldn’t that be something?  Well, it may be here sooner than you think. Data Analytics at the next level.

James M. Lee, Co-Founder & CEO, LegalMation 

5:00 PM - 6:00 PM | Meet the Thought-Leaders Reception

Thursday, September 26, 2019

8:30 AM - 8:35 AM | Opening Remarks

8:35 AM - 9:35 AM | Examining the Current Events that are Impacting Litigation

In this session, panelists will sound off on current hot topics in the news that are impacting litigation, discussing the legal issues that the organization at hand is working through. Panelists will examine what went wrong in each instance, and discuss what the organization could've done to mitigate and/or prevent the fallout. Panelists will also discuss examples of how to mitigate legal and reputational risks in similar scenarios if they were to occur within their own organizations, and share strategies for response.
Moderator: Allison Chock, Chief Investment Officer-US and Legal Counsel, Bentham IMF
Christina Deats, Senior Litigation Counsel Pullano & Farrow PLLC
Ryan Roman, Partner, Litigation - Akerman LLP

9:35 AM - 10:00 AM | Morning Networking Break

Hedge & Private Equity

10:00 AM - 11:00 AM | Non-U.S. Shareholder Litigation: A Boot Camp for General Counsels and the C-Suite

The global securities litigation landscape outside the U.S. continues to rapidly grow and evolve. This session will address the current landscape of Non-U.S. shareholder litigation, the top five things to consider when evaluating Non-U.S. recovery opportunities, and best practices on loss calculations and claim assignments. Topics include specifics on the volume of global cases, jurisdiction profiles, what should be considered when talking to organizers, what are the key things to review in registration agreements, and takeaways from recent high-profile matters (e.g. Danske, Petrobras, Tesco, and Volkswagen).

Moderator: Richard Caruso, ALM


Michael Lange, Securities Litigation Counsel, Financial Recovery Technologies

Michael Sternhell, Director, Buford Capital

11:15 AM - 12:15 PM | What’s on the Horizon – The Risks with Alternative Fund Structures

ESG opportunities, Hybrid Funds...what is next for GCs, COO, and their legal teams to be concerned about?  The panel of experts will explore the emerging sectors and the challenges ahead.
Mark A. Russo, General Counsel, ZAIS Group, LLC
Christopher Mendez, General Counsel and Chief Compliance Officer, Semper Capital Management
Michael D. Saarinen, Partner - Alston & Bird LLP

12:15 PM - 1:15 PM | Lunch

1:15 PM - 2:15 PM | Building and Maintaining an Ethical Culture Program within the Organization

In addition to ensuring compliance to various regulations, developing and updating an organizational ethics program helps firms to proactively identify risks and enforce ethical behavior. Also, current and prospective investors often evaluate a firm’s compliance programs and evaluate the effectiveness of the ethical culture and practices throughout the organization as part of their due diligence. As such, GCs and COOs are more involved in the firm’s strategic initiatives. During this session, we will discuss the traits of strong ethics programs, what are the key elements to a firm having successful organizational ethics and how do you create an effective ethics policy/program.
Lisa ShuchmanSenior International Editor, The American Lawyer and
Jonathan Feiler, General Counsel and Chief Compliance Officer, Arosa Capital Management LP
Mimi Gross, General Counsel, Clough Capital Partners LP
Saurabh K. Shah, Chief Compliance Officer & Regulatory Counsel, Hines
David Sobol, General Counsel & Chief Compliance Officer, Moon Capital Managementt

2:20 PM - 3:20 PM | Driving a Culture of Diversity & Inclusion: Moving the Needle Forward

D&I has become a priority in the legal industry, and many corporations already have initiatives in place to create and maintain a diverse culture across the workplace. What does a successful initiative look like and which indicators should you use? In this session, GCs discuss the steps they’ve taken to move the needle forward, and evaluate how they measure success.
Heather D. Nevitt, Esq., Editor-in-Chief, Corporate Counsel, Inside Counsel and Global Leaders in Law
Carlos Dávila-CaballeroDirector of Diversity and Inclusion - Simpson Thacher & Bartlett LLP
Eduardo Santiago-Acevedo, Vice President & Senior Regulatory Counsel, Prudential Financial

3:20 PM - 3:30 PM | Closing Remarks & End of Conference