SRZ Private Investment Funds Seminars, 1991-2018
Co-Host, “Richard Ravitch on the Municipal Bond Market,” CUNY TV Beyond the Bottom Line, October 2018
Co-Host, “Tom Hardin — Insider Trading,” CUNY TV Beyond the Bottom Line, October 2018
Co-Host, CUNY TV Beyond the Bottom Line, September 2018
Walkers 10th Annual Fundamentals Seminar, November 2017
“Ethics in a Bottom Line World,” Baruch College HSBC Student Series on Ethics and Accountability, May 2016
American Conference Institute 2016 Operations for Alternatives, February 2016
“A View from Both Sides of the Enforcement Fence,” Managed Funds Association Compliance Conference, May 2015
“Still Spry at 75: Reflections on the Investment Company Act and the Investment Advisers Act,” American Bar Association 2015 Business Law Section Spring Meeting, April 2015
“Alternative Industry Update & Outlook,” Alpha Research Group 2015 Operations for Alternatives, February 2015
“The M&A Environment, Shareholder Rights, and the Evolving Role of Activist Investors,” The Harvard Law School Association of NYC Law & Economics Thought Leaders Speaker Series, May 2014
Moderator, “Opening Armchair Chat with Drew Bowden, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission,” Managed Funds Association Compliance Conference, May 2014
Co-Chair, International Bar Association 15th Annual International Conference on Private Investment Funds, March 2014
“Expertise and Experience — How the Collision of Hedge Funds, Private Equity and Mutual Funds Are Shaping the Way Managers and Investors Act Around the Globe” and “When Things Go Wrong,” Alpha Research Group 2014 Operations for Alternatives, March 2014
“Hedge Funds” and “Regulatory and Enforcement Trends and Developments Affecting Investment Advisers, Investment Companies and Private Funds,” American Bar Association Business Law Section Fall Meeting, November 2013
“The Latest Developments with Investment Companies, Private Funds and Investment Advisers,” Practising Law Institute 45th Annual Securities Regulation Institute, November 2013
“JOBS Act: SEC’s New Regime for Private Placements,” Practising Law Institute Webinar, July 2013
Co-Chair, International Bar Association 14th Annual International Conference on Private Investment Funds, March 2013
“Activism,” Harvard Law School’s Harvard Association for Law and Business Meeting, March 2013
“How Legal and Business Policy Can Foster Growth and Help the US to Better Economic Performance Moving Forward,” The Harvard Law School Association of NYC Law & Economics Thought Leaders Speaker Series, February 2013
Moderator, “Armchair Chat: Carlo di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission,” Managed Funds Association Compliance Conference, November 2012
“Navigating the Current Regulatory Framework: Opportunities & Challenges,” Citadel Asset Management Global China Roundtable, November 2012
“Regulatory Change in Europe: What’s the Impact on Global Managers?” Hedge Fund Intelligence Absolute Return Symposium, November 2012
“Role of Hedge Funds in the Financial Crisis and the Contribution of Hedge Funds to Systemic Risk,” RAND Corporation Symposium on Hedge Funds and Systemic Risk, September 2012
Alternative Investment Management Association New York Global Regulatory Seminar, September 2012
“Potential Impact of JOBS Act on Hedge Fund Industry,” Goldman Sachs Webinar, April 2012
“New Regulated World of Private Fund Managers,” Practising Law Institute Investment Management Institute, February 2012
“Headwinds in the Global Economy and Strategies for Regaining Traction,” George Washington University Center for Law, Economics and Finance, December 2011
“MFA’s Global Legislative and Regulatory Outlook — Where are We Now?” Managed Funds Association Outlook, October 2011
“New Developments in the Changing Regulatory Landscape,” Deutsche Bank Global Prime Finance Hedge Fund Conference, October 2011
Moderator, “How Can Asian Hedge Funds Match Investors’ Evolving Risk and Return Requirements?” and “Evaluating Investors’ Needs for Improved Operational Compliance in Hedge Funds,” Terrapinn 14th Annual Hedge Funds World Asia, September 2011
“Institutional Investors and Hedge Funds: A Maturing Relationship,” American Bar Association Annual Meeting, August 2011
“Regulation of Alternative Investment Managers,” International Bar Association 22nd Annual Conference on the Globalisation of Investment Funds, May 2011
Alternative Investment Management Association Policy & Regulatory Forum, March 2011
Co-Chair, International Bar Association 12th Annual Private Investment Funds Conference, March 2011
“New Regulated World of Private Funds,” Practising Law Institute Investment Management Institute, February 2011
“Dodd-Frank: Impact on Hedge Fund and Other Advisers,” American Bar Association Business Law Section Fall Meeting, November 2010
Lecturer, New York University MBA Class, October 2010
Morgan Stanley Legal and Regulatory Conference, October 2010
Moderator, “MFA's Legislative and Regulatory Outlook,” Managed Funds Association Outlook, October 2010
American Bar Association Section of Business Law Annual Meeting, August 2010
“FinReg's Hedge Fund Impact,” CNBC's Squawk Box, July 2009
“Financial Services, Hedge Fund, Regulatory and Tax Reform,” Weiser Mazars Financial Services Practice Development Conference, July 2010
“MFA's Global Legislative Regulatory Update: The Potential Impact on Your Business and Your Investments,” Managed Funds Association Forum, June 2010
“Keynote: Overview of Regulatory Initiatives,” Managed Funds Association Hedge Fund Adviser Registration: Getting Registered and Running Your Business as an RIA, April 2010
American Bar Association Section of Business Law Spring Meeting, April 2010
“It's My Purview,” Credit Suisse Hedge Fund Leadership Conference, March 2010
Co-chair, International Bar Association 11th Annual Private Investment Funds Conference, March 2010
Fordham Law 3rd Annual Symposium: The Regulation of Investment Funds, February 2010
Moderator, “View from the Regulators,” GAIM USA, January 2010
“U.S. Regulatory Developments for UK, European and Other Non-U.S. Investment Managers,” SRZ Audio Conference Series, October 2009
Moderator, “Legislative & Regulatory Outlook - Derivatives,” Managed Funds Association Outlook, October 2009
“Regulation of Financial Markets: A Look to the Future,” Barclays Capital Quantitative Equities Conference, October 2009
Moderator, “Hedge Funds,” Journal of International Business and Law Conference on Investment Management, October 2009
“The Changing Regulatory Framework for Hedge Funds and Managers,” Practising Law Institute Hedge Funds, October 2009
“The Shape of Things to Come,” Spruce Investor Conference, October 2009
“Industry Roundtable: Top Thinkers Share Their Vision of the Future for Hedge Funds,” Financial Research Associates 4th Annual Meeting of the Hedge Fund Business Operations Association, September 2009
“Hedge Funds and the Current Crisis,” International Institute for the Regulation and Inspection of Investment Advisers, June 2009
Moderator, “Regulations and Hedge Fund Environment,” Goldman Sachs 12th Annual Hedge Fund Seminar, May 2009
“Hedge Funds' Challenges: The Hedge Fund,” Securities Industry and Financial Markets Association Compliance and Legal Division Annual Seminar, March 2009
Reuters’ Global Hedge Fund and Private Equity Summit, March 2009
“Wall Street Legends Summit,” CNBC's Squawk Box, March 2009
“Fund Practices, New Products,” 10th Annual International Conference on Private Investment Funds, March 2009
“Counterparty Risk Issues: Lessons Learned From the Recent Credit/Liquidity Crisis,” Financial Research Associates/Hedge Fund Business Operations Association's 3rd Annual Meeting, September 2008
“Best Practices for the Hedge Fund Industry and for Hedge Fund Investors,” Securities Industry and Financial Markets Association Hedge Funds and Alternative Investments Summit and Exposition, June 2008
“Regulation of Funds,” Brooklyn Law School’s Dennis J. Block Center for the Study of International Business Law’s Future of Financial Regulation Seminar, May 2008
“Hedge Funds Speak Up – Challenges from the Hedge Fund Perspective,” Securities Industry and Financial Markets Association Compliance and Legal Division 40th Annual Seminar, March 2008
“State of the Industry – A Legal and Regulatory Update,” Managed Funds Association Network 2008 Conference, February 2008
Co-chair, “Hedge Funds at the Crossroads: Activism and New Opportunities in Today’s Capital Markets,” West LegalWorks’ Conference, December 2007
Moderator, “Public and Private Sales of Ownership in Hedge Fund Managers,” SRZ Cutting Edge Alternative Asset Management Deals Seminar, July 2007
“Hedge Funds: The Last Unregulated Frontier - But For How Long?” Milken Institute Global Conference, April 2007
“The Future of the Hedge Fund Industry and the Role of the Activist Investor,” CFA Institute Annual Conference, April 2007
“Hedge Funds,” Securities Industry and Financial Markets Association Anti-Money Laundering Compliance & Legal Division Seminar, March 2007
Hedge Fund Panel, SIA Annual Conference, March 2007
Co-chair, International Bar Association Private Investment Fund Conference, March 2007
American Bar Association Section of Law, Subcommittee on Private Investment Entities, Spring Conference, March 2007
“Hedge Funds: Overview of Structure, Taxation & Regulation,” Managed Funds Association Network, February 2007
Co-chair, West LegalWorks Hedge Fund Activism Conference, December 2006
Financial Research Associates 4th Annual Hedge Funds Business Operations Forum, December 2006
Keynote speaker, “The State of the Industry,” Financial Research Associates 8th Annual Hedge Fund Regulation & Compliance Forum, November 2006
Goldman Sachs 4th Annual Hedge Fund Conference, November 2006
“State of the IA Industry” and “Protecting Your Firm From SEC Scrutiny,” National Regulatory Services Greenwich Conference, November 2006
“How the Investors in Durus Capital Management Took the Firm’s Blowup into Their Own Hands and Averted Disaster,” 2nd Annual Absolute Return Hedge Fund Symposium, November 2006
5th Annual Hedge Fund Seminar, October 2006
Citigroup Global Prime Brokerage Group Capital Introduction Breakfast for Asian Fund Managers, October 2006
Connecticut Department of Banking Securities, October 2006
“Major Law Changes/Rules for Registration and ERISA,” SRZ Hedge Fund Compliance Seminar, September 2006
“Post-Goldstein Outlook for Hedge Fund Legislation and Regulation,” Managed Funds Association Annual Forum, September 2006
Bank of America Securities Prime Brokerage Hedge Fund Strategic Initiatives Conference, June 2006
Hedge Fund Institutional Forum, Endowments & Foundations Roundtable, June 2006
Managed Funds Association Annual Forum, June 2006
“A Changing Business & Regulatory Environment,” SIA Hedge Funds & Alternative Investments Conference, June 2006
“Hedge Fund Advisers,” Adviser Compliance Associates Webcast, April 2006
“The Future of Hedge Fund Regulation,” Columbia Business Law Review Conference, April 2006
Registered Alternative Funds “New Products for New Markets” Seminar, April 2006
American Bar Association Section of Business Law Spring Meeting, April 2006
Chair, American Bar Association Section of Private Investment Entities, April 2006
National Investment Company Service Association Hedge Funds Conference, April 2006
SIA Compliance & Legal Division Annual Seminar, March 2006
Co-chair, International Bar Association/American Bar Association London Conference, February 2006
SIA Hedge Funds Conference, September 2005
“The SEC’s New Hedge Fund Rules & Implications for Managers in Europe,” Managed Funds Association Conference, July 2005
Chair and speaker, GAIM, Hedge Fund Forum, “Hedge Fund M&A: The Advantages and Disadvantages of Being Acquired,” June 2005
Cayman Islands Monetary Authority Hedge Fund Regulation and Compliance Roundtable, May 2005
“Implications of the Rule for Chief Compliance Officers,” Managed Funds Association Conference, May 2005
SIA Compliance & Legal Division Annual Seminar, April 2005
“Overview of the New Registration Rule,” New York University, April 2005
“State of the Industry-Regulatory Update,” Managed Funds Association Network Conference, February 2005
“Overcoming Compliance, Operational, and Valuation Challenges,” Institutional Investor Hedge Fund Best Practices Conference, February 2005
“Guidance for the Unregistered Adviser,” Managed Funds Association Conference, January 2005
“Mutual Funds and Hedge Funds: The Fees for Professional Investment Advice,” Fordham University Spring Roundtable, January 2005
“Understanding the New Hedge Fund Rule,” Practising Law Institute, November 2004
BlackRock, Fund of Hedge Funds Investor Conference, November 2004
“Investment Partnerships,” Ernst & Young Hedge Fund Conference, November 2004
“New Regulation: Weighing the Impact,” SIA Conference, November 2004
“Regulatory Brave New World,” Absolute Return Symposium, October 2004
“Hedge Fund Fraud,” University of Pennsylvania, October 2004
MFA/CAPCO, Hedge Fund Valuation and Accounting Town Hall Meeting, October 2004
“Succeeding Within the New Regulatory Environment,” Institutional Investor Hedge Fund Best Practices Conference, September 2004
“Regulatory Update,” GAIM Fund of Funds Conference, September 2004
Bank of America, CFO Conference, June 2004
“Examining the Latest Business Continuity and Disaster Recovery Issues for Hedge Funds,” Managed Funds Association Conference, May 2004
“Hedge Fund Business Growth Strategies,” Strategy Institute Future of the Industry Panel, Leaders’ Debate, April 2004
“Hedge Fund Regulatory Update,” Managed Funds Association Network, February 2004
“Changing Regulatory Landscape,” GAIM USA, January 2004
“Valuation Challenges for Hedge Funds,” Managed Funds Association Conference, January 2004
“Changing Regulatory Update,” GAIM Symposium, January 2004
SEC Hedge Fund Roundtable, Panelist (Assessment of the Current Regulatory Framework), May 2003
