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Managers: Surviving the Insider Trading Crackdown and Other Compliance Issues
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Anne Mathias
Concept Capital Washington Research Group
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| Anne N. Mathias is the Director of Research for Concept Capital’s Washington Research Group, which provides political, economic and industry research for institutional and corporate investors. In addition to her responsibilities as Director of Research, she covers tax policy issues.
Prior to joining Washington Research Group, Ms. Mathias was a General Partner in healthcare and biotech private equity funds investing in the United States and internationally. Earlier, she spent five years as a senior consultant with Deloitte & Touche in an international management consulting group that specialized in restructuring and privatization in the emerging markets, particularly Eastern Europe.
Ms. Mathias earned a Bachelor of Arts (cum laude, Phi Beta Kappa) in Spanish from the University of Maryland in 1987, and a Master’s Degree in International Affairs from Georgetown University in 1991. She became a CFA Charterholder in 1999. She is a member of the Washington Society of Investment Analysts and the CFA Institute and is a founder of Women in Bio, a professional organization dedicated to entrepreneurs in the life sciences. She speaks Spanish and French. |
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Paul Atkins
Patomak Partners
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| Prior to co-founding Patomak Partners, Paul S. Atkins served two terms as Commissioner of the Securities and Exchange Commission from July 2002 to August 2008. He had earlier SEC experience from 1990 to 1994 when he served as chief of staff to SEC Chairman Richard C. Breeden and counselor to SEC Chairman Arthur Levitt. Mr. Atkins was previously a partner at Pricewaterhouse Coopers (and its predecessor Coopers & Lybrand) focusing on financial services advisory work. From 1996 to 1997 he was president of Resort Funding Inc., a time share finance company that was sold to Cendant. Mr. Atkins began his career as a lawyer with Davis Polk & Wardwell in New York. He was resident for two years in the firm’s Paris office and was admitted as conseil juridique in France. Mr. Adkins received his A.B., summa cum laude and Phi Beta Kappa, from Wofford College and his J.D. from Vanderbilt University School of Law. |
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Eric Bernstein
Sophis
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| Eric Bernstein is Chief Operating Officer for North America of Sophis, a provider of cross-asset, front-to-back portfolio and risk management solutions. Bernstein is based in the New York office, while Sophis is headquartered in London. Prior to joining Sophis, Eric held various positions at Linedata Services, including Senior Vice President in charge of North America Sales, Senior Vice President in charge of Global Product Management and Head of Relationship Management. Prior to this he held trader and market maker positions at various equity trading companies. He holds a B.A. in Economics from the State University of New York. |
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Dan Hawke
Securities and Exchange Commission
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| Daniel M. Hawke is the Unit Chief of the SEC Division of Enforcement’s Market Abuse Unit and the Director of its Philadelphia Regional Office. As Unit Chief, he oversees nationwide investigations into large-scale insider trading networks and rings. He also directs regulation and enforcement programs in Pennsylvania, Delaware, Maryland, Virginia, West Virginia and the District of Columbia. Mr. Hawke joined the SEC’s Philadelphia Office in March 2005 as head of its enforcement program. Between 1999 and 2005, he served as a Branch Chief and Senior Counsel in the SEC’s Division of Enforcement in Washington, D.C. where he was involved in bringing significant enforcement actions involving public company accounting and financial disclosure, broker dealer regulation, insider trading and Regulation FD. He is the recipient of the Commission’s Stanley Sporkin Award and the Ellen B. Ross Award. Prior to joining the Commission, Mr. Hawke was a litigation partner at the law firm of Tucker, Flyer & Lewis in Washington, D.C. Mr. Hawke is a 1989 graduate of Boston University School of Law, where he was Editor-in-Chief of the Boston University International Law Journal, and a 1985 graduate of Tulane University where he received his bachelor’s degree in political science. |
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William G. Mulligan
HedgeOp Compliance, LLC
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| Bill Mulligan is the Managing Partner and CEO of HedgeOp Compliance, LLC, which has offices in New York and Boston. Founded in 2001, HedgeOp focuses exclusively on helping investment managers meet their compliance and operational challenges. HedgeOp provides pro-active support to firms cutting across all investment strategies and structures. Its clients have over $70 billion in assets under management. Prior to founding the firm in 2001, Mr. Mulligan was an associate in the Investment Management Group of Seward & Kissel LLP for almost six years. He received a J.D. from Cornell Law School in 1995 and a B.A. from Boston University in 1991 and is certified as an Investment Adviser Certified Compliance Professional by National Regulatory Service's Center for Compliance Professionals. Mr. Mulligan currently serves as Chairman of the Board of Managers of the Alternative Investment Compliance Association. |
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Andrew Siegel
Perella Weinberg Partners
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| Andrew N. Siegel is a Partner and General Counsel at Perella Weinberg Partners, a privately owned financial services firm in New York. Mr. Siegel heads the company’s law and compliance division and is responsible for legal and regulatory matters relating to mergers, acquisitions and financial restructuring advisory services, as well as the formation and operation of its private investment funds. Prior to joining Perella Weinberg, Mr. Siegel was general counsel and chief compliance officer of Stanfield Capital Partners, LLC. Before that, he served in the law division of Morgan Stanley. He was previously a corporate attorney at Shearman & Sterling.
Mr. Siegel is a member of the New York State and New York City Bar. He has been designated a Certified Regulatory and Compliance Professional by FINRA and Wharton. He received his B.A. in Political Science, magna cum laude, from Tufts University and a Juris Doctor from Washington College of Law at American University. |
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