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| OCTOBER 26, 2011, THE METROPOLITAN CLUB, NYC |
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Regulation & Compliance: Balancing proprietary obligations with compliance requirements
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Mitchell Nichter
Partner
Paul Hastings LLP
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| Mitchell Nichter practices corporate and securities law with the international law firm Paul, Hastings, Janofsky & Walker LLP, concentrating on hedge funds, offshore funds, mutual funds, closed-end funds, fund governance, and on the structuring, financing, formation and regulation (federal and state) of hedge funds and other financial services businesses. He heads up the Firm’s hedge fund practice.
During his more than 20 years of practice in the hedge fund and investment management industry, Mr. Nichter’s clients have included U.S. and offshore investment and hedge funds, registered investment companies (open end mutual funds and closed-end exchange-listed funds), independent mutual fund board members, investment advisers, broker-dealers, banks, trust companies and other types of financial institutions. He has extensive experience assisting hedge fund managers, mutual funds and other financial service businesses in dealing with federal and state regulatory authorities, investor disputes, and on securities and transactional matters, including acquisitions, mergers, dispositions, reorganizations and joint ventures.
Mr. Nichter regularly writes and speaks on numerous topics in the hedge fund and investment management area. He is listed in the Chambers USA Guide to Leading Investment Funds Lawyers, the Chambers Global Guide to Leading Investment Funds Lawyers, The Legal 500 (United States) as a leading hedge fund and mutual fund lawyer, and in IFLR’s Leading Investment Funds Lawyers.
Mr. Nichter has a BA from the University of California, and an MBA and JD from Washington University St. Louis. |
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Michael Alexander
Smarsh
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| Michael Alexander joined email archiving and compliance vendor Smarsh in 2007 and currently serves as the company’s Sales Director. In this role, Alexander manages the sales force based in the organization’s New York City office. In addition, he has spearheaded the company’s strategic efforts to provide email archiving and compliance solutions to private equity firms and hedge funds required to register with the SEC. Michael is a graduate of Boston College. |
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Samuel Hest
Senior Vice President
HedgeOp Compliance
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Samuel J. Hest is Senior Vice President at HedgeOp Compliance. Mr. Hest provides independent compliance and regulatory consulting to managers of hedge and private equity funds. His clients range from start-ups to large firms with well-established track records and utilize a broad array of investment styles and strategies. Mr. Hest helps managers register with the SEC, implement, administer, and test compliance programs, and prepare for and navigate SEC examinations. Mr. Hest regularly leads compliance training seminars for hedge fund personnel on critical compliance and regulatory issues, including insider trading, market manipulation, fiduciary responsibilities, and code of ethics compliance. He speaks frequently on industry panels.
Prior to joining HedgeOp, Mr. Hest was an attorney in the Investment Management Group at Schulte Roth & Zabel LLP and the Securities Regulation and Enforcement Group at Fried, Frank, Harris, Shriver & Jacobson LLP. The focus of Mr. Hest's legal practice was counseling private investment fund managers in connection with compliance policies and procedures, fund formations and operations, Securities and Exchange Commission investigations and periodic examinations, regulatory filings, and litigation risk.
Mr. Hest received a JD, with honors, from The George Washington University Law School in 2004 and a BA from Emory University in 2001. He is certified as an Investment Adviser Certified Compliance Professional (IACCPsm) by National Regulatory Service's Center for Compliance Professionals. |
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Bruce Karpati
Co-Chief, Asset Management Unit
U.S. Securities and Exchange Commission
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| Bruce Karpati is the Co-Chief of the Asset Management Unit of the SEC’s Division of Enforcement. The Asset Management Unit focuses on investigations involving investment advisers, investment companies, mutual funds, hedge funds, and private equity funds. Mr. Karpati has led investigations and cases involving valuation, performance, insider trading, conflicts of interest, derivatives, manipulation, board governance, soft dollars, best execution, disclosure, market timing and late trading, among other issues. Previously, Mr. Karpati was founder and head of the SEC’s Hedge Fund Working Group, and served as Assistant Regional Director for the New York Regional Office of the SEC. Earlier, he was a Branch Chief and Attorney in the Division of Enforcement. Prior to the Commission, Mr. Karpati was an Associate at Dechert LLP in Washington, D.C. Mr. Karpati received his law degree from the University at Buffalo Law School and his undergraduate degree in International Relations from Tufts University. |
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Barry Schwartz
Founding Partner
ACA Compliance
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Barry Schwartz is a founding partner of ACA and is responsible for coordinating and conducting mock inspections of investment advisers, investment companies and hedge funds. Mr. Schwartz also assists ACA clients in responding to SEC deficiency letters, reviewing best execution and trading practices, preparing advertisements that comply with the federal securities laws and developing customized policies and procedures. Mr. Schwartz spearheads ACA's ongoing efforts to help regulated entities make better use of technology to track and mitigate internal and external compliance risks. He is a frequent speaker at industry conferences that focus on compliance issues.
Mr. Schwartz joined the SEC's Office of Compliance Inspections and Examinations in 1998 as a Securities Compliance Examiner and was subsequently promoted to Staff Accountant. While on the SEC staff, he participated in over 90 examinations of investment advisers, investment companies, and transfer agents and subsequently referred four registered investment advisers and investment companies to the SEC's Division of Enforcement for further investigation. In addition, Mr. Schwartz lectured at the SEC's annual training seminar for new inspection staff. For his efforts to help prepare the industry for Y2K, Mr. Schwartz was awarded the SEC's Examination Award of Excellence. Prior to joining the SEC, Mr. Schwartz was employed by a prominent Washington, DC registered investment adviser. He graduated cum laude from The American University, Washington, DC , majoring in International Finance with a minor in Spanish Language Studies. |
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