PRE-EVENT SUMMITS *please note, this is the 2024 agenda*
PRE-EVENT SUMMITS *please note, this is the 2024 agenda*
Coffee and refreshments will be served.
- Ghufran Rizvi - President, CalALTs
- Ghufran Rizvi - President, CalALTs
- Frank Perez - Managing Director, Makena Capital Management
- Rima Parikh - Partner, Head of Operational Due Diligence, Brown Advisory
- Jim O'Hara - Managing Director, Co-Head of Implementation, Lighthouse Partners
- Brynn Coursey Heegan - Managing Director, ODD, Wilshire
- Justine Lee - Head of Operational Due Diligence, M&G Investments
- Ryan King - Director of ODD, East End Advisors, LLC
Summit attendees only
When you’re in the crosshairs of government agencies, what happens? A global view
Join former regulators, GCs, regulatory counsel, and industry experts that will share war stories, real-life experiences and how to avoid missteps that can impact your career - and trigger the demise of your firm.
Featuring: Karl Wachter, General Counsel of Magnetar (Current AIMA Chairman and former General Counsel at Amaranth); Ian Mason, Partner at Walkers (Former Head of Department, Enforcement Division at the UK FSA); Suzan Rose, Senior Advisor at AIMA (Former Chief Compliance Officer at Marshall Wace North America); Steve Bruce, Managing Partner at ASC Advisors.
Topics to be covered include:
- Insider trading
- Regulatory topics
- Market events
- Unintended blow ups
- Partnership disputes
- Global enforcement actions
- Dynamics where the firm and individuals at the firm are both under investigation
- Co-operating with regulators/credit for cooperation
- Legal privilege in investigations
- Enforcement trends
The panel will also discuss how to prepare, respond, and recover from a crisis, with a view into the global regulatory mindset around enforcement.
Relax, unwind, and connect with the GAIM Ops community. Enjoy an evening of canapes, delicious cocktails, and music as the sun sets on the beautiful Caribbean Sea.