Our panel of legal and business experts will discuss the SEC’s past focus on private funds, as well as other compliance and regulatory matters affecting private funds and their impacts on funds in the most active sectors, including healthcare, financial services, energy & infrastructure, and technology. The panel would cover topics such as:
SEC areas of focus prior to the new Chairman and potential changes going forward
Other SEC Areas of Focus & Actions
CCO Liability/ Dual Hatted CCOs
How fund sponsors are adapting their business and compliance practices in light of these initiatives
Winston & Strawn LLP
Scott Naidech has extensive experience representing US and non-US private fund sponsors in the structuring, establishment, and operation of their funds. He has formed buyout, growth capital, energy and infrastructure, real estate, and venture capital funds ranging in size from $50 million to over $15 billion of committed capital. His clients include investment advisers and alternative asset managers based in the US and across the globe, including Latin America and other emerging markets. He also regularly represents institutional investors and family offices on their investments in private funds, and asset managers and investment advisers on their regulatory and compliance needs.
Saw Mill Capital LLC
Blinn joined Saw Mill in 2006 as Chief Financial Officer where she is responsible for managing the financial administration of the firm and its back office. Prior to joining Saw Mill, Blinn was a Director at Bisys Private Equity Services Inc. a fund administrator, where she was responsible for managing the accounting and administrative functions for a large institutional client. Prior to that, Blinn was the Controller at Commonfund Capital Inc. and was responsible for overseeing the accounting and reporting functions for numerous fund-of-funds across several asset classes. Prior to joining Commonfund Capital, Blinn was the Director of Finance and Administration at Orien Ventures, Inc.
Blinn is a steering committee member of ACG Private Regulatory Task Force and a board member of the Connecticut chapter of Financial Executive Alliance.
Blinn earned her B.S. in Accounting, magna cum laude, from Sacred Heart University and has passed the series 7, 63 and CPA exams.
Gabelli & Partners
Senior VP, GC and COO
David L. Fitzgerald is Senior Vice President, General Counsel and Chief Compliance Officer of Gabelli & Partners, LLC. He is responsible for all legal, compliance and risk related functions for alternative investments at Gabelli. Mr. Fitzgerald has over 19 years of experience in the legal and financial services industries. Prior to joining Gabelli, Mr. Fitzgerald was the Associate General Counsel of Sciens Capital Management, the head of Leveraged Finance Legal for UBS in Europe and was associated with the law firms of Shearman & Sterling LLP and Cahill Gordon & Reindel. Mr. Fitzgerald earned his JD from Fordham University School of Law in 1998, where he served as Associate Editor of the Fordham Law Review and graduated order of the coif, and his BA from Georgetown University in 1991.
7:30am – 8:00am – Breakfast/Networking
8:00am – 8:15am – Introductions
8:15am – 9:15am – Program followed by Q&A
9:15am – 9:30am – Additional Networking
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2017-10-20 SEC’S Focus on Private Funds Westchester Breakfast P1