Compliance Seminar for Private Fund Managers - New York

Chuck Daly

Chuck Daly is a partner in Sidley’s Investment Funds practice. Chuck has extensive experience working with traditional and alternative investment advisers on regulatory compliance requirements, structures and programs, ongoing compliance monitoring, testing protocols, and the management and coordination of regulatory exams and reviews. His work with investment advisers focuses on the practical design, implementation, and ongoing administration of compliance programs for registered and unregistered advisory firms. In providing those services to investment advisers, he has gained experience drafting and editing policies and procedures and disclosure documents for managers offering a multitude of products and investment strategies across a variety of asset classes. Chuck’s regulatory support covers all aspects of investment adviser regulatory requirements under the Investment Advisers Act of 1940 and the required reporting by advisers to, and periodic examination of advisers by, the U.S. Securities and Exchange Commission.

Sarah Christensen

Sarah Christensen is anExecutive leader with 15 years of experience directing cross functional teams within matrixed organizations. A natural facilitator and compliance expert, partnering with CEOs, COOs, internal teams, boards, and agency partners to create and execute strategy across global business operations. Skilled in driving organizational change, overseeing internal communications, and managing projects and business operation initiatives. Highly adaptable and analytical, with a track record of solving complex problems and delivering results. 

An avid world traveler, mountain biker, snowboarder, Ironman finisher, triathlete competing in 50+ races and charitable benefactor.

Jess Huelbig

Jessica Huelbig is a Partner in ACA Group’s U.S. Regulatory Consulting practice and serves as Head of Private Funds. She leads a team of compliance consultants and is responsible for the oversight and coordination of complex client relationships and regulatory projects. Her experience includes leading mock SEC inspections, gap analyses, and comprehensive compliance program reviews, as well as advising firms on SEC registration, ERA filings, and examination preparedness.

Since joining ACA in 2006, Jessica has led or participated in hundreds of mock SEC inspections, annual compliance reviews, and regulatory engagements for a wide range of clients. Her work spans large diversified financial institutions, hedge fund managers, and private equity firms.

In addition to her client advisory work, Jessica collaborates closely with ACA’s commercial team and oversees thought leadership initiatives, training, and professional development for the U.S. Regulatory practice. She holds a Bachelor of Science in International Business, with minors in French and Finance, from the University of Scranton.

Ed Hornstein
Ed Hornstein is currently the Deputy Chief Compliance Officer and Counsel at Cinctive Capital Management.  Ed previously served as the Deputy Chief Compliance Officer, Global Head of Regulatory Compliance at ExodusPoint Capital Management.  Prior to that, he was the Chief Compliance Officer at Geller Advisors and an executive director in the compliance department at JPMorgan.  Prior to JPMorgan, Ed founded a long-short hedge fund.  Ed began his career as an associate in the securities practice of Morgan Lewis & Bockius.

Ed received his JD from The George Washington University Law School and his BA from Binghamton University.

Ranah Esmaili
Ranah Esmaili is a partner in Sidley Austin’s Securities Regulatory Enforcement Practice Group.  Ranah joined Sidley from the SEC's Division of Enforcement, where she served as Assistant Director of the Asset Management Unit. Based in the Washington, D.C. office, Ranah represents broker-dealers, investment advisers, private fund managers, and other asset managers in regulatory and government investigations, and provides compliance advice and counseling.

Manny Halberstam

Manny Halberstam is Partner in Simpson Thacher’s Investment Funds Practice. Based in New York, Manny provides investment management regulatory advice to private fund sponsors and other asset management firms, including private equity firms, venture capital firms, hedge funds and fund managers that invest in real estate, infrastructure, private credit, secondaries and digital assets.

Manny has significant experience analyzing the applicability of U.S. investment adviser registration requirements to U.S. and non-U.S. businesses, guiding clients through the SEC registration process and helping clients navigate the ever-changing and increasingly complex landscape of Advisers Act regulation. His areas of focus include SEC marketing regulations, performance track record issues, the SEC custody rule, Form ADV, Form PF, conflicts of interest, related party transactions, expense allocation issues, gift and entertainment issues, “change of control” issues, the SEC pay-to-play rule and placement agent activity oversight, among other areas. 

Jen Duggins

Christopher Scully
Christopher Scully is a partner in Weil’s Private Funds practice and is based in Washington, D.C. Christopher focuses his practice on representing private investment funds and SEC-registered, state registered and exempt advisers. He advises clients in connection with:

• Private fund formation, structuring and fundraising, including the preparation of fund offering documents and other materials;
• Regulatory and compliance matters (including registering advisers with the SEC, developing compliance programs and codes of ethics for investment advisers, assisting with ongoing compliance obligations and advising investment advisers undergoing SEC examinations); 
• Reviewing and negotiating separately managed account agreements;
• Reviewing investor communications and marketing materials;
• Drafting operating agreements for investment advisers;
• Preparing regulatory filings (e.g., filings required by the Securities Exchange Act of 1934);
• Negotiating third-party contracts with service providers; and
• Negotiating seed arrangements.

In addition to his work with private fund sponsors, Christopher also advises family offices and operating companies that are exempt from SEC regulation.

Genna Garver
Genna Garver provides targeted, practical advice to investment advisers, hedge funds and other private investment funds implementing various investment strategies. Her clients appreciate the close personal attention she provides to help them navigate the complex maze of investment regulation.

Genna routinely advises clients on formation and offering matters for both domestic and offshore funds; SEC and state investment adviser, broker-dealer and private fund regulation; Investment Advisers Act compliance programs, annual reviews and ongoing compliance matters; and regulatory examinations and investigations. She also has extensive experience representing financial institutions in a variety of transactional and regulatory matters.

A sought-after speaker and author, Genna regularly presents at industry events on various aspects of securities law. She is also actively involved in numerous women’s and diversity initiatives in the financial services industry and is an active participant  in 100 Women in Finance, the Investment Adviser Association, and the National Association of Compliance Professionals.

Thoreau Bartman
Thoreau Bartmann is a partner at K&L Gates and a member of the Asset Management and Investment Funds practice focusing on counseling investment advisers and funds on regulatory matters. Prior to that he spent more than 20 years as an investment management lawyer at the United States Securities and Exchange Commission (SEC), included serving as co-chief counsel of the Division of Investment Management.