100 Women in Hedge Funds
Broken Windows: SEC Enforcement and Examination Initiatives, 2014 and Beyond

April 8, 2014 at 6 PM
New York

Chair Mary Jo White has likened the Securities and Exchange Commission’s approach to enforcement under her leadership to that of former New York City Mayor Rudolph Giuliani, whose broken windows strategy focused on pursuing smaller violations to prevent larger ones.

Join your peers to gain an insider’s perspective on the SEC’s renewed offensive against misconduct, plus its use of force multipliers like cutting edge data surveillance, analytics and whistleblowers. For industry participants, a 360 degree look on best practices, dealing and surviving an SEC examination provides a compelling discussion.


Andrew M. Calamari, Securities and Exchange Commission
James A. Capezzuto, New York Life Investors
Ken C. Joseph, Securities and Exchange Commission
Beth R. Kramer, Chadbourne & Parke LLP
Amy C. Poster, Moderator, C&A Consulting LLC

Event Details

Date: April 8, 2014
Time: 5 PM Registration.
We will begin promptly at 6 PM; please arrive early. Since it is disruptive to everyone when latecomers enter the session, those arriving after an education session has begun will only be admitted at the discretion of 100WHF and the host. Please note the start time on this invite and plan to arrive early.
Host: Chadbourne & Parke LLP
Location: 30 Rockefeller Plaza, New York, NY 10112

If you have any questions about this event, please contact the Professional Leverage committee.

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Admission is free, but there is a $25 charge if you register and do not attend, even if you cancel in advance. No-show proceeds will be donated to the 2014 beneficiary of 100WHF’s US philanthropic initiatives.

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Space is limited. No walk-ins will be permitted.


Andrew M. Calamari, Director, New York Regional Office, Securities and Exchange Commission
Andrew M. Calamari is the Director of the Commission’s New York Regional office. He served as Associate Director and co-head of Enforcement in New York for eight years before assuming his present position. Before coming to the Commission in 2000, Mr. Calamari was engaged in private law practice for nearly 15 years, including as a litigation partner at Donovan Leisure Newton & Irvine. He has co-authored a treatise on Complex Litigation and is co-author of the securities litigation chapter in a Matthew Bender treatise on securities law.

James A. Capezzuto, Chief Compliance Officer, New York Life Investors
James A. Capezzuto is the chief compliance officer for New York Life Investors and certain affiliated investment advisors including Cornerstone Capital Management. Prior to joining the firm, Mr. Capezzuto was an associate regional director at the Securities and Exchange Commission, responsible for the New York regional investment adviser and investment company exam programs. Prior to that, Mr. Capezzuto served as US counsel and chief compliance officer at Aberdeen Asset Management, senior counsel at UBS Global Asset Management, chief compliance officer at Banc of America Alternative Strategies and senior counsel at Deutsche Bank/Morgan Grenfell Asset Management. Mr. Capezzuto received his JD from New York Law School and his BA in English from the University at Buffalo. He has over 22 years of legal and compliance experience in the asset management industry.

Ken C. Joseph, Associate Director, Securities and Exchange Commission
Ken C. Joseph, Esq. is the Associate Director in charge of the U.S. Securities and Exchange Commission’s Investment Adviser/Investment Company Examination Program in the New York Regional Office. Ken joined the Office of Compliance Inspections and Examinations (OCIE) in July 2012 after almost sixteen years with the SEC’s Division of Enforcement, serving most recently as an Assistant Director in the Asset Management Unit.

Ken joined Commission in 1996 after graduating from the University of North Carolina at Chapel Hill School of Law. Ken also holds a Bachelor of Science degree, a MBA in Marketing Management, and a post-MBA Advanced Professional Certificate in International Finance from St. John’s University, New York. He worked previously as an Associate Dean at St. John’s, a project manager in the financial services industry, and as a unit leader in the municipal bond department of a Wall Street firm.

During his tenure with the Division of Enforcement, Ken was responsible for investigations or enforcement actions involving financial fraud, auction rate securities, subprime securities, credit default swaps, reinsurance transactions, hedge funds, private equity funds, ponzi schemes, special purpose entities, auditors, investment advisers, investment companies, self-regulatory organizations, transfer agents, and broker-dealers, among others.

In his current role, Ken leads a staff of approximately 100 examiners, accountants, attorneys and support staff involved in the examination of investment companies and investment advisers in New York and New Jersey.

Beth R. Kramer, Partner, Chadbourne & Parke LLP
Beth R. Kramer focuses her practice on investment management and securities law. She regularly advises investment advisers on the formation and ongoing management of funds and on the regulatory and compliance aspects of their businesses. She counsels investment companies, private funds and separately managed accounts on structuring, organization, distribution, and SEC regulatory and compliance issues, including responses to SEC examinations.

Ms. Kramer’s practice includes the creation of new advisory businesses, including registration and formation with appropriate regulatory authorities, creation of disclosure documents for private funds, drafting of investment management products, evaluating fund documents for institutional investors seeking alternative investments, development of compliance policies and procedures, performing compliance reviews, counseling clients on compliance with the Dodd-Frank Act, and adviser acquisitions. She advises clients with respect to compliance with, and exemptions from the Investment Advisers Act of 1940, as amended and the Investment Company Act of 1940, as amended. Ms. Kramer is a member of the American Bar Association (Section of Business Law) and 100 Women in Hedge Funds.

Amy C. Poster, Director for Risk and Regulatory Advisory Services, C&A Consulting LLC
Amy currently serves as Director for Risk and Regulatory Advisory Services at New York based C&A Consulting LLC.

Amy completed in 2010, a term assignment at the US Department of Treasury, Office of the Special Inspector General- TARP, (SIGTARP) in Washington, DC and was responsible for the development and oversight of US Treasury’s Public Private Investment Program (PPIP). She was also the central subject matter expert for financial markets and domestic policy at SIGTARP, leading critical audits on TARP recipients and inter-agency investigations.

Prior to her role at SIGTARP, she was a Director in Product Control at Credit Suisse, focusing on risk and valuation for global credit products within the Fixed Income Division. In addition, Amy led the set up and post-launch risk management of several credit and distressed funds within Credit Suisse’ Alternative Capital Division. She has previously worked designing and implementing risk and valuation programs at Donaldson, Lufkin, and Jenrette, and Bear Stearns.

Amy is a contributing writer to Institutional Investor’s (II) family of publications- II’s main magazine, II’s hedge fund magazine Alpha, and Money Management Intelligence newsletter. She is also a regular contributor to the Global Association of Risk Professional (GARP) Risk magazine.

About Chadbourne & Parke LLP
Chadbourne’s Private Funds practice has extensive experience working with sponsors to structure, launch, negotiate and close private funds around the world. Our experience covers fund formation, deal execution, management structuring and regulatory advice across a broad range of fund classes, including buyout, hedge, venture capital, infrastructure, real estate, mezzanine, distressed and funds of funds. Recently, our practice was ranked by The Legal 500 United States 2013 in the category “Investment Fund Formation and Management.” Our core business includes advising our clients on the following types of matters: private equity and hedge fund formations; establishment and acquisition of alternative asset managers, and the ongoing management of their funds and separately managed accounts; regulatory and compliance matters; and investments in private funds, including the evaluation of fund documents for alternative investments.

A New York-based international law firm, Chadbourne partners with our clients to promote their business objectives around the world. We offer a full range of legal services and deliver innovative and effective results drawing on our local expertise and relationships in our international platform of 12 offices across four continents. Recognized by Chambers Global in 22 practice areas and in 16 regions, we have developed a unique focus on emerging markets and offer significant experience and depth in energy and infrastructure, international disputes, Latin American corporate and finance transactions, corporate M&A, and bankruptcy and financial restructuring.

About 100 Women in Hedge Funds (http://www.100womeninhedgefunds.org/)
100 Women in Hedge Funds is a global, practitioner-driven non-profit organization serving over 12,000 alternative investment management investors and professionals through educational, professional leverage and philanthropic initiatives. Formed in 2001, 100 Women in Hedge Funds has hosted over 400 education events globally, connected more than 250 senior women through Peer Advisory Groups and raised over $33 million for philanthropic causes in the areas of women’s health, education and mentoring.

If you have any questions about this event, please contact us at the link shown above or visit our website at http://www.100womeninhedgefunds.org/