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FISD Alternative Data Council: Compliance and Generative AI

October 17, 2023

October 17, 2023 @ 4:00 - 8:00 p.m.

Hosted and Sponsored by

Schulte Roth & Zabel


919 3rd Ave, 23rd Floor* New York, NY 10022

This event is at capacity. Please direct questions to Tracey Shumpert.

Agenda

4:00 - 4:30 p.m.

Registration and Networking

4:30 - 4:35 p.m.

FISD Opening Remarks & Housekeeping
Tracey Shumpert
, VP of Membership and Programs, FISD

4:35 - 4:40 p.m.

SIIA Data Policy Council Overview

Chris Mohr, CEO, SIIA

4:40 - 4:45 p.m.

Alternative Data Council Updates

Procurement Stream Update
Max Abend, Vice President, PDT

Technology Stream Update
Jon Neitzell, Alternative Data Council Fellow/Anduril Partners

4:45 - 4:55 p.m.

AI Employment Considerations: New and Contemplated Regulations
Marty Schmelkin
, Partner, Schulte Roth & Zabel

4:55 - 5:05 p.m.

Incorporating AI Questions into DDQs and the Vendor Diligence Process
Jessica Margolies, Special Counsel, Investment Management and Regulatory & Compliance Group, Schulte Roth & Zabel

5:05 - 6:00 p.m.

Legal Considerations, Compliance, and Generative AI
Brooke Bernstein
, Associate General Counsel, Tudor
Hane Kim, Chief Risk and Strategy Officer, Office of Risk and Strategy, Division of Examinations, U.S. Securities and Exchange Commission
Kelly Koscuiszka, Partner and Co-Chair of the Investment Management Regulatory & Compliance Group, Schulte Roth & Zabel
Courtney Lewis, Chief Compliance Officer & General Counsel, Marshall Wace North America, LP
Adam Storch, Associate Director, Event and Emerging Risks Examination Team (EERT), Division of Examinations, U.S. Securities and Exchange Commission

6:00 - 8:00 p.m.

Networking Reception

Tracey Shumpert

Vice President, FISD Membership & Programs, SIIA

Bio →

Max Abend

Executive Director, PDT Partners

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Marty Schmelkin

Partner, Schulte Roth & Zabel

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Kelly Koscuiszka

Partner and co-chair of the Investment Management Regulatory & Compliance Group, Schulte Roth & Zabel

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Jonathan Neitzell

Founder and Managing Partner, Anduril Partners

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Jessica Margolies

Special Counsel, Investment Management and Regulatory & Compliance Group, Schulte Roth & Zabel

Bio →

Hane Kim

Chief Risk and Strategy Officer, Office of Risk and Strategy, Division of Examinations, U.S. Securities and Exchange Commission

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Courtney Lewis

Chief Compliance Officer & General Counsel, Marshall Wace North America, LP

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Chris Mohr

President, SIIA

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Brooke Bernstein

Associate General Counsel, Tudor

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Adam Storch

Associate Director, Event and Emerging Risks Examination Team (EERT), Division of Examinations, U.S. Securities and Exchange Commission

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Host & Sponsor

Details

Date:
October 17, 2023
Event Category:
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