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Alternative Data Council: Expert Networks Panel and Networking

June 7, 2023

June 7 @ 4 - 8 p.m.

Hosted by Schulte Roth & Zabel
919 3rd Ave, 23rd Floor*
New York, NY 10022

Members Only – Free

Expert Networks and the Convergence of Data and Research

This panel of industry experts will take a fresh look at compliance issues affecting firms using expert networks in the wake of the April 2020 SEC Alert.  

Agenda

4:00 - 4:30 p.m.

Registration

4:30 - 4:35 p.m. 

Opening Remarks & Housekeeping
Tracey Shumpert
, FISD

4:35 - 4:40 p.m.

Alternative Data Council Procurement Stream Update
Max Abend, Vice President, PDT

4:40 - 4:45 p.m.

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

4:45 - 5:00 p.m.

Overview of the History of Regulatory Scrutiny of Expert Networks
Peter Greene, Co-Chair of Investment Management, Schulte Roth & Zabel 
Ben Kozinn, Investment Management and M&A Partner, Schulte, Roth & Zabel 

5:00 - 6:00 p.m.

Expert Networks and the Convergence of Data and Research

In recent years, more investment advisers have been using expert network transcripts both for primary research and as sources of alternative data.  Our panel, which brings years of combined SEC and industry experience, will discuss the potential compliance implications of this trend, particularly in the wake of the SEC Examination staff's April 2022 RIsk Alert on Investment Adviser MNPI Compliance Issues.  Among other things, the panel will address the different forms of expert network transcripts, what registrants should consider before transcribing their own expert network calls or consuming transcripts generated by third parties, and the pros and cons of relying on transcripts instead of live expert calls.  We will also discuss how expert network clients can mitigate risk when conducting research in China following the recent news that China-based Capvision was raided by state security authorities.

Amritha Donnellan, Sr. Counsel, Director of Compliance & Legal Ops, Yipit
Jason Howard, General Counsel and Chief Compliance Officer, Tegus
Kelly Koscuiszka, Partner and co-chair of the Investment Management Regulatory & Compliance Group, Schulte Roth & Zabel   
Jonathan Scott, Chief Compliance Officer, GLG
Craig S. Warkol, Partner and co-chair of the firm’s Litigation Group, Broker-Dealer Regulatory & Enforcement Group and securities enforcement practice, Schulte Roth & Zabel 

6:00 - 8:00 p.m. 

Networking and Cocktail Reception

Peter Greene

Co-Chair of Investment Management, Schulte Roth & Zabel

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Ben Kozinn

Investment Management and M&A Partner, Schulte, Roth & Zabel 

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Jason Howard

General Counsel and Chief Compliance Officer, Tegus

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Amritha Donnellan

Sr. Counsel, Director of Compliance & Legal Ops, Yipit

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Jonathan Scott

Chief Compliance Officer, Gerson Lehrman Group

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Craig S. Warkol

Partner and co-chair of the firm’s Litigation Group, Broker-Dealer Regulatory & Enforcement Group and securities enforcement practice, 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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Max Abend

Vice President, PDT Partners

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Tracey Shumpert

Vice President, FISD Membership & Programs, SIIA

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HOST & SPONSOR

Details

Date:
June 7, 2023
Event Category:
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