Opening & Closing Remarks

Robert E. Akeson is Chief Operating Officer of Mirae Asset Securities (USA) Inc., a subsidiary of Mirae Asset Financial Group, Korea’s leading financial group.

Through its various subsidiaries, Mirae Asset Financial Group has invested, allocated and maintained significant quantities of assets. As of September 30, 2016, the group had assets under management of $100 billion, wealth management-related assets of $203 billion and insurance services operations of $29 billion. Mirae Asset Financial Groups broker-dealer affiliates had a combined $5.8 billion in capital. Over the years, Mirae Asset Financial Group has also made a significant commitment to the alternative investment space, including real estate, SOC, PEF and hedge funds. In addition to Korea, the group has offices in 15 markets, including the US, UK, China, India, Australia, Singapore, Hong Kong and Brazil.

Mirae Asset Securities (USA) Inc. will be engaging in various global businesses, including repo, equity finance, prime brokerage, correspondent clearing, agency execution and foreign research distribution. The firms target markets include sovereign wealth funds, hedge funds, insurance companies and broker-dealers.

Mr. Akeson is well versed in the management, operations, IT, compliance, risk management, marketing, due diligence, balance sheet and liquidity management aspects of these businesses. His background includes leadership positions with Industrial and Commercial Bank of China Financial Services, Neuberger Berman, Morgan Stanley, and ADP BISG.

Mr. Akeson is a frequent speaker on topics related to the hedge fund industry, prime brokerage, market liquidity and Basel III. He is Chairman of the Business Management Interest Group of the New York Society of Security Analysts, a member of the Management Committee of the New York Hedge Fund Roundtable, and a member of the DTCC Systemic Risk Roundtable. In addition, Mr. Akeson is member of the adjunct faculty at Molloy College where he has taught Money, Banking and Financial Markets.

Mr. Akeson holds an MBA from NYU and a BA from Washington College. He resides in Rockville Centre, N.Y. with his wife, with whom he has two grown children.

Harumi Urata-Thompson, CFA, Chief Operating Officer of the New York Society of Security Analysts, was previously a Director at Thomson Reuters, managing a portfolio of innovation best practices as well as their mobile products. Thomson Reuters has six business units which consist of 55,000 employees and over $12B revenue. Prior to this position, she served as Chief of Staff to the CEO of the Healthcare and Science business. This role included overseeing all management activities of 5 sub business units including acquisitions, business and product management, and planning of $900M budget and 4,300 employees. She began her career in investment banking with Morgan Stanley and Citigroup. During these years she worked as a fixed income sales professional and M&A banker in three financial capitals. On assignment in London, she opened the Japan Desk, creating a new business line. Ms. Urata-Thompson earned her MBA from Institute Européen D’administration Des Affaires (INSEAD) in France. She completed her Bachelor of Arts in Business magna cum laude from Sophia University in Japan. She is a CFA charterholder, PMP certified, and bilingual in English and Japanese.

Moderator

Dori Graff, CFA, has been decoding the investment management industry for nearly two decades. She founded Mirabelle Strategies in 2013 to bring strategic insights and actionable advice to investment firms across the asset spectrum, from wealth managers to large institutions. Dori’s deep sector experience combines broad market-wide perspectives with a hands-on knowledge of the everyday running of an asset management business. To keep her finger on the pulse of industry activity, Dori has conducted more than 250 one-on-one interviews with senior financial services executives. In addition to her client work, Dori writes frequently about industry trends for several leading publications.

Dori began her financial services career as a sell-side equity research analyst and has worked at Deutsche Bank, Goldman Sachs, and Donaldson, Lufkin & Jenrette. Her primary coverage area was the financial services sector. In 2005, she transitioned to the buy-side within Deutsche Bank to support the Executive Committee as a Vice President with Deutsche Asset Management’s Strategy & Business Development team. During her tenure, she helped redefine the strategic direction of the $750 billion AuM division by assessing core strengths and identifying new product strategies and geographies for business focus. Her responsibilities included leading the annual strategic planning process and execution of key business development projects.

A champion of women in business, Dori is active with the Financial Women’s Association, 100 Women in Finance and the Women’s Investment Management Forum. While at Deutsche Bank, she co-founded a networking and development group for women in asset management. She is also a longtime member of the New York Society of Security Analysts and the CFA Institute, having earned her CFA charter in 2004.

In her local community, Dori is involved with several charitable organizations including the Boys & Girls Club and Meals-on-Wheels. She is a proud graduate of Northwestern University (Go Cats!) and has been a member of the NU Alumni Admission Council for more than 15 years.

Panelists

Boris Onefater, since founding Constellation in 2008, has focused his efforts on working with traditional and alternative investment management clients, and assisting investors with their due diligence, accounting, compliance and infrastructure needs. Boris serves as an independent expert in the resolution of disputes, including valuation matters and industry standard of care, among other investment management issues. A seasoned executive with over 25 years of investment management experience, Boris is a member of boards of directors and special advisory boards for investment management and alternative investment management firms. Previously Boris served as CEO, CFO and COO at Dreman Value Management, a $20 billion asset management firm, and Partner and National Hedge Fund Director at Deloitte, where he built and managed the firm’s investment management consulting practice. Other roles include CFO of a hedge fund, Vice President in charge of accounting and administration, and Controller at an investment management firm. Boris received his B.S. degree in Accounting and Finance at New York University and is a Certified Public Accountant in the State of New York.

Maura Harris manages the operational due diligence program at Bostwick Capital, a NY based fund of funds. In addition to Bostwick, Ms. Harris consults for an online peer to peer community of senior professionals in alternative asset management focused on technology and vendor risk. Previously, Ms. Harris was a SVP & Head of Operational Due Diligence at Permal from 2006 to 2015. At Permal, she designed, implemented and managed the operational due diligence program which covered 125+ global alternative managers managing over $20b in client capital. Today, Ms. Harris has over 25 years of operational experience which includes fund administration, operations and accounting at Bank of America, GAM, Prudential Asset Management and Groupama Insurance companies.

Michael V. Merrigan founded Shadmoor Advisors LLC in 2014 as a co-sourced operational due diligence consulting firm. Since that time, Shadmoor has worked with a variety of clients on operations related initiatives, including: funds of funds, single family offices, multi-family offices, sovereign wealth funds, placement agents, managed account platforms and emerging managers.

Prior to founding Shadmoor, Mr. Merrigan was a managing director and investment committee member at Gottex Fund Management (>$5 billion fund of hedge funds), where he led a four-person global operational due diligence team.

Prior to Gottex, Mr. Merrigan implemented the first in-house operational due diligence program at General Motors Asset Management (>$100 billion in AUM). Prior to GMAM, Mr. Merrigan spent seven years focused on investment due diligence at a small fund of funds and Credit Suisse's hedge fund investments group. Mr. Merrigan started his career in the operations group of Gabelli Asset Management. Mr. Merrigan graduated from Boston College in 1997 with a B.A. in English.

Nancy Wang is a strategic and business-minded asset management attorney and Chief Compliance Officer with extensive knowledge of U.S. and international regulations and industry experience advising registered investment advisers, registered investment companies, private funds (multi-strategy hedge, private equity, real estate, venture capital and fund of funds), separately managed accounts, co-investments and joint venture partnerships.

Nancy has deep experience in structuring, distributing and managing complex U.S. and cross-border fund formation, governance, transactional and regulatory compliance matters for registered and alternative investment products. Nancy also has strong hands-on expertise in building and managing global compliance programs from the ground up for newly registered advisers as well as remediating and transforming compliance programs for advisers with current deficiencies. Nancy proactively develops and implements strategies, processes and controls that mitigate risk and ensure compliance.

Nancy is recognized for her practical and value-added advice and the ability to produce results in a fast-paced environment, building positive relationships and cultivating collaboration across functions and geographic locations to exceed business objectives and legal and regulatory requirements.

Nancy is currently a Managing Director with Adherence, LLC. She most recently served as the Chief Compliance Officer of Invesco Ltd. Prior to that, Nancy was the Global Chief Compliance Officer and Chief Regulatory Counsel at Tishman Speyer where she strategized, developed, implemented and managed multiple integrated compliance programs for Tishman Speyer’s global offices worldwide. Prior to Tishman Speyer, she was the Deputy Chief Compliance Officer at York Capital Management and practiced law as a corporate associate at Schulte Roth & Zabel LLP. Nancy has degrees from New York University and Rutgers University School of Law.

Chairs

Robert E. Akeson is Chief Operating Officer of Mirae Asset Securities (USA) Inc., a subsidiary of Mirae Asset Financial Group, Korea’s leading financial group.

Through its various subsidiaries, Mirae Asset Financial Group has invested, allocated and maintained significant quantities of assets. As of September 30, 2016, the group had assets under management of $100 billion, wealth management-related assets of $203 billion and insurance services operations of $29 billion. Mirae Asset Financial Groups broker-dealer affiliates had a combined $5.8 billion in capital. Over the years, Mirae Asset Financial Group has also made a significant commitment to the alternative investment space, including real estate, SOC, PEF and hedge funds. In addition to Korea, the group has offices in 15 markets, including the US, UK, China, India, Australia, Singapore, Hong Kong and Brazil.

Mirae Asset Securities (USA) Inc. will be engaging in various global businesses, including repo, equity finance, prime brokerage, correspondent clearing, agency execution and foreign research distribution. The firms target markets include sovereign wealth funds, hedge funds, insurance companies and broker-dealers.

Mr. Akeson is well versed in the management, operations, IT, compliance, risk management, marketing, due diligence, balance sheet and liquidity management aspects of these businesses. His background includes leadership positions with Industrial and Commercial Bank of China Financial Services, Neuberger Berman, Morgan Stanley, and ADP BISG.

Mr. Akeson is a frequent speaker on topics related to the hedge fund industry, prime brokerage, market liquidity and Basel III. He is Chairman of the Business Management Interest Group of the New York Society of Security Analysts, a member of the Management Committee of the New York Hedge Fund Roundtable, and a member of the DTCC Systemic Risk Roundtable. In addition, Mr. Akeson is member of the adjunct faculty at Molloy College where he has taught Money, Banking and Financial Markets.

Mr. Akeson holds an MBA from NYU and a BA from Washington College. He resides in Rockville Centre, N.Y. with his wife, with whom he has two grown children.


Sidney Hardee, CFA,with over fifteen years in the financial industry, Sidney Hardee is the Managing Partner of Hardee Brothers, LLC . He has a broad base of experience in the areas of fixed income sales and trading, derivatives research, quantitative analysis, and portfolio management. Mr. Hardee is a former Trading Manager at the Bank of NT Butterfield in Bermuda where he led their fixed Income and derivatives trading initiatives. He began his career as a Market Analyst at Salomon Brothers focused on European Bond Markets. Later he joined Lehman Brothers in both New York and London as a Bond Trader. He was also a Vice President in both the Credit Markets Trading and Global Rates Strategy groups at JPMorgan. Mr. Hardee holds a B.A. in Economics and Mathematics from Yale University and holds a M.S. in Applied Statistics from Columbia University. He is a Chartered Financial Analyst (CFA), member of the Alternative Investments committee of the New York Society of Securities Analysts (NYSSA) and a member of the United States Investment Performance Committee (USIPC) for the Global Investment Performance Standards (GIPS). He is also a member of the Board of Advisory for the Master of Science Program in Financial Risk Management at the University of Connecticut School of Business.

Rodney Laveau is a Vice President of Business Development at AlphaDesk which is a technology solutions provider for hedge funds and asset managers. Prior to joining the company in 2016 to establish their U.S. office, he gained years of experience on Wall Street working in retail investment management. Starting his career right after graduating Eckerd College in 2007, he worked his way through the financial crisis of 2008 and 2009 at a boutique investment firm as a hard-working trainee who became one of the top producers of his office.

Michael Lee is a co-founder of Sky Lake Partners, LLC a vertically integrated real estate investment management firm, and also a registered representative of WealthForge Securities, LLC. Sky Lake invests partner and client capital in mixed use and multifamily, rent stabilized real estate in New York City. Based on a private equity model, the firm uses leverage to target attractive risk adjusted IRR’s. Michael is responsible for client investments through the WealthForge platform and is spearheading the firm's effort to automate Reg D offerings within the FinTech space resulting in an efficient, compliant and centralized investor experience.  He has 17 years banking experience at Morgan Stanley, where he held several positions in both capital markets sales and trading and as a financial advisor on the private wealth platform.  Michael graduated from the London School of Economics and Political Science with a bachelor’s degree in math and economics.

Alison Inafuku Edge is the founder and principal of Hollenbeck Advisors, which provides consulting services to start-up and emerging investment managers with regard to management company and fund launches; establishment of operational infrastructure; service provider selection; industry best practices; and business development and capital formation.

Alison is a multi-faceted investment professional and attorney with 25+ years of operating, legal and marketing/investor relations experience. She began her career at The First Boston Corporation (now Credit Suisse) and practiced law in New York before joining Alliance Capital (now AllianceBernstein), where she was a vice president in the corporate legal department and the hedge fund product development and marketing group. Prior to founding Hollenbeck Advisors, she was a partner at several New York-based hedge funds that she helped launch.

Alison is a graduate of the University of Chicago (A.B. with honors) and University of California, Berkeley School of Law (J.D.) and a member of the New York Bar and the New York Society of Security Analysts. She is an active volunteer with the University of Chicago and a former member of its Alumni Board of Governors, as well as her son’s school and Cub Scout pack.

  
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