The U.S. is a huge market and although there is ‘one’ regulator (the SEC) there is a myriad of rules to comply with and even state regulators and rules that can trip up even the most savvy fund manager. There are also Canadian rules that may limit the extent to which a Canadian manager might be able to take on U.S. clients. Learn from the experts how to make the most of the market directly south of us! This is presented with our partner: the Institute for Portfolio Alternatives (ipa.com).
This webinar is for non-U.S. asset managers interested in marketing their fund in the State
Through advocacy and industry-leading education, the Institute for Portfolio Alternatives (IPA) is committed to expanding access to real assets and creating more opportunities for retail investors to effectively balance their portfolios. The IPA provides national leadership for the Portfolio Diversifying Investments (PDI) industry. We bring together the top asset managers, product distribution partners and industry service providers – new and established – who are dedicated to driving the industry forward through education, innovation and transparency.
Dial-in details will be sent once registration is complete
CAASA’s Virtual PlatformDirector, Head of Investor Relations & Business Development
ESO Capital
Partner
Baker & McKenzie
Partner
Alston & Bird
Partner
Stroock & Stroock & Lavan
Executive Managing Director
Robert A. Stanger
Director, Head of Investor Relations & Business Development
ESO Capital
Tingting is responsible for coverage of investors across EMEA, North America and Asia. Prior to joining ESO, she was Principal and Chief Operating Officer at Real Asset Partners, a boutique advisory firm in London where she was responsible for raising capital from family offices and institutional investors across Asia and the US for real estate direct and fund investments. Previously, Tingting was based in Hong Kong where she worked in real estate development and investment across Asia and the US. She began her career as an investment banker in Morgan Stanley’s M&A team in Hong Kong and was subsequently a hedge fund analyst at Fortress Investment Group.
She is fluent in Mandarin and English and has a BSc from the Massachusetts Institute of Technology (MIT) and an MBA from London Business School.
Tingting has been a certified yoga teacher for over ten years and is passionate about the integration of wellness into all aspects of one’s life
Partner
Baker & McKenzie
Kristin Rice-Gonzalez is a partner in the Chicago office and is experienced in fund review and formation, mergers and acquisitions, investment adviser compliance and general corporate law, with an emphasis on real estate, secondary transactions and fund-of-funds.
Practice Focus
Kristin focuses her practice on alternative investment fund matters, advising clients on the structuring and formation of, and investment in, international and domestic private investment funds, including private equity funds, and fund-of-funds. She also advises clients in connection with their investment activities and legal issues, including issues concerning FINRA regulations, the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Ms. Rice-Gonzalez has represented well-known investors in international and domestic private funds and fund-of-funds. She has also represented domestic and foreign broker dealers and investment advisers in filings before the SEC and FINRA.
Partner
Alston & Bird
Tim Selby is the head of the Investment Management Practice at Alston & Bird and serves as chair of the firm’s Partners’ Committee. He focuses his practice on advising clients with respect to the structuring and management of hedge funds, managed futures funds, private equity funds, and publicly offered-direct participation programs. He represents a broad range of clients, employing a wide variety of alternative investment strategies; from well-established institutions to experienced fund managers that have decided to build their own asset management firms.
Tim advises clients with respect to compliance with, and exemptions from, the Investment Company Act of 1940, the Investment Advisers Act of 1940, Commodity Exchange Act, Securities Act of 1933, Securities Exchange Act of 1934, SEC and CFTC regulations, and NFA and FINRA rules.
Every year since 2010 Tim has been listed in Chambers USA: America’s Leading Lawyers for Business and Chambers Global: The World’s Leading Lawyers for Business, where he is recognized for his expertise in the hedge fund and managed futures sectors. In the 2017 edition of Chambers, Tim was praised as a lawyer who is “a pleasure to deal with” and “possesses a deep knowledge of all aspects of investment management.” Tim was named to The Best Lawyers in America© for 2018-2021 in the area of Private Funds/Hedge Funds Law.
Prior to practicing law Tim was licensed and practiced as a CPA.
Partner
Stroock & Stroock & Lavan
André Nance focuses his practice on the representation of private fund sponsors in connection with the formation, capital raising and operation of domestic and offshore real estate funds, private equity funds, hedge funds, funds-of-funds and other privately-offered pooled investment vehicles. In addition, he has significant experience representing the wealth management divisions of banks and other financial institutions in connection with the distribution of alternative investments to high net worth individuals and institutional clients on a worldwide basis.
André also has substantial experience representing public pension plans and other institutional investors in connection with their fund investments and advising clients on corporate transactional matters, including joint ventures, private placements, and both private and public mergers and acquisitions.
Representative clients include J.P. Morgan Asset Management, Morgan Stanley Wealth Management and Bank of America Merrill Lynch.
Executive Managing Director
Robert A. Stanger
Ms. Miller is an Executive Managing Director of Stanger. Ms. Miller has over thirty years of experience in the distribution of alternative investments and mutual funds. She was previously the CEO of Starwood Capital, LLC, where she launched the retail fundraising initiative for Starwood Capital Group, a $60 billion private equity firm with a primary focus on global real estate. In addition, Ms. Miller was CEO, Head of Distribution and National Sales Manager at Carey Financial, LLC, W. P. Carey’s broker-dealer, where she led the capital raising function for real estate and credit funds for nine years. Previously Ms. Miller was a sales manager with Rydex Funds (now owned by Guggenheim Partners), one of the earliest to launch alternative investment strategies in a mutual fund format. She was also with Columbia Funds and Putnam funds earlier in her career.
Ms. Miller is currently the Chair of the Institute for Portfolio Alternatives (IPA) which provides national leadership for the Portfolio Diversifying Investment industry through advocacy and education. Ms. Miller earned her B.A. from Chatham College in Pittsburgh, Pennsylvania and her MBA in Finance and Marketing from the Katz Graduate School of Business at the University of Pittsburgh. She is a Certified Financial Planner® and a registered General Securities Principal.
Event Registration Closed
Event Registration Closed