The New Table Stakes
12pm - 1pm ET | 18th August 2022
12pm - 1pm ET | 18th August 2022
The New Table Stakes – Compliance Considerations for Startup Data Vendors
On the 18th August, join Neudata and the SEC as they discuss compliance considerations for startup data vendors. With increasingly complex data privacy challenges, startup data vendors must familiarise themselves with regulations.
Exclusive to data vendors, the fire-side chat will shed light on the implication of data privacy laws and the measures vendors must take, even during the seed stage, to comply.
Don’t miss out on this valuable insight and register today.
Don is the General Counsel of Neudata. In addition to managing the company's legal affairs, Don leads the review of the compliance and regulatory aspects of new datasets and assists with product development. He previously served as Legal Counsel at Davidson Kempner Capital Management LP, where he onboarded third party research providers and conducted related due diligence. Don started his career as a research analyst on a merger arbitrage trading desk.
Don holds a JD from the Fordham University School of Law and a BA from Washington University in St. Louis. He has received CIPP/E and CIPP/US certifications from the International Association of Privacy Professionals.
Emilie Abate is a Senior Securities Compliance Examiner in the newly established Event and Emerging Risks Examination Team (EERT). EERT is a new office established to proactively engage with financial firms about emerging issues and current market events and quickly mobilize to provide expertise and resources when critical matters arise. Prior to this role, Emilie was a Senior Securities Compliance Examiner in the SEC’s Miami Regional Office Investment Adviser/Investment Company Examination Program. Emilie joined the SEC in 2015 as an Investment Adviser/Investment Company Securities Compliance Examiner in the Chicago Regional Office. During her time at the SEC, Emilie has led and conducted complex examinations of investment advisers, investment companies, and private funds.
Previously, Emilie was a Senior Auditor with Ernst & Young’s Global Asset Management Practice, where she led global teams to perform financial statement audits of investment advisers and private funds, with a focus on hedge, private equity, and venture capital funds.
Emilie is a graduate of the Santa Clara University Leavey School of Business where she earned a B.S. in Commerce with a major in Accounting.
Adam leads the SEC’s newly established Event and Emerging Risks Examinations Team (EERT) in the Division of Examinations. EERT is a new office established to proactively engage with financial firms about emerging threats and current market events and quickly mobilize to provide expertise and resources when critical matters arise. EERT helps to ensure, through examinations and other firm engagement and monitoring activities that firms are better prepared to address exigent threats, incidents, and emerging risks. EERT will also provide expertise and support in response to significant market events that could have a systemic impact or that place investor assets at risk, such as exchange outages, liquidity events, and cyber-security or operational resiliency concerns. EERT also focuses on published exam priorities, which includes examinations of new and emerging technologies, including the use of Alternative Data. Previously Adam served as Senior Advisor to the Director of the Division where he focused on risk, strategy and innovation. Earlier, Adam served as the Commission’s first-ever Managing Executive and Chief Operating Officer of the Division of Enforcement, where he was instrumental in the Division’s most significant restructuring in the Division’s history. Adam has also held several key executive roles in the private sector, including Chief of Staff and Chief Operating Officer of Legal and Compliance at Marsh & McLennan Companies and Vice President of the Business Intelligence Group at Goldman Sachs. Adam is a graduate of the NYU Stern School of Business and SUNY Buffalo.
Tony Winter is a Senior Counsel with the Event and Emerging Risks Team.
Tony joined the SEC in 2008 as a staff attorney in the Division of Enforcement, where for 13 years—first in the Home Office and then in the Atlanta Regional Office—he investigated and litigated actions involving a wide variety of misconduct including insider trading, financial fraud, market manipulation schemes, investment adviser misconduct, and other regulatory violations.
Tony is a member of the Georgia Bar and received his J.D. from the University of Georgia in 2008. He also holds degrees from Boston University (M.A., International Relations) and Furman University (B.A., Religion).
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