Mock Vendor Diligence Webinar

Speakers

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  Adam Storch

  SEC

  Associate Director & Event and Emerging Risks Examinations Team Lead

  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.

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  Emilie Abate

  SEC

  Branch Chief, Event and Emerging Risks Examination Team

  Emilie Abate is a Branch Chief with the Event and Emerging Risks Examination Team (EERT) at the SEC. EERT was recently 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 becoming Branch Chief, Emilie was an inaugural member and Senior Securities Compliance Examiner with EERT where she conducted incident response and addressed emerging risks impacting firms across the industry. Emilie joined the SEC in 2015, previously serving as a Senior Securities Compliance Examiner within the Investment Adviser/Investment Company Examination Program in both the Chicago and Miami Regional Offices where she led and conducted complex examinations of private funds, investment advisers, and investment companies.

  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.

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  Kelly Koscuiszka

  Schulte Roth & Zabel LLP

  Partner

  Kelly Koscuiszka, Partner at Schulte Roth & Zabel, advises private funds on regulatory and compliance matters, with a particular focus on the Investment Advisers Act of 1940, and works closely with clients undergoing SEC examinations. Kelly also advises clients on privacy and data security as well as the challenges presented by new technologies and alternative data. Kelly regularly leads training sessions for clients, including on topics such as alternative data, insider trading and best practices for electronic communications and technology usage. When necessary, she represents clients in regulatory investigations and enforcement actions by the SEC, DOJ and FINRA as well as in complex civil litigation matters.

  Kelly received her J.D. from Georgetown University Law Center and her B.A. from Rutgers University.

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  Donald D’Amico

  Neudata

  General Counsel

  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.