Speakers / Authors:
Nora M. Jordan
Davis Polk & Wardwell LLP
As head of Davis Polk’s Investment Management Group, Ms. Jordan advises clients on collective investment vehicles, including hedge funds, mutual funds, closed-end funds and private equity funds. She acts as counsel to the adviser, the fund or the independent directors, depending on the client. Many of her matters involve advising clients concerning compliance with the Investment Company Act and Investment Advisers Act.
Ms. Jordan also provides exemptive advice concerning the Investment Company Act for industrial holding companies and non-U.S. trading companies, banks, insurance companies and other financial institutions. She has also worked on a number of acquisitions, reorganizations and structurings of asset managers. Ms. Jordan frequently provides advice to financial institutions that have affiliated asset managers and broker-dealers. Principal and agency transactions between asset manager clients and broker-dealers are highly regulated, and she provides advice on these regulations as well as other regulations affecting private funds, advisers and mutual funds.
Ms. Jordan is admitted to the Bar in the State of New York. She received her J.D., with honors, from Duke University School of Law in 1983 and her B.A., cum laude, from the University of Notre Dame in 1980.
Thomas A. McKinney
FrontPoint Partners LLC
Mr. McKinney is the Managing Director and General Counsel for FrontPoint Parnters. Prior to joining FrontPoint, LLP in January 2004, Mr. McKinney was associated with Davis Polk & Wardwell for eight years. Mr. McKinney is also the Director of FrontPoint Offshore Leveraged Multi-Strategy Fund Series A, Ltd. and FrontPoint Offshore Utility and Energy Fund Ltd. since January 2007.
Mr. McKinney is an active member of the Bar in the State of New York. Mr. McKinney received a B.A. with high distinction from the University of Kentucky and a J.D. from Columbia University, where he was a James Kent scholar.
Jeffrey Wechselblatt
Lone Pine Capital
Mr. Wechselblatt is General Counsel for Lone Pine Capital. Prior to joining Lone Pine Capital Mr. Wechselblatt was associated with the firms of Schulte Roth & Zabel LLP, Friedman Kaplan Seiler & Adelman LLP, and Simpson Thacher & Barlett LLP.
Mr. Wechselblatt received his A.B. from Columbia University in 1994, and his J.D. from Columbia University School of Law in 1998.
A. Duer Meehan
PricewaterhouseCoopers
Mr. Meehan joined PricewaterhouseCoopers as a director in the Financial Services Regulatory Practice in 2010. Since joining PwC, Mr. Meehan has worked on projects with broker-dealers, asset managers, exchanges, and a rating agency. He has assisted firms with front to back regulatory reviews as well as addressing specific issues that include controls related to quantitative high-frequency trading, the prevention of insider trading, the implementation of new regulations, and the management of conflicts of interest.
Mr. Meehan is also a frequent speaker on regulatory issues at public conferences and a member of the Financial Services Regulatory Practice’s Dodd-Frank Financial Regulation Core Team. Prior to PwC, he was the Associate Director of the Office of Market Oversight in the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE). In this role, Mr. Meehan was responsible for supervising the Commission's oversight inspections of the self-regulatory organizations’ regulatory programs with respect to trading, including their surveillance, examination and disciplinary programs. His group was also responsible for examinations of brokerdealers' trading practices and operations, including alternative trading systems. In addition, he oversaw the Commission’s examinations of credit rating agencies and managed the transfer agent examination program as well as participating in examinations of investment advisers.
Before becoming an Associate Director, Mr. Meehan was an Assistant Director in OCIE’s broker-dealer group managing examinations addressing multiple issues including equity and debt securities trading and sales practices, supervision, internal controls and anti-money laundering.
Mr. Meehan has also served as an adjunct professor at Georgetown University Law Center teaching the regulation of securities trading. His experience prior to the SEC includes implementing trading systems at Bloomberg, L.P. and working as a specialist clerk on the floor of the NYSE.
Mr. Meehan received his B.A. from Hamilton College in 1989, and his J.D. from Willamette University College of Law in 1995.
Nora M. Jordan
Davis Polk & Wardwell LLP
As head of Davis Polk’s Investment Management Group, Ms. Jordan advises clients on collective investment vehicles, including hedge funds, mutual funds, closed-end funds and private equity funds. She acts as counsel to the adviser, the fund or the independent directors, depending on the client. Many of her matters involve advising clients concerning compliance with the Investment Company Act and Investment Advisers Act.
Ms. Jordan also provides exemptive advice concerning the Investment Company Act for industrial holding companies and non-U.S. trading companies, banks, insurance companies and other financial institutions. She has also worked on a number of acquisitions, reorganizations and structurings of asset managers. Ms. Jordan frequently provides advice to financial institutions that have affiliated asset managers and broker-dealers. Principal and agency transactions between asset manager clients and broker-dealers are highly regulated, and she provides advice on these regulations as well as other regulations affecting private funds, advisers and mutual funds.
Ms. Jordan is admitted to the Bar in the State of New York. She received her J.D., with honors, from Duke University School of Law in 1983 and her B.A., cum laude, from the University of Notre Dame in 1980.
Thomas A. McKinney
FrontPoint Partners LLC
Mr. McKinney is the Managing Director and General Counsel for FrontPoint Parnters. Prior to joining FrontPoint, LLP in January 2004, Mr. McKinney was associated with Davis Polk & Wardwell for eight years. Mr. McKinney is also the Director of FrontPoint Offshore Leveraged Multi-Strategy Fund Series A, Ltd. and FrontPoint Offshore Utility and Energy Fund Ltd. since January 2007.
Mr. McKinney is an active member of the Bar in the State of New York. Mr. McKinney received a B.A. with high distinction from the University of Kentucky and a J.D. from Columbia University, where he was a James Kent scholar.
Jeffrey Wechselblatt
Lone Pine Capital
Mr. Wechselblatt is General Counsel for Lone Pine Capital. Prior to joining Lone Pine Capital Mr. Wechselblatt was associated with the firms of Schulte Roth & Zabel LLP, Friedman Kaplan Seiler & Adelman LLP, and Simpson Thacher & Barlett LLP.
Mr. Wechselblatt received his A.B. from Columbia University in 1994, and his J.D. from Columbia University School of Law in 1998.
A. Duer Meehan
PricewaterhouseCoopers
Mr. Meehan joined PricewaterhouseCoopers as a director in the Financial Services Regulatory Practice in 2010. Since joining PwC, Mr. Meehan has worked on projects with broker-dealers, asset managers, exchanges, and a rating agency. He has assisted firms with front to back regulatory reviews as well as addressing specific issues that include controls related to quantitative high-frequency trading, the prevention of insider trading, the implementation of new regulations, and the management of conflicts of interest.
Mr. Meehan is also a frequent speaker on regulatory issues at public conferences and a member of the Financial Services Regulatory Practice’s Dodd-Frank Financial Regulation Core Team. Prior to PwC, he was the Associate Director of the Office of Market Oversight in the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE). In this role, Mr. Meehan was responsible for supervising the Commission's oversight inspections of the self-regulatory organizations’ regulatory programs with respect to trading, including their surveillance, examination and disciplinary programs. His group was also responsible for examinations of brokerdealers' trading practices and operations, including alternative trading systems. In addition, he oversaw the Commission’s examinations of credit rating agencies and managed the transfer agent examination program as well as participating in examinations of investment advisers.
Before becoming an Associate Director, Mr. Meehan was an Assistant Director in OCIE’s broker-dealer group managing examinations addressing multiple issues including equity and debt securities trading and sales practices, supervision, internal controls and anti-money laundering.
Mr. Meehan has also served as an adjunct professor at Georgetown University Law Center teaching the regulation of securities trading. His experience prior to the SEC includes implementing trading systems at Bloomberg, L.P. and working as a specialist clerk on the floor of the NYSE.
Mr. Meehan received his B.A. from Hamilton College in 1989, and his J.D. from Willamette University College of Law in 1995.