NYAIR Episode 85 –Avoiding Regulatory Trouble

David McClean, principal at DMA Consulting Group, and Dustin Littrell, an attorney in Alston & Bird’s Financial Services & Products Group, discuss some of the nuts and bolts of a good compliance program and provide tips on how managers can protect their firms—and themselves, with Robert Akeson, managing director of investment banking at Riverside Management Group.…

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Winter 2022 Fortune/Deloitte CEO Survey

CEOs eye 2022 with optimism and a dash of uncertainty The Winter 2022 installment of the Fortune/Deloitte CEO Survey finds that CEOs are ready for more growth amidst continued uncertainty. Maybe 2022 will be better? Last January, CEOs described 2021 as the year of hope. One year later and looking back on their lived experience,…

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Dr. David E. McClean

David is Founder and Principal of DMA Consulting Group, a financial services consultancy focusing on enterprise risk and regulatory compliance. He founded DMA in 1992. He is also a partner, Longship Alternative Asset Management. David has over thirty years of experience in financial services, which runs across the buy and sell sides of the industry:…

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Lance Klima

Lance Klima has spent over two decades working at the intersection of finance and sales – leveraging strong relationships that span private equity, Wall Street, and hedge funds alike and a deep knowledge of financial products to build entire departments from the ground up into multi-million dollar earners. He is currently Head of Business Development…

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Patrick Hannon

Patrick Hannon is a Managing Director at Trigon Investment Advisors where he is responsible for the strategic planning and implementation of all sales and marketing activities. Before joining Trigon in January of 2015, Mr. Hannon held a similar position at NuWave Investment Management, a New Jersey-based hedge fund that offers systematic cash equity & managed…

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Mithra Warrier

DEI Committee Chair Mithra Warrier joined TD Securities in November 2017 and is Managing Director, US Head of Prime Brokerage Sales. Her responsibilities cover the client facing activities of TD Prime Services, which include origination, client service, and capital introduction. Prior to joining TD, Mithra was at Barclays, where she held several roles in prime…

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Ashish K. Rout

Ashish is a corporate governance and global strategy advisory professional, currently serving as the Managing Director of Wall Street Board, a New York based corporate governance and management consulting company. Ashish has more than 15 years of extensive experience in the investment banking and management consulting industry, which includes strategic advisory services to executive management…

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James De Alto

Monthly Forum Committee James “Jim” De Alto is Managing Director and Head of Prime Brokerage and Correspondent Clearing Services at Mirae Asset Securities (USA). He is responsible for all aspects of client facing activities including new business, custody, clearing, securities financing and capital introduction. James is a highly respected industry veteran with more than 30…

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The New York Hedge Fund Roundtable — “Alternative” Alternatives

Arthena’s Founder and CEO, Madelaine D’Angelo, was invited to speak as a panelist at the The New York Hedge Fund Roundtable talk, “Alternative” Alternatives. Other panelists include Karen Boyer — President of Elements in Play, and Zack Henry — CEO of Baltoro Group. Elements in Play is an art advisory firm specializing in HNWI clients. Boyer discussed ways to approach…

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