Advising Family Office Clients/Recurring Legal and Business Issues: - PowerPoint PPT Presentation

Presenting a live 90-minute webinar with interactive Q&A Advising Family Office Clients/Recurring Legal and Business Issues: Investment Adviser Act and Broker-Dealer Compliance, Employment, Executive Compensation and Tax and ERISA Issues WEDNESDAY, APRIL 6, 2016 1pm Eastern | 12pm Central | 11am Mountain | 10am Pacific Today’s faculty features: Yehuda M. Braunstein, Partner, Sadis & Goldberg , New York Alex Gelinas, Partner, Sadis & Goldberg , New York Steven Huttler, Partner, Sadis & Goldberg , New York Daniel G. Viola, Partner, Sadis & Goldberg , New York Frank Viola, Esq., Counsel, O+D Builders , New York The audio portion of the conference may be accessed via the telephone or by using your computer's speakers. Please refer to the instructions emailed to registrants for additional information. If you have any questions, please contact Customer Service at 1-800-926-7926 ext. 10 .

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Advising Family Office Clients/Recurring Legal and Business Issues: Structure, Deal Structuring, Investment Advisers Act and Broker-Dealer Compliance, Tax and ERISA Issues April 6, 2016

6 Steven Huttler, Partner Sadis & Goldberg LLP Steven Huttler is a partner in the firm’s Financial Services and Corporate Groups. Mr. Huttler has extensive experience in corporate, finance, investment fund and securities matters, including the representation of U.S. and foreign investment funds, underwriters, and private clients in various registered public and private offerings of debt and equity securities totaling in excess of $10 billion. As part of his investment fund practice, Mr. Huttler has served as corporate counsel to many private investment funds and partnerships based in or domiciled in the United States and in international and offshore jurisdictions such as the Cayman Islands, Bermuda, the British Virgin Islands, Ireland, Luxembourg, Isle of Man, Jersey, Guernsey, Cyprus, Mauritius, United Kingdom, Austria, Russia, India and Gibraltar. Mr. Huttler's legal practice has exposed him to diverse fund clients with an exceptionally wide range of investment programs and structures, including large mutual funds and hedge fund complexes, private equity firms, real estate partnerships and funds, venture capital funds and funds focused on specialty finance assets. He has also counseled small start-up hedge funds and financial industry entrepreneurs. His practice has included structuring and establishing start-up funds and managed accounts, and structuring investment funds to benefit from U.S. double taxation treaties. He has advised management companies and fund managers on compensation structures, restructured and reorganized funds, structured, negotiated and documented fund trades, negotiated seed, joint venture and start up agreements, and advised on a range of sophisticated transactions. He has also represented financial services providers, such as brokerage firms (including proprietary trading broker-dealers), fund administration firms and third party marketing firms in structuring their operations, reorganizations to achieve tax benefits, advising on disputes with clients, and in the development of forms for their pension, investment, trading, administration and other services to investment funds, equity, debt and option traders and other clients.

7 Alex Gelinas, Partner Sadis & Goldberg LLP Alex Gelinas is a partner in the firm’s Tax Group. Mr. Gelinas focuses his practice on providing tax advice to investment managers of hedge funds, private equity funds and other investment funds on all aspects of their businesses, including management entity and fund formation, partnership taxation issues, compensation arrangements and ongoing investment activities and transactions. Mr. Gelinas also provides tax advice to U.S. pension funds, sovereign wealth funds and other U.S. and foreign institutional investors in connection with their investments in private equity funds, hedge funds and U.S. joint ventures. He also has extensive experience in providing tax planning advice to high- net-worth individuals and families.

8 Daniel G. Viola, Partner Sadis & Goldberg LLP Daniel G. Viola is the Head of the Regulatory and Compliance Group of Sadis & Goldberg LLP, a leading New York based law firm with a diverse practice, representing investment advisers, funds and broker-dealers. Mr. Viola structures and organizes broker-dealers, investment advisers, funds and regularly counsels investment professionals in connection with regulatory and corporate matters. Mr. Viola served as a Senior Compliance Examiner for the Northeast Regional Office of the SEC, where he worked from 1992 through 1996. During his tenure at the SEC, Mr. Viola worked on several compliance inspection projects and enforcement actions involving examinations of registered investment advisers, ensuring compliance with federal and state securities laws. Mr. Viola’s examination experience includes financial statement, performance advertising, and disclosure document reviews, as well as, analysis of investment adviser and hedge fund issues arising under ERISA and blue-sky laws.

9 Yehuda M. Braunstein, Partner Sadis & Goldberg LLP Yehuda M. Braunstein practices in the firm’s Financial Services and Corporate Groups. Mr. Braunstein’s practice focuses on investment funds, securities, regulatory compliance and investment advisers. He regularly structures and organizes hedge funds, private equity funds (including real estate, distressed and lending funds), funds of funds, separately managed accounts and hybrid funds. Additionally, he advises private fund managers on structure, compensation, employment and investor issues, and other matters relating to management companies. He also structures and negotiates seed investments and provides ongoing advice to investment advisers on securities law issues and regulatory matters.

10 Frank Viola, Counsel O + D Builders Currently serving as counsel for a growing Manhattan-based general contractor and construction manager, O + D Builders, Mr. Viola’s professional and academic career has been rich and varied. As a former member of two New York commodity futures exchanges, Mr. Viola developed a robust legal practice representing NYMEX members and member firms while simultaneously building a general practice law firm based in New Jersey with satellite office in New York’s financial district. Mr. Viola remains of counsel to his former law firm, Viola, Benedetti & Azzolini, LLC, which now continues providing legal services as Azzolini and Benedetti, LLC. After selling his interest in the law firm to his partners, Mr. Viola earned graduate degrees in American Studies and History and Culture from Columbia and Drew where he examined terrorism in an historical context. Mr. Viola’s award -winning doctoral dissertation investigated aspects of President Jimmy Carter’s nuclear weapons policy and executive decision making. In addition to these achievements, Mr. Viola, a member of the National Italian American Foundation, has kept watch over certain Viola Family Office investments and endeavors spanning maritime law, real estate, securities, commodities, technology, airlines, professional sports, and closely-held corporate structures. As a former Marine Corps Captain and advisor to the Combating Terrorism Center at West Point, Mr. Viola continues writing and exploring the intersection of military and civilian policy in contemporary affairs.