Best Execution is NOT all about the numbers. What are the key qualitative drivers of a Best Execution Analysis? Tools for legal, compliance, risk and trading professionals in building best execution policies and procedures. Listen in sell-side, this is the barometer by which you may be judged!
Join Bloomberg experts and a special guest speaker as they discuss the challenges and the opportunities facing firms. Attendees will receive actionable insights that will help them tackle onboarding and KYC challenges and beyond.
A series of webinars focused on addressing the pain points of managing and securing entity data originating from the KYC process followed by actionable insights.
Joseph McGill is responsible for all of Lord Abbett's compliance advice, monitoring, and testing in accordance with relevant U.S. federal and state regulatory agencies. Mr. McGill joined Lord Abbett in 2014 as the Chief Compliance Officer, and was named Partner in 2015. Prior to joining the firm, he was Managing Director and Chief Compliance Officer at UBS Global Asset Management; Vice President and Assistant General Counsel at J.P. Morgan Fleming Asset Management; Vice President at Goldman Sachs Asset Management; Vice President, Chief Compliance Officer and Counsel at J. & W. Seligman & Co. Incorporated; and Assistant General Counsel at Prudential Securities Incorporated. He started his career in the financial services industry in 1986. Mr. McGill is a speaker and presenter at various compliance forums, including the Securities and Exchange Commission's (SEC) Outreach Program. Mr. McGill established the Investment Management Regulatory Group, and he also actively participates on several boards and committees, including the Board of Directors National Society of Compliance Professionals (NSCP); Investment Adviser Committee; Investment Company Institute Compliance Committee; and the Investment Adviser Institute Compliance Committee. Mr. McGill earned a BA from Manhattan College and a JD from New York Law School.
Michael has more than 25 years of experience providing securities regulatory and transactional legal advice to a broad spectrum of financial services industry participants, including investment advisers, private investment funds, broker-dealers, registered investment companies, and others. His practice focuses principally on: investment advisers (including registration, disclosure, and trading issues); the formation of and ongoing regulation of private investment funds (such as hedge funds, private equity funds, and venture capital funds); advising broker-dealers with respect to soft dollar arrangements; and advising financial services industry participants and operating companies with respect to investment company, investment adviser, and broker-dealer "status" issues. Michael's investment management work includes advising registered and unregistered investment advisers concerning: SEC registration and exemptions (including issues under Dodd-Frank and Form ADV disclosure); compliance matters such as best execution and soft dollars, trading issues (e.g., principal transactions, trade allocations, trade sequencing, and directed brokerage), insider trading, conflicts of interest, custody arrangements, performance advertising, and valuation; SEC examinations; and annual compliance reviews. He also advises with respect to the organization of investment advisers (including joint ventures) and purchases and sales of investment advisers, including the relevant assignment and consent/proxy issues. Michael works with clients on all legal and regulatory aspects of private investment fund formation, marketing, and operation. He has worked on a broad variety of structures, investment objectives, and strategies, including master-feeder and parallel funds, funds of funds, long/short, arbitrage, leveraged buyout, real estate, global, opportunity, and distressed debt, as well as sectors (e.g., technology) and countries (e.g., emerging markets, Brazil, China, and India). Michael advises on all aspects of securities law compliance, including laws relating to the offering and transfer of interests in funds, and portfolio transactions. He has guided fund clients with respect to issues relating to portfolio liquidity including the implementation of side pockets, gates, and SPVs. Michael's work with broker-dealers includes advice concerning the structuring of soft dollar and other brokerage arrangements, Section 28(e) compliance, CSAs, capital introduction programs, and "hedge fund hotels." Michael provides advice on investment company "status" issues for all types of entities, including operating companies, private investment funds, securitization vehicles, finance subsidiaries, employee benefit plans, non-U.S. banks and insurance companies, and real estate investment vehicles. He also provides "status" guidance for clients seeking to determine if their activities require registration as investment advisers and/or broker-dealers. Michael also advises service providers to investment advisers and private investment funds (e.g., concerning hedge fund platforms, securities lending programs, commitment and redemption financing programs, and potential related liabilities). Michael also has provided organizational and ongoing advice to registered investment companies and business development companies, their boards of directors, and their service providers. He has written and spoken extensively on financial services industry topics.