Global Finance Roundtable
March 9, 6:00 PM - 8:00 PM
Given that the regulatory systems are in flux and trust has been eroded through 4 years of ongoing scandals, what can a business person do to: ensure that their business and career stays clear of that moving gray line, spot & move beyond problems before they become career-killing and/or business disasters, and instill best practices that restore trust and survive regulatory changes? Prominent leaders from corporations, hedge funds, money managment/mutual funds, consulting and legal fields are the panelists for this discussion with plenty of time left for questions.Where:
450 North Cityfront Drive
Map on how to reach Gleacher Center
Business casual to business attire is appropriate. You do not need to be a GSB alum to attend plus guests are also welcome provided everyone registers their attendance in advance.
Maryann Waryjas is a partner with the Chicago law firm of Katten Muchin Zavis Rosenman (KMZR) where she practices in securities laws, corporate governance, mergers and acquisitions, private equity, and executive compensation matters. She advises companies and boards of directors regarding sensitive issues involving senior executives plus she has led a number of independent investigation teams. Prior to joining the Firm, Ms. Waryjas was a partner of Jenner & Block, Chicago, and the first woman partner at Kirkland & Ellis, Chicago. She received her B.S. degree, magna cum laude, from Loyola University and her J.D. degree, cum laude, in 1983 from Northwestern University Law School. Ms. Waryjas has represented Health Care Service Corporation (BlueCross BlueShield of Illinois and Texas) in a number of strategic initiatives and in the design and implementation of employment, separation and change of control agreements and incentive arrangements for members of senior management. She recently represented The Regence Group (BlueCross and/or BlueShield of Idaho, Oregon, Utah and Washington) in the design and implementation of new employment agreements and arrangements for all senior management. Ms. Waryjas has counseled Sara Lee Corporation regarding strategic corporate, securities and executive compensation related matters. She was also principal corporate and securities counsel to Gateway 2000, Inc. in the initial public offering of its common stock and designed and implemented Gateway’s equity compensation programs. Ms. Waryjas has represented General Dynamics Corporation in several of its divestitures, including the F-16 Division, the Electronics Division and the Electronics Manufacturing Center. She was authorized by General Dynamics to represent members of senior division management whose businesses were being divested in connection with the negotiation and documentation of their new employment agreements and incentive arrangements with the purchasers. Additionally, Ms. Waryjas has represented many venture capital funds and private equity funds of significant national reputation, including ABN AMRO Capital (USA) Inc., Brantley Capital Corporation, The Carlyle Group, Carlyle Management Group, First Chicago Venture Capital, Madison Dearborn Capital Partners and Mesirow Financial, in acquisitions, mergers, debt financings and equity investments. In connection with these representations, she has also represented the portfolio companies of these institutional investors in connection with employment agreements and incentive compensation and equity arrangements for senior management.
Ms. Waryjas is Immediate Past President and a member of the Board of Directors of the Chicago Finance Exchange, and was the first person to serve a second term as President. She is a member of the Business Law Committee of the American Bar Association, the American Society of Corporate Secretaries, The Economic Club of Chicago, The National Investor Relations Institute and the Association for Corporate Growth. Ms. Waryjas has also served as a member of the Board of Governors of The Mid-America Club.
In September 1997, Ms. Waryjas chaired the National Conference for Women in the Securities Industry. In 2001 Ms. Waryjas chaired the Practicing Law Institute Chicago Seminar on Drafting Corporate Agreements, the first woman to chair a PLI conference in the area of mergers and acquisitions. She has been a featured presenter at various national seminars and meetings: the 2000, 1999 and 1998 National Investor Relations Institute (NIRI) Annual Conferences, the 1998 NIRI Senior Business Roundtable and various NIRI Conferences on Regulation FD (Fair Disclosure), Issues in Financial Disclosures, and The Nuts and Bolts of Initial Public Offerings; Nasdaq Issuer Conferences for the Eastern, Midwest and Western Regions in each of the years 1996-2000; the 23rd and 24th Annual SEC Accounting Institutes; the 2000 and 1998 National Forums for Women Corporate Counsel; 1995 Tools for Executive Survival sponsored by The Nasdaq Stock Market and Stanford Law School; Practicing Law Institute Seminars on Private Transactions and Drafting Corporate Agreements for each of the years 1996-2000, including nationwide televised broadcasts; and the 1994, 1995, 1997, 1998 and 1999 Chicago Bar Association Annual Securities Law Seminars. She is a frequent chair and presenter at national conferences of significant reputation, including on behalf of the American Society of Corporate Secretaries, the Nasdaq Stock Market, the Practicing Law Institute, Glasser LegalWorks and the National Investor Relations Institute. Ms. Waryjas is also a guest lecturer at Northwestern University Law School.
Neeraj Baxi, CFA serves as a primary consultant and manages consulting assignments for several Ennis Knupp + Associates’ retainer and project clients. Ennis Knupp + Associates is an independent research firm providing investment consulting services to institutional clients. Neeraj is also a member of the firm's transitions, custody, and indexing research group. His recent activities include: conducting a complete investment program review for a corporate pension plan and an endowment fund; coordinating and overseeing the restructuring of assets for several clients, including advice on hedging strategies; assisting clients with custodian searches; conducting numerous index fund manager searches; and publishing research papers on soft dollars and securities lending. Prior to joining Ennis Knupp in 2000, Neeraj was a relationship manager at Rabo India Finance Pvt. Ltd. He was also a deputy manager at the Industrial Credit and Investment Corporation of India Ltd. for three years. Neeraj holds a Bachelors of Commerce degree in finance from the Sydenham College of Commerce and Economics, an M.B.A. degree from the Indian Institute of Management and an M.S. degree from the Center for Law and Financial Markets, Illinois Institute of Technology. Neeraj is also a CFA charterholder and a member of AIMR and the Investment Analyst Society of Chicago.
Jay C. Flaherty, CFA, manages consulting assignments for several Ennis Knupp + Associates’ retainer and project clients. Ennis Knupp + Associates is an independent research firm providing investment consulting services to institutional clients. Jay actively participates in the firm’s global equity research efforts. His recent activities include: analyzing developments, preparing recommendations, and drafting communications in response to regulatory investigations of the mutual fund industry; attribution analysis of U.S. and non-U.S. equity manager performance for large plan sponsor clients; and development of quantitative tools including manager structuring and performance attribution applications. Prior to joining Ennis Knupp in 2003, Jay served as an investment analysis manager for Richards & Tierney. He earned a B.A. degree in math from St. Mary’s University and holds an M.B.A. degree from the University of Chicago. Jay is also a CFA charterholder and a member of AIMR and the IASC.
Jonathan D. Vanderveen, CPA, CFE is a partner in the Forensic Investigations Practice in the Chicago office of Deloitte & Touche. He specializes in providing forensic accounting services to clients experiencing issues such as accounting irregularities, embezzlement, kickback schemes, phony vendor schemes, etc. Jonathan also provides pre-acquisition forensic due diligence, post-acquisition arbitration services, and consultative and expert witness services to clients involved in litigation and other business disputes. He has consulted to special committees of public companies on numerous occasions surrounding the accounting practices of those companies. Jonathan's investigations have, in some instances, resulted in financial statement restatements securities litigation matters, SEC or other regulatory actions, and DOJ actions. Prior to joining Deloitte, Jonathan was an auditor for another national accounting firm and in various financial reporting positions for a public company in the software industry.