A New Era for Cybersecurity in Financial Services
Is your Firm Ready?
The Securities and Exchange Commission’s (SEC) formation of the Cyber and Emerging Technologies Unit (CETU) signals a heightened regulatory focus on cyber-related misconduct, fraud, and compliance. As digital threats evolve, financial services firms—especially in the alternative investment space—must be prepared for increased scrutiny and enforcement.
At Align Managed Services, we recognize that navigating these regulatory shifts requires more than just best-in-class security solutions—it demands industry-wide collaboration. That’s why we’ve partnered with some of the alternative space’s greatest resources to share their perspectives in our latest Align Insights article. From legal experts and cybersecurity leaders to industry veterans, top executives, and key stakeholders in the alternative investment space, we’ve gathered diverse insights on how firms can proactively fortify their security posture while driving innovation in an increasingly complex regulatory landscape. With the SEC prioritizing issues like AI-driven fraud, hacking, and cybersecurity compliance, staying ahead of these challenges is critical. Organizations can meet this challenge by investing in the right processes, people, tools, and technology, ensuring they stay ahead of regulatory expectations while strengthening market integrity and investor confidence.
In our latest Align Insights article, we’ve gathered perspectives from top industry leaders who share their expert take on how these regulatory changes will shape the future of cybersecurity and alternative investments. Read on for their insights.
Vinod Paul
President, Align Managed Services
Insights into the Announcement of the Cyber and Emerging Technologies Unit by the SEC
Alex Bazay, Chief Information Security Officer, Align Managed Services
A significant step toward enhancing risk oversight in cyberspace has been taken with the announcement by the SEC of the creation of the Cyber and Emerging Technologies Unit (CETU). This new entity will replace the existing Crypto Assets and Cyber Unit created by the previous SEC Chairman Gary Gensler.
The former Crypto Assets and Cyber Unit had already established a cybersecurity enforcement foundation, but its scope was primarily focused on crypto-related misconduct. Also, the earlier SEC actions, such as 2023 cybersecurity guidance for public companies and enforcement against weak cyber disclosures, were more reactive in nature. The hope is that with the creation of a new unit, the regulator will adopt a more proactive and balanced approach to cyber risk, integrating the lessons learned from the past.
The newly created unit will have a broader mandate, shifting its primary focus from cryptocurrency to a wider technology landscape and specifically on emerging technologies like artificial intelligence, machine learning, and blockchain. Additional areas of interest for the CETU include the use of social media, the dark web, hacking, and takeovers of retail brokerage accounts. For the investment community, the specific interest will be the new unit’s focus on the “regulated entities’ compliance with cybersecurity rules and regulations” and “fraudulent disclosure relating to cybersecurity.”
In summarizing the implications of this news for financial institutions, it appears that regulatory scrutiny and oversight will only increase rather than decrease. Practically speaking, investment firms of all sizes should anticipate a rise in enforcement actions and stricter compliance requirements. This only highlights the necessity of adopting strong risk management and cybersecurity as well as adequate technology controls.
Gary Berger, Partner and Financial Services Industry Leader, Northeast, CohnReznick
The SEC's Cyber and Emerging Technologies Unit (CETU) could offer substantial benefits to the financial services community. By protecting investors from cyber-related misconduct, the CETU enhances trust and confidence in the market. Ensuring a safer investment environment will facilitate additional capital formation and attract more investors. Efforts to combat fraud and misuse of emerging technologies should contribute to overall market efficiency, promoting fair and transparent financial practices. These measures collectively support a robust and resilient financial ecosystem, benefiting all stakeholders.
Jeff Boyd, CEO, Northern Trust Hedge Fund Services, North America
The SEC’s Cyber and Emerging Technologies Unit will serve an important role in protecting investors as financial markets continue to innovate and integrate AI, blockchain and other evolving capabilities. For Alternatives Asset Managers trading across Private and Public markets, this development presents both challenges and opportunities. Firms must ensure they remain compliant with evolving cybersecurity regulations, particularly as the SEC increases scrutiny on third-party vendor security and incident response protocols. However, this heightened regulatory focus presents an opportunity for firms to differentiate themselves by demonstrating market leading cybersecurity practices. Best practices in this evolving landscape include conducting regular cybersecurity assessments, implementing multi-layered security controls, and fostering a culture of cyber awareness across all levels of an organization.
As a middle office and fund administration provider to some of the most sophisticated global Alts Managers, there is nothing more important to us, our clients, their investors, and our entire community of stakeholders as the need to manage against cyber and data risk. Effective data management and operational processes such as real time trade matching, digitally enforced cash management processes, and independent trade reconciliation, are essential for Alternative Asset Managers and their investors to maintain security, efficiency, compliance and operational resilience at scale.
Jacob Cane, Managing Director, Head of Cybersecurity Risk Services, Salus GRC
The newly announced Cyber and Emerging Technologies Unit (CETU) is expected to have a significant impact on investment managers. The key takeaway is a continued shift toward a more structured crypto regulatory environment, aimed at promoting capital formation through clearer rules and increased confidence in digital assets and emerging technologies.
CETU’s mandate also carries significant implications for traditional investment managers. Among its seven listed priorities are combating “[h]acking to obtain material nonpublic information” and ensuring “[r]egulated entities’ compliance with cybersecurity rules and regulations.” These priorities underscore the administration’s commitment to strengthening cybersecurity—both in mitigating real-world risks and ensuring compliance among registered investment advisors (RIAs).
Perhaps the most promising yet uncertain impact of CETU for traditional managers is the potential for greater regulatory clarity around cybersecurity. CETU reinforces the administration’s stance that regulatory uncertainty hinders market confidence in crypto growth and aims to provide clearer guidelines as a business-friendly measure. Similarly, cybersecurity regulations remain evolving, and many managers and investors welcome increased clarity. If CETU views regulatory clarity as essential to fostering capital formation in crypto, it may take a similar approach to broader cybersecurity regulations.
Ryan Castle, Founder & CEO, Conduit Security
It is great to see the SEC deploying resources to protect these emerging technologies. While there is a huge opportunity for asset managers in these spaces, there is an even larger opportunity for criminals. Not only can criminals defraud investors and managers, their activity erodes trust in these newer markets.
As always, a challenge for managers will be compliance with regulations, both existing and proposed. Given CETU's mission, I suspect there will be additional emphasis on reporting of cybersecurity events. To effectively deploy resources, the SEC will require accurate and timely reporting of events. However, this puts a burden on managers. Of note, wire fraud and social engineering losses are not generally reported today but will likely be of interest to CETU's mission.
For all organizations, it's going to be critical to have technical controls to enforce any policies, especially around cybersecurity. For every policy and procedure, especially around cash controls, is your organization able to prove the policy was followed? Is there a control in place that prevents human error or missteps if it's not?
John Coursen, Founding Partner & Chief Information Security Officer, Fortify Cyber
As a cybersecurity advisor in the Alternative Investment space, I view the SEC’s Cyber and Emerging Technologies Unit (“CETU”), announced February 20, 2025, as a defining moment. For firms using AI, blockchain, and/or proprietary data (i.e. everyone) the challenge is clear: expect to see intensified focus on cyber risks.
The newer risks from threat actors leveraging AI to attack faster, more effectively, and with more stealth, not only require sound policies, but also sound practice with rock-solid defenses for protecting client assets.
Best practices are now table stakes. We believe good cybersecurity drives good compliance. Firms will need to stress-test security with real breach scenarios as well as leverage the good AI tools to fight the bad AI targeting them. They must patch vulnerabilities faster than ever before and keep incident response and breach notification plans sharp. This new “normal” will ensure firms align with CETU’s expectations, turning compliance into a byproduct of strong cyber habits.
Looking ahead, the SEC’s CETU has the opportunity to reshape the approach to data protection in financial services. We’re very early days here, but we hope it points to a future where cybersecurity is as vital as alpha generation. Firms that embed resilience through advanced threat detection, response, remediation, and regulatory alignment will not only meet CETU’s standards, but transform scrutiny into strength. After all isn’t that what it’s all about?
Keith R. Diamond, Managing Partner, TrustServe LP
The establishment of the Cyber and Emerging Technology Unit (CETU) is a positive step forward, especially given the rapid expansion of less-regulated financial products, the rise of emerging technologies, and the increasing prevalence of cybercrime, phishing, and other technology-driven threats in the financial sector.
While this new unit has the potential to drive meaningful improvements, investment advisers and investors should remain vigilant and committed to best practices for protecting sensitive data and operations. For investment advisers, this means implementing robust security frameworks, adopting a zero-trust approach, deploying secure cloud-native solutions with continuous monitoring, and conducting independent audits to validate security measures. Additionally, using Multi-Factor Authentication (MFA) and traditional verification methods, such as callback procedures, can provide essential safeguards against cyber threats.
Given the ever-evolving nature of cyber risks, organizations should also engage trusted cybersecurity experts, like Align, to continuously assess and enhance their security posture.
Ed Fasano, Co-Founder, EAC LLC
The introduction of the Cyber and Emerging Technologies Unit (CETU) presents both challenges and opportunities for managers in the alternative investment space.
The challenges include the costs and expertise needed for the new requirements to ensure that managers are in compliance with the new regulations. Many of the managers that we work with utilize outsourced compliance and technology providers, and we anticipate new costs and requirements with this new regime. The increase in compliance and technology costs could impact profitability and investor sentiment in a tough capital raising environment. Cybersecurity, compliance, and operational workflow are and will always be key aspects of the Institutional infrastructure that we set up at EAC, and that will not change with this new development.
While there are challenges, there are also opportunities with the CETU. We anticipate changes in the due diligence process and the questions that investors are asking managers in how they utilize cyber and fin-tech in their strategies. These new questions are likely to bring innovation into the discussions that investors and managers are having with one another, and internally. At EAC we will be here to advise our clients on how to best set themselves up for the new regulatory environment brought on by the CETU. We will work with our partners in the industry, like Align, and our other compliance partners on how best to handle this new environment, from a cost, efficiency, and best practice standpoint.
Ronan Guilfoyle, Co-Founder, Calderwood
It is not really a great surprise that the new administration at the SEC is squarely focused on protecting retail investors in the crypto space. There have been significant industry discussions recently regarding a likely shift in priorities towards uncovering fraud and there has been no slowdown in the number of bad actors looking to take advantage of retail investors through scams using social media and other emerging technologies. It also follows a similar announcement from the CFTC targeting frauds that exploit retail market participants.
From an alternative investment fund perspective, crypto asset regulation is an area that demands fiduciary attention, especially amid uncertainty still surrounding the jurisdiction of regulators and where digital assets may be deemed a security. Clearly there will be further developments to come, but one area where I expect to see more clarity is guidance on how industry participants can comply with the various rules, which from my discussions is something that would be very welcome.
Mohammad Hayat, Partner, Asset Management, Grant Thornton
The launch of SEC’s Cyber and Emerging Technologies Unit (CETU) represents a significant step in addressing the evolving landscape of cybercrime and emerging technologies like AI, blockchain, and crypto assets. I believe a key challenge for CETU will be ensuring that enforcement doesn’t suppress technological innovation, especially in fintech and crypto, where retail investor participation is growing. Given emerging tech is a double-edged sword (e.g. AI can enhance both fraud detection and deepfake attacks), CETU’s success will depend on its ability to strike a balance between enforcement and innovation. On a positive note, CETU’s creation allows for partnerships with fintech firms, cybersecurity experts and other service providers, leveraging their expertise to refine regulatory approaches to bring more certainty to the crypto capital markets.
From a global perspective, SEC’s initiatives generally have a ripple effect across other financial jurisdictions and CETU’s focus on cybersecurity and crypto could inspire regulators in other parts of the world to implement similar measures.
As an auditor in the financial services sector, I recommend all industry participants to adopt comprehensive cybersecurity policies, aligned with standards like NIST or ISO 27001, which provide a strong foundation for technological innovation. Another way organizations can position themselves for success is by engaging quality service providers, especially cybersecurity experts.
Taylor Ingraham, Partner, ASC Advisors
As adoption of A.I. and other emerging technologies continues to expand across the alternative investing universe, it is critical that managers remain aware of how their firm is portrayed in the public sphere and to be prepared to respond quickly in case of any imposter or fraudulent activity. The formation of the CETU brings further light to many of the security issues managers and investors are facing and should be paying close attention to, including in crypto, as the market and use of these technologies continues to rapidly shift and evolve. As communications advisors working exclusively in the alternative investment space, we engage closely with managers around preparing for, including conducting audits, developing and executing response strategies to help mitigate reputation and business risk associated with inaccurate, misleading or fraudulent information being disseminated to LPs, prospects, regulators or other key third parties. Having a current grasp over your public profile, cyber security systems in place and an understanding of how technology solutions interact across platforms are critical first steps that allow managers to communicate accurately and effectively with LPs and regulators if a breach or other situation does arise.
Robert Johnston, CEO, Adlumin (Acquired by N-able)
The Securities and Exchange Commission’s (SEC) Cyber and Emerging Technologies Unit (CETU) represents a significant regulatory advancement aimed at addressing the increasing complexity and risks associated with emerging technologies in the alternative investment industry. By broadening its focus beyond cryptocurrencies to include artificial intelligence (AI), blockchain, social media fraud, and cybersecurity compliance, the CETU is poised to reshape the landscape of alternative investments.
Challenges and Opportunities for the Alternative Investment Space
The CETU introduces both challenges and opportunities for the alternative investment industry. Among the key challenges is the heightened regulatory scrutiny that fund managers, private equity firms, and hedge funds must now navigate. Given that alternative investment strategies often incorporate AI-driven algorithms, machine learning models, and blockchain-based assets, firms must ensure their technology usage aligns with SEC compliance standards. Additionally, cybersecurity risks—such as hacking incidents targeting material nonpublic information or unauthorized takeovers of brokerage accounts—pose a growing threat to firms and investors alike.
On the other hand, CETU’s establishment also presents opportunities for firms that prioritize regulatory compliance and robust cybersecurity measures. Investors are increasingly concerned about digital security, and firms that proactively address these risks can differentiate themselves in the market. Furthermore, CETU’s mandate to foster innovation rather than stifle it suggests that firms engaging with emerging technologies responsibly can gain regulatory clarity and potential SEC support for innovative investment structures.
Best Practices for Cybersecurity, Compliance, and Data Protection
In light of the CETU’s focus areas, alternative investment firms should adopt best practices to ensure compliance and data security. Key recommendations include:
Enhanced AI and Algorithmic Transparency – Firms leveraging AI for trading, risk analysis, or investment decision-making should document their models’ decision-making processes and establish mechanisms for detecting biases, ensuring compliance with SEC fraud prevention guidelines.Social Media and Dark Web Monitoring – Given the SEC’s concern over misinformation and fraud via social media and false websites, firms should implement tools to monitor online narratives about their investments and promptly address any fraudulent claims.
Cybersecurity Risk Assessments – Regular penetration testing, vulnerability assessments, and employee training programs can help mitigate risks related to hacking, phishing attacks, and unauthorized account takeovers.
Blockchain and Crypto Compliance Frameworks – Firms engaged with digital assets should establish clear regulatory compliance procedures, including Know Your Customer (KYC) and Anti-Money Laundering (AML) protocols, in alignment with evolving SEC expectations.
Regulatory Reporting and Disclosure Standards – Public issuers and alternative investment funds should enhance their cybersecurity disclosure practices, ensuring transparency about potential cyber risks and incidents.
Future Impact of the CETU on Alternative Investments
Looking ahead, the CETU is expected to drive increased regulatory enforcement actions, particularly in AI-driven fraud, crypto asset compliance, and cyber-related disclosures. As AI-generated misinformation becomes more sophisticated, firms will need to implement advanced verification methods to distinguish reliable data from fraudulent information. Additionally, the unit’s focus on fostering innovation suggests that regulatory clarity may lead to the development of more secure and compliant investment products leveraging AI and blockchain.
Ultimately, the CETU’s role in shaping the alternative investment landscape will depend on firms’ ability to integrate strong cybersecurity and compliance frameworks while embracing technological advancements responsibly. Those that do will not only meet regulatory expectations but also position themselves as trusted players in an evolving digital investment ecosystem.
James Mignacca, CEO, Cavelo
The SEC’s newly announced Cyber and Emerging Technologies Unit marks a significant shift in regulatory oversight for financial institutions. This initiative impacts the entire investment sector, from small funds to large firms, reinforcing that cybersecurity is no longer optional—it’s a necessity. However, despite the latest amendments, key areas remain unclear, leaving firms uncertain about specific compliance requirements. From a best practices standpoint, understanding data hygiene—where data resides, who has access to it, and how it’s managed—is critical to meeting compliance standards. To stay ahead, alternative investment firms should adopt proactive cybersecurity measures, such as continuous data discovery, real-time risk assessment, and robust incident response protocols. Automation and AI-driven tools can also help streamline compliance efforts and mitigate risks associated with third-party exposure. Looking ahead, we anticipate the SEC will intensify audits to verify adherence to cybersecurity frameworks, likely focusing on best-effort compliance rather than rigid enforcement. Ultimately, firms that have not yet strengthened their cybersecurity posture will have no choice but to do so—an outcome that benefits the entire financial ecosystem. As data hygiene takes center stage, firms will need to rethink data retention policies, liability exposure, and breach response planning to align with evolving regulatory expectations.
Frank Napolitani, Managing Partner, Cartesian FinOp Partners
The SEC’s creation of the Cyber and Emerging Technologies Unit (CETU) marks a significant shift in regulatory oversight, as it will focus on combating cyber-related misconduct and ensuring compliance with evolving cybersecurity regulations. For registered fund managers, this development underscores the need to prioritize robust cybersecurity measures and transparent disclosures to mitigate risks and avoid penalties.
As a provider of outsourced accounting/finance and investment operations services to alternative investment funds, we see this as an opportunity for these funds to strengthen their operational resilience. By outsourcing critical back-office functions, such as financial reporting and compliance monitoring, fund managers can ensure that their operations align with regulatory expectations while focusing on core investment strategies. Additionally, leveraging outsourced expertise can help funds implement advanced cybersecurity protocols efficiently, reducing both financial and reputational risks.
The CETU’s emphasis on areas like AI fraud, blockchain misuse, and cybersecurity compliance highlights the importance of integrating technology-driven solutions into fund operations. Partnering with specialized providers ensures that alternative investment fund managers remain agile in adapting to these regulatory changes while maintaining investor confidence.
Chris Zadrima, Chief Operating Officer, Align
The SEC's reorganization and replacement of the Crypto Assets and Cyber Unit into the Cyber and Emerging Technologies Unit (CETU) signify the SEC's movement away from treating digital assets as securities and more towards protecting retail investors from cyber and technology-related misconduct in areas such as AI fraud, blockchain misuse, and cybersecurity compliance.
While this new department within the SEC appears to focus more on protecting retail investors from fraud rather than enforcing guidance or policies in the alternative investment industry, it reiterates the increasing importance of having robust cybersecurity controls and policies to safeguard organizations against the evolving technology threat landscape. The heightened regulatory focus on cybersecurity will remain crucial as it requires firms to implement tight cybersecurity controls and provide cybersecurity education and training to their employees. This ensures that firms are prepared to handle cyber threats and maintain compliance with regulatory standards.
Serving as a key service provider, Align Managed Services partners with our clients to address these challenges by going beyond mere compliance. We focus on integrating robust technology and cybersecurity frameworks that mitigate the risk of fraud, hacking, and other malicious activities. Our clients must make substantial investments in their security infrastructure, and we work alongside them to ensure their teams are equipped with the expertise needed to tackle evolving threats.
Ultimately, the SEC’s new unit serves as a reminder that innovation must go hand-in-hand with responsibility. The financial services industry must be prepared to adapt and ensure that new technologies are harnessed safely to protect investors and maintain trust.
About the Contributors:
Alex Bazay brings over 20+ years of experience in the information technology industry and expertise in cybersecurity, IT, compliance, business continuity, and disaster recovery to his role as Chief Information Security Officer. Alex brings tremendous technological leadership and security expertise to the company. Before joining Align, Alex was Chief Technology Officer and Chief Information Security Officer at Gruss Capital Management, a boutique global financial company. He was responsible for all day-to-day operations and strategic planning relating to information technology, business continuity, and cybersecurity. Before that, Alex held various consulting positions during which he advised clients in cybersecurity defense, operational strategies/executions, and overall IT strategies/executions. Alex currently serves as a Board Member of the ISACA NY Metro Chapter, Governing Body Member of the Evanta NYC Executive CIO Community, and a Member of the Vation Ventures New York Innovation Advisory Council. He also sits on numerous other advisory boards and holds several industry certifications, including the Certified Information Systems Security Professional (CISSP), Certified Information Systems Auditor (CISA), Certified Chief Information Security Officer (C|CISO), Certified Data Privacy Solutions Engineer (CDPSE). |
Gary Berger - Partner and Financial Services Industry Leader, Northeast, CohnReznick Gary Berger is an audit partner at CohnReznick LLP and serves as the Northeast Financial Services Industry Leader. Based in the Firm’s New York office, he is extensively involved in the Firm’s Financial Services practice and has more than 30 years of experience serving domestic and offshore hedge funds, private equity funds, venture capital funds, and fund of funds. Gary provides advice on fund start up issues including organizational structure, economic and tax issues, seeding arrangements, and general business consultation. He serves as a relationship manager on numerous clients and is responsible for coordinating, managing and performing audit services of funds. Gary is a frequent speaker at financial services conferences and seminars. He has presented on numerous industry topics including, how to launch a hedge fund, valuation and fair value of investment portfolios, organizational and tax issues associated with investment partnerships, opportunity zones, and accounting and technical issues for investment partnerships. Prior to joining CohnReznick, Gary headed up the hedge fund practices nationally for KPMG and Rothstein Kass. |
Jeff is Chief Executive Officer of Northern Trust Hedge Fund Services (NTHFS) North America. He is responsible for elevating Northern Trust’s profile in the hedge fund administration market driven by market-leading technology underlying an integrated back and middle office operating model and subject matter expertise in servicing hedge fund clients with complex strategies and products – with Northern Trust’s global scale, asset and custody servicing capabilities, and reputation. Jeff has been the Chief Executive Officer of Northern Trust Hedge Fund Services (NTHFS) North America since 2018. Jeff joined Northern Trust in 2011 when they acquired Citadel’s administration business, formerly known as Omnium. Prior to his current role, he had served as Chief Operating Officer of NTHFS. Prior to the acquisition of Omnium, Jeff served on Omnium’s executive management team for 2 years in a dual capacity as Global Head of Finance and Head of Financial Control and Investor Services. Prior to Omnium, Jeff was Executive Director of Finance at Citadel where he was responsible for Finance and Accounting, Accounting Policy, Financial Planning and Analysis, Valuation and Product Control. Prior to Citadel, Jeff was Chief Financial Officer North America of beTRUSTed, a privately held global provider of security, identity management and trust service solutions. Jeff began his career at PricewaterhouseCoopers in their New York office where he was a Director in the Financial Risk Management Consulting Practice and prior to that a Senior Manager in the Banking and Capital Markets Assurance Practice. |
Jacob has over 25 years of experience providing cybersecurity and IT services. Jacob was the co-founder and CEO of |
Ryan Castle is a cybersecurity expert with over 20 years of private sector and government experience. Ryan is currently Founder and CEO of Conduit Security, a software solution that provides businesses with security practices to keep electronic transfers secure. Conduit's software has protected billions of dollars in payments and prevented millions of losses. Prior to Conduit, Ryan was an FBI Special Agent in New York City where he worked complex, criminal computer intrusion cases. |
John Coursen is currently Founding Partner/CISO at Fortify Cyber. John has 15 years of experience in hedge fund technology/security and is responsible for Security Strategy for many small to large Hedge Fund, Private Equity, and Family Office clients. Prior to founding Fortify Cyber in 2014, John was a Co-Founder of a hedge fund focused Technology Managed Services Provider. John also Co-Founded a Behavior Change Security Awareness company backed by BAE Systems Applied Intelligence Group. John started his career as a Systems Analyst at Plainfield Asset Management. John has a B.A. in Business Administration from Quinnipiac University where he currently serves on the board of the University’s Cybersecurity Master program. |
Keith R. Diamond is a Managing Partner of TrustServe and a member of the firm’s management committee. With over 25 years of financial services and technology experience, Keith works with clients across the globe including investment advisers, private equity funds, real estate funds, hedge funds, and family offices. Keith leads the Investor Services and Treasury departments, and oversees technology initiatives related to software development, system selection, business continuity, and security. Keith has worked in the alternative investment industry since 2003. Prior to TrustServe, Keith served as Senior Vice President at SS&C ALPS as a leader of its Investor Services, Treasury and Technology groups. He also previously worked for KPMG Consulting, helping large asset managers in New York and London implement strategic business and technology solutions. Keith earned his bachelor’s degree in Quantitative Economics from Tufts University and his master’s degree in Finance from NYU Stern. He also received a certification from the Association of Anti-Money Laundering Specialists. |
Ed Fasano has 25 years of experience as an investment adviser COO, CFO, CCO, Treasurer, and Head of Investor Relations. His role at EAC includes heading up the firms Pre-Launch and Treasury consulting services as well as leading EAC's global sales and marketing efforts. Prior to founding EAC, Mr. Fasano launched the advisory offering at Titan Regulation. Before Titan, Mr. Fasano launched SAYA Management LP, serving as COO, CFO and CCO; responsible for all finance and accounting matters in addition to compliance, investor relations and personnel matters. Before starting SAYA, Mr. Fasano was with Seawolf Capital, where he was responsible for the Firm's launch and later served as the Firm's COO, CFO and CCO. Prior to Seawolf, Mr. Fasano lead Treasury and Operations functions at FrontPoint Partners; and spearheaded portfolio finance for DKR Capital. Earlier in his career, Mr. Fasano held operational and finance roles at Tiger Management and Paloma Partners. Moreover, he had a key role in establishing and operating the stock loan finance broker-dealer at Citadel Investment Group and managing its relationships with stock loan counterparties. |
Ronan has been a director on investment funds in the Cayman Islands for over 18 years and has worked with many of the world’s most successful managers. He is an active participant in industry regulatory consultations and a frequent speaker at hedge fund events and forums. Before founding Calderwood, Ronan was a Managing Director at DMS Governance, with responsibility for the strategic development of the firm. Prior to that, he was a Group Manager at Admiral Administration, an independent fund administration firm in the Cayman Islands. Ronan began his career with Ernst & Young, Ireland where he was responsible for supervising audit teams on large global audits. He is a Chartered Accountant and holds a Bachelor of Science degree in Accounting from University College Cork, Ireland. |
Mohammad is a Partner on Grant Thornton (Cayman) LLP’s Asset Management team in the Cayman Islands. He is responsible for the delivery of audit and other assurance services to clients in the financial services sector. In 2008, Mohammad joined a top international accounting firm in Karachi, Pakistan and has worked in Saudi Arabia and Dallas, serving the asset management and banking industries. In 2023, he was appointed Partner at Grant Thornton (Cayman) LLP. Mohammad has provided assurance and third-party service provider attest services to international and regional financial services institutions, including asset management firms, hedge funds, private equity funds, registered investment companies, and banks. These entities reported under International Financial Reporting Standards or US Generally Accepted Accounting Principles. |
Taylor has worked directly with alternative investment managers for more than15 years. He advises and executes strategic communications programs comprising messaging and brand building, media relations, crisis communications and special situations, including M&A and shareholder engagement. With a background in special situations, Taylor often works closely with private equity clients around portfolio company developments and hedge fund clients around shareholder activism campaigns. Prior to joining ASC in 2014, he spent nearly six years at Joele Frank, a leading corporate communications agency, working with both corporate and private equity clients on M&A support, proxy fight defense, bankruptcy proceedings, management changes and other special situations. While there, he advised on more than 100 transactions as well as dozens of proxy fight defense campaigns across a wide range of industries.Click Here to Learn More. |
Robert Johnston is the Cofounder and CEO of Adlumin Inc, the security operations command center that simplifies complexity and keeps organizations of all sizes secure. Before founding Adlumin, Johnston worked in the private sector as a principal consultant at CrowdStrike, Inc. He is an expert at conducting counter espionage engagements against nation-state, criminal, and hacktivist organizations across a variety of industries and sectors. Most notably, Johnston led the investigation into the Russian Foreign Intelligence Services breach of the Democratic National Committee in 2016. |
James Mignacca, CEO, Cavelo As CEO of Cavelo, James helps businesses proactively reduce cybersecurity data risk and achieve compliance with automated data discovery, classification and reporting. Cavelo's cloud compatible data risk management platform continuously scans, identifies and classifies sensitive data across machines, servers and cloud applications, simplifying compliance reporting and risk remediation. |
Frank Napolitani, Managing Partner, Cartesian FinOp Partners Frank Napolitani has enjoyed a successful 27-year career in financial services and is currently a Co-Founder and Managing Partner of Cartesian FinOp Partners with offices in Connecticut and London which provides accounting/finance and investment operations services to family offices, alternative investment funds and portfolio companies. In addition to his role at Cartesian, Frank is an Operating Partner and Member of the Investment Committee at The Binnacle Group, a single family office, since late 2023. Since 2005, Frank has held senior business development and consulting roles servicing alternative investment funds in prime brokerage, accounting, outsourced CFO/Operations and legal with Concept Capital Markets (now Marex), EisnerAmper, Constellation Advisers (now IQ-EQ) and Seward & Kissel LLP. This broad base of experience allow Frank to have a deep understanding of all operations of a firm, not just a particular vertical and has proven to be a value-added asset for his clients over the years. |
With over 20 years of extensive experience in financial services and technology, Vinod Paul serves in the role of President, Align Managed Services. As President, Vinod is responsible for spearheading the strategic development of Align's Managed Services offerings, including overseeing Align Cybersecurity™, a comprehensive solution for cybersecurity risk management. Additionally, Vinod plays a pivotal role in nurturing senior client relationships within the alternative asset management community, offering ongoing guidance on industry best practices and emerging trends in Managed Services. Renowned as an influential figure in the financial services sector, Vinod previously held leadership positions at ECI, a prominent global provider of Managed IT Services. During his 13-year tenure as Managing Director, he led customer-facing engagements, focusing on service delivery and business development on a global scale. Under his guidance, ECI solidified its position as a premier Managed Service provider in the financial services realm, expanding its operations into Europe and Asia. Vinod has demonstrated his expertise through numerous placements in industry-relevant publications such as Forbes, Channel Futures, Hedgeweek, and Private Equity Wire. As an active speaker in the fields of managed services leadership, cybersecurity, financial services, and technology, Vinod has been recognized and celebrated for his contributions. |
With over 17 years of expertise in designing and spearheading prosperous Managed Service practices, Chris Zadrima stands as a distinguished leader in constructing customer management teams and excelling as a subject matter expert in harnessing cloud-based solutions to address business and operational needs. Currently at Align, Chris assumes a comprehensive role overseeing the entirety of Align's Global Managed Services practice, which encompasses Client Support, Cloud Architecture and Strategy, Project Management, the Network Operations Center, and the IT Service Desk. In recognition of his outstanding contributions to steering growth and strategic direction within his current role, Chris has been honored by CRN, a division of The Channel Company, as one of the 2023 Next-Gen Solution Provider Leaders. This prestigious accolade underscores individuals who not only significantly impact their companies' trajectories but also exhibit the potential to emerge as future leaders in channel innovation. The accolade specifically acknowledges solution provider professionals aged 40 or younger who have played pivotal roles in shaping their company's strategic direction and fostering channel growth over the past year. Before joining Align, Chris played a key role in the leadership team at Infoaxis, a technology solution provider. During his nine-year tenure, he successfully developed a Managed Service offering that supported over 6000 endpoints. Chris's academic foundation includes a degree from Fordham University, where he graduated with a Bachelor of Science in Accounting with a concentration in Management Information Systems. His educational background, combined with his extensive industry experience, reflects his multifaceted proficiency in both business and technology domains. |