Speaker Profile

Pierre de Saint Phalle

Managing Director, Promontory Financial Group

Pierre advises financial institutions on various issues concerning governance and compliance risk management including assessing the strength of compliance programs against the U.S. Sentencing Guidelines and FCPA Guidelines. His extensive expertise also includes securities regulation of investment advisers and the creation and distribution of investment products and vehicles. Pierre served 20 years as a partner with a leading New York law firm and other companies in the asset management business where he was involved with issues involving “pricing at the close” for various investment products.
Before joining Promontory in 2005, Pierre was Managing Director, Chief Legal Officer, and Corporate Secretary of iFormation Group, an internet focused venture capital/private equity group formed by General Atlantic, Goldman Sachs & Co. and Boston Consulting Group. Previously, he was a Partner at Davis Polk & Wardwell, in charge of its asset management practice. He has spoken and served on panels on topics such as BSA/AML compliance, investment products and the credit crisis.

Pierre currently serves on the Board of a privately owned telecommunications distribution company located in White Plains and on the board of three registered funds of hedge funds. He was previously Chairman of the Board of a small registered mutual fund complex located in Boston. In Bronxville, Pierre served for six years on the Board of the Bronxville Union Free School District and six years on the Bronxville School Foundation.

Pierre earned a J.D. from Columbia Law School and a B.A. in History from Trinity College.

Profile as of 4/23/15