European Compliance and Legal Conference | afme

European Compliance and Legal Conference

19 - 20 Sep 2017 De Vere Grand Connaught Rooms, London

Speakers

Keynote speakers

  • Tilman Lüder

    Tilman Lüder

    Head of the Securities Markets Unit, European Commission

    Tilman Lüder

    Tilman Lüder

    Head of the Securities Markets Unit, European Commission

    Tilman Lüder holds a doctorate in law from the University of Tübingen.

    Before joining the European Commission in 1999, Tilman was as an associate in Cleary Gottlieb Steen and Hamilton LLP. He worked on European and German antitrust and merger control issues. His first job in the Commission was that of a case manager dealing with antitrust and state aid cases in the area of post and telecommunications in the Directorate General for Competition.

    In 2002, he became the spokesperson to Commissioner Mario Monti, responsible for Competition, a position he successfully held until being appointed, in 2005, Head of the Copyright Unit of Directorate General for the Internal Market (DG MARKT).

    He pursued his career to become Head of the Asset Management Unit (2011-2015) in DG MARKT, later the Directorate General for Financial Stability, Financial Services and the Capital Markets Union (DG FISMA).

    As of September 2015, Tilman heads the Securities Markets Unit in DG FISMA.

  • Catherine McGuinness

    Catherine McGuinness

    Policy Chairman, City of London Corporation

    Catherine McGuinness

    Catherine McGuinness

    Policy Chairman, City of London Corporation

  • Verena Ross

    Verena Ross

     Executive Director, ESMA

    Verena Ross

    Verena Ross

     Executive Director, ESMA

    Verena Ross is the Executive Director of the European Securities and Markets Authority (ESMA). She joined ESMA on 1 June 2011. Verena is the first Executive Director of ESMA and forms part of the senior management team along with the Chair of ESMA. The Executive Director has responsibility for the day-today running of the organisation.

    Prior to this, Verena held a number of senior posts in the UK’s Financial Services Authority (FSA), with her final position being Director of the International Division from October 2009 to May 2011. Verena was also a member of the FSA's Executive Committee and the Executive Policy and Risk Committees.

    Verena joined the FSA in 1998 to run the Executive Chairman’s office during the regulator’s start-up phase, and was briefly a seconded advisor to the Hong Kong Securities and Futures Commission in 2000. She subsequently held various positions in the Markets Division and was Director of the Strategy & Risk Division before becoming Director of the International Division. 

    She began her career at the Bank of England in 1994, where she worked as an economist and then banking supervisor, following studies in Hamburg, Taipei and London (SOAS).

  • Mark Steward

    Mark Steward

    Executive Director, Enforcement and Market Oversight, FCA

    Mark Steward

    Mark Steward

    Executive Director, Enforcement and Market Oversight, FCA

    Mark Steward is Executive Director of Enforcement and Market Oversight at the Financial Conduct Authority.  He has been involved in corporate, financial services and securities regulation since 1987 in Australia, Hong Kong and in the UK, specialising in investigatory work and resulting litigation.

    Mark joined the FCA from the Hong Kong Securities and Futures Commission, where he was Executive Director of Enforcement and a member of the board for 9 years.  Before joining the SFC, Mark was Deputy Executive Director, Enforcement with the Australian Securities and Investments Commission.

Speakers

  • Vivienne Artz

    Vivienne Artz

    Managing Director, Global Head of Privacy Legal, Head of International IP and O&T Law Group, Citi

    Vivienne Artz

    Vivienne Artz

    Managing Director, Global Head of Privacy Legal, Head of International IP and O&T Law Group, Citi

    Vivienne Artz is a Managing Director and Global Head of Privacy Legal and Head of International for the Intellectual Property and Technology Law Group in the General Counsel’s Office in London at Citi.

    The International team, with lawyers in London, Belfast, Singapore and Japan, is responsible for all legal aspects of intellectual property, technology, e-commerce, FinTech, cyber, general commercial/procurement/outsourcing, data privacy, banking secrecy and data security, electronic trading and order routing and market data legal issues, across all business areas in the EMEA and APAC regions.

    Prior to joining Citi in 2000, Vivienne worked in private practice in London.

    Vivienne chairs the AFME Data Protection Working Group, the International Regulatory Strategy Group Data Working Group and is on the EMEA Advisory Board of the International Association of Privacy Professionals. Vivienne is an active participant on the Data Protection Group at the BBA, as well as a Steering Committee member for the Technology Discussion Group.

    Vivienne has recently completed a two-year term as co-chair of the UK Citi Women Network, co-chair of the IAPP Knowledge Net for the UK, and chair of the Legal Diversity Council for EMEA, and is currently a Citi Women Community Ambassador. Vivienne is the current President of Women in Banking and Finance, having been awarded the ‘Champion for Women’ Award at the Women in Banking and Finance Awards for Achievement 2016.

  • Rodrigo Buenaventura

    Rodrigo Buenaventura

    Director General of Markets, Comision Nacional del Mercado de Valores (CNMV)

    Rodrigo Buenaventura

    Rodrigo Buenaventura

    Director General of Markets, Comision Nacional del Mercado de Valores (CNMV)

    Rodrigo Buenaventura is Director General of Markets at CNMV (the Spanish financial markets supervisor), a role he held since March 2017.   He is responsible for primary markets, secondary markets, post-trading, financial reporting and corporate governance.  

    At the start of his career, Rodrigo spent 11 years as financial markets analyst and consultant in AFI (Analistas Financieros Internacionales).  He joined CNMV in 2005 as Head of International, until 2007 when he moved to Head of Secondary Markets, a post he held until 2011.  

    Rodrigo was appointed Head of Markets at ESMA from 2011 to 2017, where he participated in the establishment of the authority and the development of the regulatory reform of EU wholesale financial markets.   

    He has a degree in Economics and Business Administration by Universidad Autónoma de Madrid and has extensive teaching and publishing experience.  

  • John Clarke

    John Clarke

    Money Laundering Reporting Officer, Standard Advisory London

    John Clarke

    John Clarke

    Money Laundering Reporting Officer, Standard Advisory London

    John Clarke is Money Laundering Reporting Officer for Standard Bank Group's London based Investment Banking division where he has worked since March 2015.   

    John has over twenty years’ compliance experience across investment banking and asset management.  He previously held compliance roles with both JPMorgan Asset Management and Bank of New York Mellon. 

  • Will Dennis

    Will Dennis

    Head of Compliance, AFME

    Will Dennis

    Will Dennis

    Head of Compliance, AFME

    Will Dennis is Head of Compliance at AFME. His main focus is monitoring, analysing and responding to regulatory developments in compliance at the national, EU and global level. Before joining AFME, Will was head of international compliance at Standard Bank, prior to which he worked at a number of international investment banks as general counsel and/or head of compliance. Will spent his early career with HM Diplomatic Service, serving in London, Beijing and Hong Kong. He holds an MA and LLM from the University of Cambridge, and is qualified as a solicitor in both the UK and Hong Kong.

  • Alexandra Givry

    Alexandra Givry

    Head, Market Surveillance Department, AMF

    Alexandra Givry

    Alexandra Givry

    Head, Market Surveillance Department, AMF

  • Richard Jones

    Richard Jones

    Partner, Slaughter and May

    Richard Jones

    Richard Jones

    Partner, Slaughter and May

    Richard Jones is a Partner at Slaughter and May.  Richard has a wide-ranging financing practice covering, among other areas, securitisations and other asset-backed finance, structured finance, derivatives and debt capital markets.  He has acted for several high-profile clients, including both listed and private companies, banks and other financial institutions, pension funds, private equity firms and various governments.   

    Richard has experience across a wide number of industries, including the banking, consumer credit and wider financial sector, insurance, leisure and hospitality and energy and natural resources.  

  • Jacqueline Joyston-Bechal

    Jacqueline Joyston-Bechal

    EMEA Head of Compliance, BNY Mellon

    Jacqueline Joyston-Bechal

    Jacqueline Joyston-Bechal

    EMEA Head of Compliance, BNY Mellon

    Jacqueline Joyston-Bechal is Head of Compliance for Bank of New York Mellon across Europe, Middle East and Africa (EMEA).   In this role, she is responsible for all Compliance staff covering the four pillars of Compliance; advisory, monitoring, financial crime/KYC and regulatory change.  She manages a team of 90 Compliance staff across several jurisdictions reporting to the Head of Global Compliance in the U.S. and EMEA Management.    

    Jacqueline is a lawyer with over twenty years’ experience in the financial services industry.  Prior to joining BNYM in January 2016, Jacqueline was Head of Legal for the Markets, Banking and Notes Directorates of the Bank of England, responsible for legal services to the areas of the Bank that run the Bank’s balance sheet, risk management and internal investigations.  

    Jacqueline started her career at Clifford Chance as a banking litigator.

     

  • James Kemp

    James Kemp

    Managing Director, Global FX Division, GFMA 

    James Kemp

    James Kemp

    Managing Director, Global FX Division, GFMA 

    James Kemp is the Managing Director of the Global FX Division at the Global Financial Markets Association (GFMA), having been hired to establish the Division in October 2010. 

    The Global FX Division has since grown to 24 members, between them accounting for over 90% of the global FX market, and is now represented in Europe, N America and Asia.  It works with key regulators, Central Banks and other interested parties to monitor policy and regulatory developments that could affect the FX markets and seeks to ensure the establishment of harmonised regimes and infrastructure to enable an effective market for all participants.  James also sits on the senior management team of the Association for Financial Markets in Europe (AFME) headquartered in London.

    The Global FX Division has been heavily engaged with regulators on topics including the potential clearing of FX products, price transparency and trade reporting, where it has led the industry initiative to select a partner to build a global FX trade repository.  In addition the Division also runs the FX Market Architecture Group – an industry-led body whose goal is to try and increase efficiencies and reduce duplication in the technologies used by the industry.

    James was previously the founder and managing director of the financial markets technology company, Stentra, a market leader in FX e-trading, as well as commodities, fixed income and swaps. Six years after the company was established it was sold to ION Trading in 2008. Following the sale, James remained with ION in a group corporate development role.  Other roles have included Head of Equities and Fixed Income Products at Reuters and a business strategy consultant at The LEK Partnership, working out of London and Chicago. 

  • Simon Lewis OBE

    Simon Lewis OBE

    Chief Executive, AFME

    Simon Lewis OBE

    Simon Lewis OBE

    Chief Executive, AFME

    Simon Lewis was appointed Chief Executive of the Association for Financial Markets in Europe (AFME) in October 2010. AFME is the trade body which represents the pan-European capital markets industry.  Previously Simon was Director of Communications and the Prime Minister’s Official Spokesman at 10 Downing Street.

    He has held a number of senior corporate roles including Director of Corporate Affairs at Vodafone, Centrica and NatWest.  Simon was appointed as the first Communications Secretary to The Queen in 1998.  

    Simon has a degree from Oxford University in Philosophy, Politics and Economics.  He also holds an M.A. in Political Science from the University of California at Berkeley as a Fulbright scholar.  He is a Visiting Professor at the Cardiff School of Journalism.  Simon is a board member of TheCityUK and a member of the Chatham House North American Advisory Council, as well as a member of the Academy’s Advisory Board.  He is Chairman of the Governing Council of University College School (UCS) in Hampstead, North London. Simon is a Patron and former Chairman of the Fulbright Commission.  He is married with three children.   

    Simon was appointed an OBE in the 2014 New Year Honours List for public service and services to international education through the Fulbright Commission.  He was made an Honorary Fellow of the Chartered Institute of Public Relations (CIPR) in 2016. 

  • Dr Mike Lynch

    Dr Mike Lynch

    Founder, Technology Entrepreneur, Invoke Capital

    Dr Mike Lynch

    Dr Mike Lynch

    Founder, Technology Entrepreneur, Invoke Capital

    Dr Mike Lynch is a celebrated technologist with a proven track record of identifying and monetising fundamental technologies. 

    After a series of successful startups, he founded Autonomy in 1996 based on technology invented at Cambridge University, where Dr Lynch studied Information Sciences and received a Ph.D. in adaptive pattern recognition. Autonomy became one of the UK's most successful technology companies on the FTSE100 and was acquired by HP for $11 billion in 2011.

    Mike has been recognized with many awards, including an OBE for Services to Enterprise in 2006. He is a fellow of the Royal Academy of Engineering, an honorary fellow of Christ's College Cambridge and a non-executive director of the British Library. He is also a scientific advisor to the UK Prime Minister. He was elected a Fellow of the Royal Society in April 2014.

  • Carlo Milia

    Carlo Milia

    Market Abuse Investigation Unit, CONSOB

    Carlo Milia

    Carlo Milia

    Market Abuse Investigation Unit, CONSOB

    Carlo Milia serves as a financial economist in the Markets Division of CONSOB and is member of the ESMA Market Integrity Standing Committee.

    Over his 25-year career, Carlo has been involved in activities related to the detection and investigation of market abuse cases. Since 1998 he has been dealing with regulatory issues on market abuse and on the related duties for issuers, intermediaries, asset managers and financial analysts, taking part in working groups at FESCO, CESR and ESMA.

    In 2001 and 2012 he represented Italy at the Council for the reshaping of the EU regulation on market abuse (MAD and MAR).   As an expert, he has participated in several twinning projects coordinated by the EU Commission between CONSOB and national competent authorities of Eastern Europe Countries (Romania, Czech Republic, Poland, Bulgaria, Republic of Moldova).

    He is a graduate of LUISS University and gained a PhD in Economics at Bocconi University. Carlo is lecturer in financial regulation and market microstructure courses at several Italian universities.

  • Barnabas Reynolds

    Barnabas Reynolds

    Head of Global Financial Institutions Advisory & Financial Regulatory Group, Shearman & Sterling

    Barnabas Reynolds

    Barnabas Reynolds

    Head of Global Financial Institutions Advisory & Financial Regulatory Group, Shearman & Sterling

    Barnabas Reynolds is head of the global Financial Institutions Advisory & Financial Regulatory Group at Shearman & Sterling. He advises the full range of market participants on their businesses in the London and European markets. His practice focuses on financial regulation and legal risk management, including in the context of cross-border legal, regulatory and insolvency regimes. Barnabas has been actively involved in helping to shape, analyse and comment upon the global regulatory reforms that arose out of the financial crisis such as shadow banking, derivatives regulation, Basel III, recovery & resolution and corporate governance.  Most recently, he has been at the forefront of discussions of how Brexit will affect businesses in the UK and globally.

    Barnabas has also advised on many recent bank restructurings in Portugal, Greece and Italy (ongoing) as well as various financial institution acquisitions, disposals and capital-raisings. He is recognised as a leading UK and EU financial regulatory lawyer by legal directories Chambers, Legal 500, IFLR1000 and Super Lawyers. In addition, he isnamed as a Law360 MVP and recognised in The Lawyer magazine’s annual “Hot 100" list of leading London-based lawyers. 

  • Jeewon Kim Serrato

    Jeewon Kim Serrato

    Co-head of Global Privacy and Data Protection Practice, Shearman & Sterling

    Jeewon Kim Serrato

    Jeewon Kim Serrato

    Co-head of Global Privacy and Data Protection Practice, Shearman & Sterling

    Jeewon Kim Serrato is co-head of the global Privacy & Data Protection practice where she advises companies on privacy, cybersecurity, data protection and crisis management issues.  She has extensive experience in developing and structuring comprehensive data and trade secrets protection programs, implementing and testing information security controls, and helping companies manage compliance and regulatory risks, mitigate cyber risks and handle data breaches.  Before joining Shearman & Sterling, Jeewon served as Chief Privacy Officer of Fannie Mae and as the lead privacy executive for Reed Elsevier (now RELX Group).

  • Mark Yallop

    Mark Yallop

    Chair, FICC Market Standards Board

    Mark Yallop

    Mark Yallop

    Chair, FICC Market Standards Board

    Mark Yallop is the Chair of the FICC Market Standards Board and Independent Board Member with the Prudential Regulation Authority.

    Mark began his career in financial services at Morgan Grenfell in 1984 when he joined the Capital Markets Division to build their derivatives and fixed income securities trading businesses.  Following the acquisition of Morgan Grenfell by Deutsche Bank, Mark was appointed Chief Operating Officer of the Global Markets Division, where he transformed the bank’s trading and sales businesses into market leaders.  Mark spent 20 years at Deutsche Bank (1984-2004) in a variety of roles.  

    Mark was UK Group CEO of UBS (2013-14), overseeing all UBS’ Investment Banking, Wealth Management and Asset Management operations in the UK.  He previously served as Group Chief Operating Officer of ICAP plc (2005‑2011), where he was responsible for developing the firm’s strategy, building their electronic and post-trade businesses and managing the Group’s infrastructure.

    Mark served for three years (1996-98) on the board of the International Swaps and Derivatives Association (ISDA), the international industry body representing the global OTC derivatives market and in December 2015 he joined the Prudential Regulation Authority as an independent member of the Board.

    Mark is Chairman of the £55m endowment campaign for University College Oxford, is a member of the Board of the Centre for Social Justice and of the Create the Change Development Board for the Francis Crick Institute.  

    Mark is a graduate of Oxford University, where he read Chemistry. He is married with two children.