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 is Head of the Securities Markets Unit at the European Commission

    Prior to joining the European Commission, Tilman was as an associate in Cleary Gottlieb Steen and Hamilton LLP where he worked on European and German antitrust and merger control issues.

    Tilman joined the Commission in 1999, initially working as 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). 

    In 2011, Tilman became Head of the Asset Management Unit in DG MARKT, later the Directorate General for Financial Stability, Financial Services and the Capital Markets Union (DG FISMA), a post he held until moving to his current role in 2015.

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

  • Catherine McGuinness

    Catherine McGuinness

    Policy Chairman, City of London Corporation

    Catherine McGuinness

    Catherine McGuinness

    Policy Chairman, City of London Corporation

    Catherine McGuinness is Chairman of the Policy and Resources Committee of the City of London Corporation.

    As Chairman of the Policy Committee, Catherine is Deputy Chairman of TheCityUK, the promotional body for the UK financial services industry and the International Regulatory Strategy Group. She is Chairman of the City’s Courts Sub Committee, the body responsible for the management of the Old Bailey and the City of London Magistrates’ Court, which benefits from her substantive background in the legal sector.

    Catherine has led the City’s work on education, chairing its Education Board and the City of London Academies Trust. Catherine has also been closely involved with the City’s cultural offer, having chaired the boards of the Barbican Arts Centre and Guildhall School of Music & Drama and with the City’s relationship with Northern Ireland.

    She is a director of “London Works”, a recruitment agency launched by the East London Business Alliance, and a commissioner on the IPPR Commission on Economic Justice.
    A solicitor by training, she practised in financial services law for several years. Catherine studied PPE at St Anne’s College, Oxford.

  • 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

    Director of Enforcement and Market Oversight, Financial Conduct Authority (FCA)

    Mark Steward

    Mark Steward

    Director of Enforcement and Market Oversight, Financial Conduct Authority (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

  • Patrice Aguesse

    Patrice Aguesse

    Head of Markets Regulation Division, Regulatory Policy and International Affairs Department, Autorité des marchés financiers (AMF)

    Patrice Aguesse

    Patrice Aguesse

    Head of Markets Regulation Division, Regulatory Policy and International Affairs Department, Autorité des marchés financiers (AMF)

    Patrice Aguesse is Head of the Market Regulation Division within the Regulatory Policy and International Affairs Departmen at Autorité des Marchés Financiers (AMF).

    From September 2011 to September 2014, Patrice was Financial Counsellor at the French Treasury in New York. Prior to that, Patrice had been working at the AMF since June 1995. Patrice started at the AMF as a senior officer in the debts and derivative products department within the corporate finance division. In April 1998, he became the head of this department and from January 2000 took charge of the banks and insurance department as well.

    From 2001 to 2003 he was seconded to the secretariat of the Economic and Monetary Affairs Committee (EMAC) at the European Parliament. Upon his return in January 2005 he was named director in the Regulatory Policy Division in charge of the corporate finance regulation. From 1991 to 1995, Patrice worked in the treasury department of Banque Sovac.

  • Julian Allen-Ellis

    Julian Allen-Ellis

    Director, MiFID/MiFIR, AFME

    Julian Allen-Ellis

    Julian Allen-Ellis

    Director, MiFID/MiFIR, AFME

    Julian leads the cross-product MiFID/MiFIR Steering Committee at AFME. Julian has a broad product background in both fixed income and equities. Before joining AFME, Julian worked for Market Axess/TRAX in a senior sales and relationship management role responsible for market participants utilizing MiFID/MiFIR regulatory reporting and trade matching services. Prior to that, he was in senior relationship management in the prime services teams at JP Morgan and Bank of America Merrill Lynch, and prior to that as Head of Membership at the London Stock Exchange. Julian read Economics at The University of Reading and has an MBA from Henley Business School.

  • 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.

  • Anna Bak

    Anna Bak

    Manager, Securitisation, AFME

    Anna Bak

    Anna Bak

    Manager, Securitisation, AFME

    Anna Bak is a Manager in the Securitisation Division at AFME where she is responsible for developing positions on a wide variety of securitisation related topics, and then representing those positions to the European institutions, international organisations as well as a wide range of national authorities.  

    Anna joined AFME in February 2014. Since then she has been involved in negotiating industry standpoints on many critical regulatory initiatives, including calibration of the Basel capital and liquidity rules, Solvency 2 rules, derivatives and transparency rules as well as establishing “simple transparent and standardised securitisation” under the European securitisation framework. 

    Earlier in her career Anna was a transaction lawyer in Amsterdam. Previously, she worked at TMF Group and later at Citco where she spent 6 years working on variety of ABS transactions, including RMBS, SME and auto-loans structures. Anna holds an LL.M degree from the University of Utrecht (the Netherlands) with specialisation in European Law and a Master of Law degree from the University of Lodz (Poland).

  • Chris Bates

    Chris Bates

    Partner, Clifford Chance

    Chris Bates

    Chris Bates

    Partner, Clifford Chance

    Chris Bates is a partner and head of Clifford Chance's financial regulatory practice in London. He advises banks, securities firms and other financial institutions on issues associated with the UK exit from the EU, the regulatory response to the financial crisis, the impact of the EU single market programme, financial services regulation and regulatory capital, as well as advising on securities and derivatives transactions and mergers and acquisitions in the financial sector.

    Chris has assisted several industry associations in relation to the UK exit from the EU, including writing the AFME report on The UK Referendum Challenges for Europe's Capital Markets – A Legal and Regulatory Assessment and working with BCG and AFME on Bridging to Brexit: Insights from European SMEs, Corporates and Investors.

    Chris joined Clifford Chance in 1980. He is a Solicitor of the Supreme Court in England and holds degrees from Oxford University and Columbia Law School.

  • Ian Bell

    Ian Bell

    Head of Secretariat, PCS

    Ian Bell

    Ian Bell

    Head of Secretariat, PCS

    Born in France, Ian Bell obtained his law degrees at the London School of Economics, the University of Strasbourg and Yale Law School.  He joined Clifford Chance as a trainee in 1987 where he worked in the securitisation group, becoming a partner in 1996.

    Ian left Clifford Chance in 1999 to join Standard and Poor’s Ratings as European General Counsel before becoming S&P’s Head of Structured Finance in Europe, Africa and the Middle East in charge of all structured finance and covered bond ratings in that region. 

    In 2012, Ian became Head of the PCS Secretariat and a member of the Board of the PCS Association. Ian has 29 years of experience in the world of structured finance.

  • Mark Bicknell

    Mark Bicknell

    Managing Director and Associate General Counsel, Bank of America Merrill Lynch

    Mark Bicknell

    Mark Bicknell

    Managing Director and Associate General Counsel, Bank of America Merrill Lynch

    Mark Bicknell is a Managing Director and Associate General Counsel at Bank of America Merrill Lynch in London. Mark provides legal and general counsel to the banking, corporate finance, corporate broking and capital markets teams, primarily in relation to equity, equity-linked and certain debt transactions within Europe, the Middle East and Africa, and managing, inter alia, the EMEA ECM counsel team.

    Before moving to Merrill Lynch in 2004, Mark was a managing associate at Linklaters, in their London and Singapore offices, qualifying as a Solicitor of the Supreme Court of England and Wales in 1995. Mark has an MA in Modern and Medieval Languages from Pembroke College, Cambridge; and honours in the Law Society’s Common Professional Law Exams and Finals at the College of Law, York.

  • Richard Brearley

    Richard Brearley

    Regional Head of Compliance, EMEA, Macquarie

    Richard Brearley

    Richard Brearley

    Regional Head of Compliance, EMEA, Macquarie

    Richard Brearley is Head of Compliance for Macquarie in the EMEA region.  He joined Macquarie in 2015.  

    Prior to joining Macquarie, Richard was Head of Compliance and General Counsel at Investec. He had previously worked in the markets division at the FSA and was a corporate partner at Nabarro. Richard also spent two years on secondment at the UK Takeover Panel.

    Richard is a member of several industry groups including the AFME Compliance Committee and SHCOG Steering Committee. 

  • 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.  

  • James Chew

    James Chew

    Global Head, Regulatory Policy, HSBC

    James Chew

    James Chew

    Global Head, Regulatory Policy, HSBC

    James Chew is Global Head, Regulatory Policy in the Group Public Affairs department at HSBC. He considers key regulatory policy developments which will affect the Group across the world, making contributions both directly and through industry bodies. James led HSBC's interaction with the Independent Commission on Banking on bank structural reform in the UK but also works on areas such as recovery and resolution planning, capital requirements, loss-absorbing capacity and Brexit.

    James joined HSBC Group in 1993 having previously worked in merchant banking.  He moved to Group Planning department in 2001 and has been both Group Head of Planning and Group Head of Acquisitions and Disposals, responsible for shaping HSBC’s overall strategy and plans for operating businesses, with a focus on implications of regulatory developments on HSBC's strategy and operations.  

    As part of the Business Finance Taskforce in the UK, James was interim CEO responsible for the establishment of the Business Growth Fund plc, a £2.5bn growth capital company established by five banks in the UK to provide long term equity investment into small and medium-sized enterprises in the UK. He remains a non-executive director.

  • 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. 

  • Fiona Cole

    Fiona Cole

    Managing Director, UK Region MLRO, ING Bank

    Fiona Cole

    Fiona Cole

    Managing Director, UK Region MLRO, ING Bank

    Fiona Cole is a Managing Director and UK Region MLRO for ING Bank.

    Fiona has been an AML Officer/MLRO since 1994, initially at Bank Brussels Lambert (BBL) and then at ING Bank when the BBL and ING London branches merged in 2001.  Fiona has seen the AML/MLRO role grow over the years from a part time role within a bank to a what can be described as a key banking department with its own new industry in KYC, screening and sanctions adherence.

    Prior to working for BBL/ING Fiona worked for Kleinwort Benson and Barclays in roles covering loan administration and well as domestic and international payments.  These early roles were key in assisting with knowledge and experience of the banking processes for her role as a MLRO.  

  • Susannah Cogman

    Susannah Cogman

    Partner, Herbert Smith Freehills

    Susannah Cogman

    Susannah Cogman

    Partner, Herbert Smith Freehills

    Susannah Cogman specialises in financial crime and related regulatory work. She advises financial institutions, corporates and professional services firms in connection with sanctions, anti-money laundering, and corruption and fraud issues, both contentious and non-contentious.

    Susannah has considerable experience of conducting internal investigations for clients, as well as advising on external investigations by the SFO, FCA and others, and related disputes. She has been appointed as one of the UK's first anti-corruption monitors for the purposes of a company's settlement with the World Bank and Serious Fraud Office. Susannah has a particular specialism in sanctions work and has advised extensively in relation to the Iran, Russia/Ukraine, Syria and Libya sanctions regimes.

    A recognised expert in the field, Susannah is ranked in band 1 for corporate crime in Chambers UK 2013-2017, described as having "extraordinary knowledge and ability", "a very steadying presence", "technically superb", "a true expert in her field" and "a 'talented' and 'astute lawyer,' who 'knows what corporate clients need'". Global Investigations Review named her in their list of "40 Under 40 – the world's leading investigations specialists" in April 2014.

    Susannah speaks and publishes widely on anti-money laundering ("AML"), anti-corruption, and sanctions topics. She is a member of the UK Law Society's Money Laundering Task Force (which advises the profession and the Law Society on AML matters) and of the American Bar Association Section of International Law International Criminal Law Committee.

    Susannah is a consultant editor of the Lloyds Law Reports: Financial Crime series. She runs the British Banker's Association's 'Newly appointed MLRO' one-day workshop and is a regular speaker at the Anti-Money Laundering Professionals Forum and other industry events.

  • Will Dennis

    Will Dennis

    Managing Director, Head of Compliance, AFME

    Will Dennis

    Will Dennis

    Managing Director, 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.

  • Simone Ferreira

    Simone Ferreira

    Head of Wholesale Banking Department, Financial Conduct Authority

    Simone Ferreira

    Simone Ferreira

    Head of Wholesale Banking Department, Financial Conduct Authority

    Simone Ferreira joined the FCA’s predecessor, the FSA, in 2000. She worked in the FSA’s General Counsel’s Division between 2000 and 2010 before moving to the Supervision Division. Simone is currently the Head of Wholesale Banks, the department that supervises a range of wholesale firms including British, American, EU, Swiss, Asian, Australian, Middle Eastern and other third country universal and investment banks.

    Previously, Simone was the Head of Event Supervision Department, which, among other issues, deals with complex cases of crystallised risks including the Interest Rate Hedging Products review, the FX Remediation exercise and the skilled person's review of RBS Global Restructuring Group. Her last major piece of work in Event Supervision was to lead on the development and implementation of the proposals imposing a time bar for Payment Protection Insurance complaints.

    Before joining the FSA, Simone worked in Credit Commercial de France and previously Credibanco, a Brazilian bank then associated to BNY Mellon.

    Simone holds a degree in Law from the University of Sao Paulo and the College of Law (London) and a master degree in law (LLM) from the London School of Economics.

  • Charles Forde

    Charles Forde

    Global Head of Outsourcing and Third Party Risk, UBS

    Charles Forde

    Charles Forde

    Global Head of Outsourcing and Third Party Risk, UBS

    Charles Forde is the Global Head of Outsourcing and Third Party Risk at UBS. The function is part of Compliance & Operational Risk, the 2nd Line of Risk in the firm.  Previously, Charles held the position of COO of Operations & Technology for Group Data, Reconciliations and the Client Data Confidentiality Programme at UBS.

    Before joining UBS 7 years ago, Charles was with Ernst & Young in London in the Risk Advisory practice.  Charles has previously held roles managing risk and operations for Goldman Sachs, JP Morgan and Barclays. He began his career at the United Nations managing technology and operations to support military peace-keeping operations and humanitarian programmes.

  • Mitchell Gibb

    Mitchell Gibb

    Managing Director and European Head of Compliance, Stifel Nicolaus Europe

    Mitchell Gibb

    Mitchell Gibb

    Managing Director and European Head of Compliance, Stifel Nicolaus Europe

    Mitchell Gibb is a Managing Director and European Head of Compliance for Stifel Nicolaus Europe, where his team is responsible for Compliance oversight of sales, trading, research, corporate finance, corporate broking and capital markets activity across both debt and equity markets.

    Mitchell has over 18 years Industry and Compliance management experience, having been CEO of a US Broker Dealer and performed senior regulatory functions at Bank of New York Mellon, Peel Hunt and Evolution Group. In his time as a consultant at EY, Mitchell specialised in and led efforts on Best Execution, Conduct Risk, Conflicts of Interest, MAR and the Senior Managers and Certification Regime.

  • Alexandra Givry

    Alexandra Givry

    Head of Market Surveillance, Autorité des marchés financiers (AMF) 

    Alexandra Givry

    Alexandra Givry

    Head of Market Surveillance, Autorité des marchés financiers (AMF) 

    Alexandra Givry trained as an actuary and holds degrees from Ecole Polytechnique and ENSAE. She began her career as an insurance auditor.  From 2004 to 2009, Alexandra was an insurance auditor at France’s insurance regulatory authority, the Autorité de Contrôle des Assurances et des Mutuelles (ACAM).  As the person in charge of ongoing oversight of insurance companies and groups, as well as life insurance regulatory issues, she also participated in the work of the European Insurance and Occupational Pensions Committee (EIOPC) in developing the Solvency II directive.

    In 2009, Alexandra was recruited by the Autorité des marchés financiers (AMF to the position of Deputy Head of the Market Surveillance Department to develop the surveillance of bond markets, commodity derivatives and innovative practices such as high frequency trading.  

    Alexandra was appointed Head of Market Surveillance in 2011 and is strongly involved in many ESMA expert groups, notably on Market Integrity and Market Data.  Alexandra also leads the ‘ICY’ program, the ambitious Big Data project launched by the AMF in 2016 to revamp the market data and surveillance system.

  • Jean-Marc Guiteau

    Jean-Marc Guiteau

    Chief Compliance Officer, BNP Paribas Securities Services

    Jean-Marc Guiteau

    Jean-Marc Guiteau

    Chief Compliance Officer, BNP Paribas Securities Services

    Jean-Marc Guiteau has global responsibility for Compliance for BNP Paribas Securities Services, a role he has held since 2010 and is a member of the company’s Executive Committee. He is also a member of the Corporate and Institutional Banking Compliance Executive Committee. Prior to this role, Jean-Marc was Deputy Head of Investment Solutions Compliance for four years.

    Before joining BNP Paribas, Jean-Marc worked for 8 years at the French Insurance company MMA, as Group Compliance Officer and Head of Internal Control for the group finance and asset management activities. During this time, he published a survey for the French Internal Auditors’ Association (IFACI) on the Risk management and the Risk Mapping methodology within Insurance Companies.

    Jean-Marc started his career at HSBC France (formerly Crédit Commercial de France), where he spent 11 years in various functions within securities services, including Relationship Manager, Head of organisation for the CIB activities and Head of mission at the General Inspection of the Bank.     

    In all, Jean-Marc has more than 25 years of experience in the financial industry. He is graduate in International Commerce from Paris VI University and has an Executive Master in Business Administration from HEC (Ecole des Hautes Etudes Commerciales) – Jouy en Josas, France.

  • Stephen Hanks

    Stephen Hanks

    Manager, MiFID Coordination, Financial Conduct Authority

    Stephen Hanks

    Stephen Hanks

    Manager, MiFID Coordination, Financial Conduct Authority

  • Matt Holmes

    Matt Holmes

    Managing Director, Head of Regulatory Policy, ‎Deutsche Bank

    Matt Holmes

    Matt Holmes

    Managing Director, Head of Regulatory Policy, ‎Deutsche Bank

    Matt Holmes is the Head of Regulatory Policy for Deutsche Bank and in that role is responsible for managing the bank's engagement with key regulatory policy debates globally.

    Before joining Deutsche Bank in 2010, Matt headed up the financial services practice in a leading UK public affairs consultancy and prior to that worked as a policy advisor at HM Treasury covering financial services and regulatory issues.

  • Richard Hopkin

    Richard Hopkin

    Managing Director, Head of Fixed Income, Capital Markets, AFME

    Richard Hopkin

    Richard Hopkin

    Managing Director, Head of Fixed Income, Capital Markets, AFME

    Richard Hopkin is Head of Fixed Income and a managing director in the Securitisation Division.

    Richard joined AFME in June 2010 after a 25-year career in the law and finance during which he held leadership positions at J.P. Morgan, Deutsche Bank and Société Générale. He has originated, structured and distributed securitisations funding the real economy through a wide variety of asset classes including mortgages, credit cards, auto, consumer and SME loans, from across Europe, Australia and the US.

    Richard has led and negotiated industry positions on many critical regulatory initiatives in recent years, including most recently the new standard for “simple transparent and standardised securitisation” in Europe. 

    A frequent visitor to Brussels, he has helped rehabilitate the securitisation industry in the eyes of key European policymakers and continues to be a strong advocate for the benefits of securitisation for the European economy.

    Born and brought up in Wales, Richard read law at Cambridge University and before his investment banking career qualified as a solicitor with leading international law firm Clifford Chance.

  • Martyn Hopper

    Martyn Hopper

    Partner, Linklaters

    Martyn Hopper

    Martyn Hopper

    Partner, Linklaters

    Martyn Hopper is a Partner with Linklaters in London. He advises financial institutions on regulatory matters. Martyn has extensive experience advising investment banks, retail banks, insurers, asset managers and listed companies on regulatory compliance issues.  

    Prior to returning to private practice in 2004 he spent over nine years working as a senior lawyer at the UK Financial Services Authority, latterly as Head of Department in the Enforcement Division.

    He has advised on ‘crisis management’ on discovery of major compliance failures, conducted numerous internal investigations and represented clients in regulatory investigations, enforcement actions and related civil litigation across the financial services sector.

    His client work has included some of the highest profile cases brought by the regulators over the past decade and has involved him regularly representing clients before regulators, tribunals and the higher courts (including applications for judicial review of regulators). 

  • 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, Policy and Technology Divisions, GFMA and AFME

    James Kemp

    James Kemp

    Managing Director, Global FX, Policy and Technology Divisions, GFMA and AFME

    James Kemp is the Managing Director of the GFMA’s Global FX Division, having established it in 2010. He also established AFME’s Technology and Operations Division in 2016, and more recently took management responsibility for the Compliance, Tax and Accounting Committees which he has merged to form the new Policy Division. He is heavily involved with efforts to enhance industry conduct, having been involved in the Global FX Code work and as a Board member of the UK’s FICC Market Standards Board.  He sits on the Bank of England’s FX Joint Standing Committee.

    The Global FX division has 25 global members - between them accounting for approximately 80% of the global FX dealer market - and is represented in Europe, North America and Asia. Working with key regulators and supervisors, the group monitors policy and regulatory developments to ensure the establishment of harmonised regimes and infrastructure to enable an effective global market for all participants.   This same goal exists for the Tech & Ops group across the emerging EU fintech/regtech landscape, while the Policy Division again seeks to ensure practical and consistent implementation across its various priority topics covering compliance, conduct and tax/accounting issues.

    In addition to engagement with regulators, these Divisions also run a number of market forums including groups focused on increasing efficiencies and reducing duplication in the technologies used by the industry.  Many of these groups are focused on the practical implementation of new regulations. 

    James has previously been a business strategy consultant at The LEK Partnership; working out of London and Chicago, as well as UK Head of Equities and Fixed Income Products at Reuters. He was the founder and managing director of the financial markets technology consultancy, 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.

  • Rajiv Kapur

    Rajiv Kapur

    Executive Director, Risk and Policy Group, Financial Crime Compliance, Goldman Sachs

    Rajiv Kapur

    Rajiv Kapur

    Executive Director, Risk and Policy Group, Financial Crime Compliance, Goldman Sachs

    Rajiv Kapur is EMEA Head of the Risk & Policy Group, Financial Crime Compliance at Goldman Sachs, where he has worked since 2014.

    Prior to working at Goldman Sachs, he was a consultant at Deloitte working in their Enterprise Risk practice. Rajiv is a Co-Chair of the AFME financial crime working group and is the AFME representative to Joint Money Laundering Steering Group, made up of the leading UK Trade Associations in the Financial Services Industry.

  • Nikunj Kiri

    Nikunj Kiri

    Partner, Linklaters

    Nikunj Kiri

    Nikunj Kiri

    Partner, Linklaters

    Nikunj Kiri is a partner in the Financial Regulation Group of Linklaters, London. He has extensive experience of advising banks, broker-dealers, insurers, asset managers, wealth management firms and listed companies on regulatory and compliance matters, with a particular focus on contentious regulatory and compliance risk management issues.

    Nikunj's work covers a diverse range of topics, from all aspects of senior management responsibility, governance and risk management frameworks to conflicts of interest, insider dealing, market abuse, client money, fair treatment of customers, complaint handling and other conduct of business issues. Nik has worked extensively with AFME and several of its member firms in relation to the Market Abuse Regulation.

  • Mathew Keshav Lewis

    Mathew Keshav Lewis

    SVP, Co-head, Regulatory Practice, Axiom Law

    Mathew Keshav Lewis

    Mathew Keshav Lewis

    SVP, Co-head, Regulatory Practice, Axiom Law

    Mathew Keshav Lewis joined the Axiom Law as the Co-Head of its Global Banking & Regulatory Practice in 2015, partnering with Axiom’s growing portfolio of banking-sector clients to further develop innovative, technology-enabled responses to the complex and rapidly evolving regulatory and compliance landscape.

    Mathew has spent almost 20 years operating in highly regulated environments, foreign and domestic. He has developed systems, regulatory adherence plans and compliance execution strategies for Fortune 500 firms.

    Prior to joining Axiom, Mathew was on the founding executive team of Clarient Global LLC. He also served in various roles with DTCC directly.  In 2013, Lewis was named to the Financial News 40 Under 40 Rising Stars in Trading and Technology.  He received his executive MBA from the University of Chicago Booth School of Business in 2014.

  • 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. 

  • Andrew Lodge

    Andrew Lodge

    Head of Resolution Execution Division, Bank of England

    Andrew Lodge

    Andrew Lodge

    Head of Resolution Execution Division, Bank of England

    Andrew Lodge is the Head of Division in the Resolution Directorate at the Bank of England.   In this role Andrew is responsible for; ensuring firms meet resolvability requirements; developing resolution plans and contingency actions; engaging with international counterparts and coordinating with UK domestic resolution authorities.  

    Andrew joined the Bank in 2015 from McKinsey&Co where he worked in the Financial Services practice.  Prior to joining McKinsey Andrew worked in HM Treasury and at the UKFI for eight years.  This included working on multiple resolution and financial crisis interventions from 2008-2009.

  • Dr Mike Lynch

    Dr Mike Lynch

    Founder, Invoke Capital

    Dr Mike Lynch

    Dr Mike Lynch

    Founder, 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.

  • Paul McCormack

    Paul McCormack

    Senior Legal Counsel and Global Lead for Digital, HSBC

    Paul McCormack

    Paul McCormack

    Senior Legal Counsel and Global Lead for Digital, HSBC

    Paul McCormack is a Senior Legal Counsel & Global Lead for Digital within HSBC’s Global Data Privacy & Digital Legal team, based in London. Paul has responsibility for advising the Bank on global data privacy, financial crime information sharing, cyber and digital risks, including external government and industry policy / liaison in the context of information sharing, and providing support to the Bank’s 4 global businesses; with specific focus on HSBC’s Retail Bank and Private Bank businesses. Paul has also been leading on preparation and implementation of GDPR for HSBC.

    Paul is a regular speaker on data protection, digital and cyber security related issues, having acted as the co-Chair of the legal and regulatory working group for the UK’s Open Banking Working Group and the current Chair of FS-ISAC’s Cyber Working Group.

  • Enda McMahon

    Enda McMahon

    EMEA Head of Compliance, BlackRock

    Enda McMahon

    Enda McMahon

    EMEA Head of Compliance, BlackRock

    Enda McMahon,Managing Director, is EMEA Head of Compliance for BlackRock, based in London.

    Enda has responsibility for managing the EMEA Compliance Department, which is comprised of over 80 compliance professionals located in London, Dublin, Edinburgh, Paris, the Channel Islands, Amsterdam, Luxembourg, Munich, Zurich and Milan.  Enda and the Department are responsible for the design and delivery of all aspects of the Compliance Strategy and Compliance Programme, facilitating the continuation of BlackRock's strong regulatory record and reputation and protecting the best interests of clients.  

    Enda joined BlackRock in December 2013 from State Street Global Advisors, where he was EMEA Head of Compliance, prior to which he was Global Chief Compliance Officer for Bank of Ireland Asset Management and Inspection Leader with the Central Bank of Ireland.

    A regulatory compliance professional since 1998, Enda has over 25 years of relevant experience overall having also worked professionally as an Auditor with the Office of the Comptroller and Auditor General and as an Accountant with Eagle Star. 

    A member of the Chartered Institute of Management Accountants and the U.K. Chartered Institute for Securities and Investment, Enda also holds the CGMA designation.  His studies also include the exams of the Master of Science in Investment and Treasury and Law.

  • Jonny Medland

    Jonny Medland

    Senior Policy Adviser, HM Treasury

    Jonny Medland

    Jonny Medland

    Senior Policy Adviser, HM Treasury

    Jonny Medland is a Senior Policy Adviser in HM Treasury’s Sanctions & Illicit Finance team.

    He is responsible for policy areas including the negotiation and transposition of amendments to the Fourth EU Money Laundering Directive, AML policy in the context of EU withdrawal, information-sharing and the treatment of politically exposed persons.

    Prior to joining HM Treasury, Jonny worked as a financial services lawyer.

  • Caroline Meinertz

    Caroline Meinertz

    Partner, Clifford Chance

    Caroline Meinertz

    Caroline Meinertz

    Partner, Clifford Chance

    Caroline Meinertz is a regulatory partner within the Financial Services and Markets Practice at Clifford Chance.  She specializes in advising clients on the complex implications of evolving financial services regulation and law.

    In 2015, Caroline was named in the Institute of International Finance's Future Leaders Class of 2015, recognizing her track record of achievement and potential to become a future leader in global finance.

    Caroline's regulatory practice has a particular focus on the post-trade sector. She has been the go-to adviser for number of leading service providers in this area including Citi, one of the world's leading providers in custody, clearing and settlement services. Her current focus is on advising on the shifting regulatory landscape and assisting clients execute major corporate reorganisation projects in light of Brexit.  

    Caroline is co-head of the firm's payment services practice, with expertise in UK and EU payment services law. In this capacity, she is advising major cash management banks on issues such as the implementation of PSD2, the impact of EU capital and leverage ratio rules on cash management products and the potential implications of Brexit on their participation in EU payment systems.

  • Elisa Menardo

    Elisa Menardo

    Director, Public Policy Europe and UK, Credit Suisse

    Elisa Menardo

    Elisa Menardo

    Director, Public Policy Europe and UK, Credit Suisse

    Elisa Menardo, a financial services regulatory lawyer within the Public Policy team, Europe and UK, at Credit Suisse, chairs the MiFID Steering Committee at AFME.  Previously, she ran the regulatory change advisory function within Credit Suisse and other investment banks. Earlier in her career Elisa worked at the UK Financial Services Authority, the European Commission and Herbert Smith Freehills, where she qualified as a solicitor in 2003. Elisa holds a MSc (Laurea) in economics and management of public and international organisations from Bocconi University (Milan) and postgraduate professional qualifications in law from the College of Law (Guildford).

  • Richard Middleton

    Richard Middleton

    Managing Director, Co-Head of Policy Division, AFME

    Richard Middleton

    Richard Middleton

    Managing Director, Co-Head of Policy Division, AFME

    Richard Middleton is Co-Head of Policy Division at AFME.  The Policy Division covers key areas of Regulatory Compliance, including Data Protection, Conduct (including Financial Crime), Operational Tax Compliance, and Financial Reporting and Disclosure. 

  • 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.

  • Oliver Moullin

    Oliver Moullin

    General Counsel, AFME

    Oliver Moullin

    Oliver Moullin

    General Counsel, AFME

    Oliver Moullin is AFME’s General Counsel.  His roles include Programme Director of Brexit and Head of Recovery and Resolution. He is also AFME’s Company Secretary.

    Oliver has over 12 years’ experience in financial services. Prior to joining AFME he was a Senior Associate at the law firm Hogan Lovells where he advised on restructurings and insolvencies of large companies and financial institutions.  Oliver has a law degree from the University of Bristol.

  • Rob Moulton

    Rob Moulton

    Partner, Latham & Watkins

    Rob Moulton

    Rob Moulton

    Partner, Latham & Watkins

    Rob Moulton is a partner in the London office of Latham & Watkins and Co-chair of the firm’s Financial Institutions Group. He specializes in financial services regulatory advice and has vast experience advising financial institutions and market infrastructure providers on a wide range of complex domestic and cross-border regulatory issues.

    Rob advises investment banks, governments, corporate finance houses, clearing houses, fund managers, insurers, stockbrokers and online trading business on a variety of legal and regulatory risk management matters, with particular expertise in the FCA’s Conduct of Business Rules, Market Abuse Regulation, European regulatory developments such as MiFID, and contested enforcement actions.

    Mr. Moulton is recognized as a “leading individual” in The Legal 500 for financial services non-contentious regulatory.

  • Janet Oram

    Janet Oram

    Head of European ABS, BlackRock

    Janet Oram

    Janet Oram

    Head of European ABS, BlackRock

    Janet Oram, Director, is Head of European ABS within BlackRock's Global Fixed Income group.

    Janet’s service with the firm dates back to 2006, including her time with Barclays Global Investors (BGI) which merged with BlackRock in 2009.  At BGI Janet was a senior credit analyst for European asset backed securities.  

    Prior to joining BGI, she was an Associate Director at Fitch Ratings and lead ratings analyst in the Consumer ABS group.  Previously, she was a business analyst at the Paragon Group of Companies.

  • Allison Parent

    Allison Parent

    Executive Director, GFMA

    Allison Parent

    Allison Parent

    Executive Director, GFMA

    Allison Parent is the Executive Director of the Global Financial Markets Association (GFMA).

    Allison most recently served as Head of Global Policy and Strategy at Barclays in London.  Previously, she served as Senior Policy Advisor and Counsel for Markets at the Bank of England.  Prior to that she was Director for Government Policy and Finance with Barclays in Washington, DC. 

    Allison also served as General Counsel to the U.S. Senate Committee on the Budget.  During that time, Allison was an advisor on key financial services legislation, including the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Emergency Economic Stabilization Act (TARP). 

  • Alessandra Pierucci

    Alessandra Pierucci

    Representative of Service for EU and International Matters, The Italian Data Protection Authority

    Alessandra Pierucci

    Alessandra Pierucci

    Representative of Service for EU and International Matters, The Italian Data Protection Authority

    Alessandra Pierucci is a lawyer and has been working for several years at the Italian Data Protection Authority.  She has been actively involved in data protection at EU, OECD, and Council of Europe level.  Alessandra is a long serving member of the Consultative Committee of Convention 108, of which she became Chair in 2016.

    Alessandra worked for the Council of Europe dealing with human rights in the Information Society. Within the Article 29 Working Party she coordinates the subgroup dealing with data protection in the financial sector. As part of her research activity, she has published several papers concerning data protection issues on juridical journals and books.

    Alessandra has taught data protection in post graduate courses in some European universities.

  • Andrew Procter

    Andrew Procter

    Partner, Financial Services Regulatory, Herbert Smith Freehills

    Andrew Procter

    Andrew Procter

    Partner, Financial Services Regulatory, Herbert Smith Freehills

    Andrew Procter is a leading financial services regulatory expert and a highly regarded senior figure in the financial services and investment banking industry. He has held several high-profile positions, most recently Global Head of Compliance, Government and Regulatory Affairs at Deutsche Bank, which he joined in 2005. Prior to that, he was head of the Enforcement Division at the UK Financial Services Authority from 2001 to 2005.

    Andrew held senior positions at the Hong Kong Securities and Futures Commission from 1996 to 2001, including as Commission Member and Executive Director of the Intermediaries and Investment Products Division and before that, as head of enforcement at the Australian Securities Commission.

    Andrew has been responsible for hundreds of regulatory investigations, both criminal and administrative. He has also been responsible for the design and practical implementation of strategic compliance and risk control programs covering a very wide range of businesses, jurisdictions and risks.

    Since his arrival at Herbert Smith Freehills, Andrew has advised on regulatory investigations, compliance and governance issues at several major global banking clients, including on several market abuse and systems and control cases and on the identification and management of legal, compliance and regulatory risks. He has also provided strategic advice to senior management at clients on their oversight and regulatory responsibilities. Several internationally active banks have sought his advice on emerging international regulatory issues. Clients particularly value his ability to answer the "so what?" question arising from an analysis of the law.

  • Barnabas Reynolds

    Barnabas Reynolds

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

    Barnabas Reynolds

    Barnabas Reynolds

    Head of Global Financial Institutions Advisory and 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 is named as a Law360 MVP and recognised in The Lawyer magazine’s annual “Hot 100" list of leading London-based lawyers.

  • Tara Rice

    Tara Rice

    Member of Secretariat, Financial Stability Board

    Tara Rice

    Tara Rice

    Member of Secretariat, Financial Stability Board

    Tara Rice joined the Financial Stability Board in September 2016 to work, primarily, on evaluating the effects of financial regulatory reforms. 

    Previously, Tara served as the Deputy Assistant Secretary for International Financial Stability and Regulation at the U.S. Department of Treasury.  In this role, Tara co-chaired the U.S.-EU Financial Regulatory Markets Forum, a bi-lateral dialogue with the European Commission to discuss ongoing regulatory issues; provided analysis of international banking and financial market regulatory issues and oversaw the International Banking and Securities Market office.

    Prior to Treasury, Tara worked for more than a decade in the Federal Reserve System and most recently, as Chief of the Global Financial Institutions section at the Federal Reserve Board.  In 2012, she received the Board’s Special Achievement Award for outstanding contributions toward the objectives and mission of the Board.

    Tara’s research on financial institutions has appeared in academic journals, such as the Journal of Finance, the Journal of Financial Intermediation, as well as in Federal Reserve publications.  She holds a PhD in Finance from Boston College.

  • Mathew Roche

    Mathew Roche

    EMEA Head of Banking and Syndicate Compliance, Roche

    Mathew Roche

    Mathew Roche

    EMEA Head of Banking and Syndicate Compliance, Roche

    Mathew Roche is the EMEA Head of Banking Compliance for Barclays International and is responsible for leading coverage of corporate finance and M&A, capital markets origination, syndicate, and risk solutions.

    Before joining Barclays in 2013, Mathew worked at Citi for 11 years in several different roles in the Compliance and Legal function.

  • Bharat Samani

    Bharat Samani

    Managing Director, Head of Compliance UK and Europe, BBVA and Co-chair, Compliance Committee, AFME

    Bharat Samani

    Bharat Samani

    Managing Director, Head of Compliance UK and Europe, BBVA and Co-chair, Compliance Committee, AFME

    Bharat Samani is a Managing Director and Head of Compliance UK and Europe at BBVA.
    Bharat has previous held positions as Head of Compliance or Senior roles in the Compliance divisions Citi, UBS, CIBC and Dresdner Kleinwort.

    Prior to this Bharat gained experience in trading room products, corporate finance advisory, research and central compliance. He has also been responsible for Financial Crime teams including re-mediation projects and retail markets in banking and broking.

    He is a current Co-chair of the AFME Compliance Committee and Chair of the Compliance Committee at the Association of Foreign Banks (AFB).

  • Jeewon Kim Serrato

    Jeewon Kim Serrato

    Counsel and Co-Head of the Global Privacy and Data Protection Group, Shearman & Sterling

    Jeewon Kim Serrato

    Jeewon Kim Serrato

    Counsel and Co-Head of the Global Privacy and Data Protection Group, 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).

  • Stephen Strombelline

    Stephen Strombelline

    Managing Director, Capital Forensics

    Stephen Strombelline

    Stephen Strombelline

    Managing Director, Capital Forensics

    Stephen Strombelline is a Managing Director with Capital Forensics, focusing on compliance, regulatory and risk management capabilities for financial services firms and Fortune 500 companies.  Stephen has more than three decades of compliance and regulatory experience, most recently having served as a Senior Vice President and Head of Corporate Compliance for the Charles Schwab Corporation. Here, he was responsible for establishing a framework for identifying, monitoring and reporting compliance risks across the corporation and had frequent interaction with key regulators.

    Previously, Stephen had served as Chief Compliance Officer in the United States for two major global banks, Barclays Capital and BNP Paribas, where his responsibilities included developing and maintaining comprehensive compliance programs for all of their bank and broker-dealer businesses, relevant to securities and banking regulations.  

    Stephen started his career at the predecessor to the Financial Industry Regulatory Authority (FINRA), and for many years was the Associate Director of the New York office.  He served as Chairman of the National Society of Compliance Professionals and the Institute of International Bankers' Compliance Committee, and was an Executive Committee Member of SIFMA's Compliance & Legal Society. 

  • Kate Sumpter

    Kate Sumpter

    Partner, Allen & Overy

    Kate Sumpter

    Kate Sumpter

    Partner, Allen & Overy

    Kate Sumpter is a partner in Allen & Overy’s Financial Services Regulatory practice. She has over 12 years’ experience in the financial services sector and has extensive experience of dealing with complex regulatory-driven structural change projects for international banks and has assisted several international banking institutions with designing and developing their legal entity structures.

    Kate is a core member of Allen & Overy’s Brexit team, working with clients to develop their Brexit plans.  She is currently leading on the regulatory aspects of Allen & Overy’s mandate to advise a UK retail bank on ring-fencing and operational continuity implementation.

    Kate has advised a number of banks on the drafting of Recovery and Resolution Plans, and various institutions and government authorities on liability management exercises and resolutions. She has acted as a member of the Banking Liaison Panel, a working group established by HM Treasury to consider bank and investment failure, on behalf of ISDA. 

  • 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.