Secretary General, IOSCO
Paul was appointed as Secretary General in December 2015 and joined IOSCO in March 2016. In this role, he is responsible for supporting the pursuit of IOSCO’s strategic objectives and leading the General Secretariat.
Prior to joining IOSCO, Paul spent eighteen years at the Financial Industry Regulatory Authority (FINRA) in Washington DC, thirteen of those serving as Vice President and Managing Director, International Affairs. In this capacity he directed FINRA's international engagements and worked closely with key regulators and regulatory bodies worldwide, including IOSCO.
Prior to FINRA, he spent eight years at the U.S. Securities and Exchange Commission. During this time, he worked in the Division of Market Regulation (now Trading and Markets) and the Office of the General Counsel. In these capacities, he led the international affairs office in Market Regulation, analyzed various legal and policy issues concerning the structure of securities markets, market intermediaries, and dispute resolution. Prior to the SEC, Paul spent four years in private legal practice in Washington, DC.
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.
Chairman, Autorité des Marchés Financiers (AMF)
Robert was appointed Chairman of the Autorité des Marchés Financiers on 1st August 2017. He graduated from the ESSEC business school Robert Ophèle and joined the Banque de France in 1981 where he would make the largest part of his professional career in banking supervision, developing and implementing monetary policy and bank’s financial management.
Following a secondment to the Federal Reserve Bank of New York, he took up the position of Director of the Management Control and Budget Directorate, then appointed Deputy Director General Economics and International Relations, before being promoted Director General Operations.
Robert held the position of Second Deputy Governor of the Banque de France from January 2012 until July 2017; in this role he became a member of the Supervisory Board for the European Central Bank.
Chair, Financial Conduct Authority (FCA)
Charles became Chair of the Financial Conduct Authority and our subsidiary the Payment Systems Regulator in April 2018. Before that he was an external member of the Prudential Regulation Committee from 1 April 2013 until 31 March 2018.
He is a Non-Executive Director and Chair of the Audit and Risk Committee, at the Department for Business, Energy and Industrial Strategy. He is also a visiting fellow in financial services regulation at Queen Mary University of London.
Charles was a partner at law firm Slaughter and May from 1989 to 2013. He specialised in corporate finance law, and worked on financial stability and bank restructuring assignments, in particular during the global financial crisis.
Deputy President, Federal Financial Supervisory Authority (BaFin)
Elisabeth was appointed as Chief Executive Director of Securities Supervision at the Federal Financial Supervisory Authority (BaFin) in May 2015. Before that, she was General Counsel and Head of the Corporate Centre for legal affairs and taxes on products at DekaBank Deutsche Girozentrale and head of the division for ad hoc disclosure and directors dealings at BaFin.
Before joining BaFin, Roegele was a member of the management board of the Stuttgart Stock Exchange and she also worked in the legal department of Bausparkasse Schwäbisch Hall and at the Exchange Supervisory Authority of the Hessian Ministry of Economics.
She is a fully qualified lawyer and holds a Master’s degree in European and International Business Law from the University of St. Gallen in Switzerland.
As Member of the Executive Board of BaFin, Roegele is also a member of the Board of Supervisors of the European Securities and Markets Authority (ESMA) and of the Board of the International Organization of Securities Commissions (IOSCO).
Chair, Dutch Authority for the Financial Markets (AFM)
Merel took up the position of Chair of the Dutch Authority for the Financial Markets (AFM) on the 1st of April 2014. From 2009 until the 1st of April 2014, Merel was a member of the Executive Board of Nederlandse Spoorwegen (Dutch Railways).
Prior to her employment with NS, she fulfilled various positions with the bank and insurance company ING, both in the Netherlands and abroad. Until 2007, Merel was the director of the collective pension operations of the insurance company Nationale Nederlanden, after which she joined ING Investment Management Europe as a member of the Management Committee.
Merel strives for diversity within organizations. In 2012, Merel van Vroonhoven was elected the top executive woman of the year in the Netherlands. She studied Geophysics at the Delft University of Technology (1993) and obtained her MBA degree, with honours, from INSEAD, in Fontainebleau (2000).
Trading Correspondent, Financial News
Sam is the Trading & Technology Correspondent at Financial News, where he writes about exchanges, clearing houses, high-frequency trading, cryptocurrencies, and market structure.
Aside from Financial News, his work has appeared in The Wall Street Journal and Marketwatch. Prior to joining Dow Jones, he wrote about markets as a senior reporter at a London-based newswire.
Sam graduated from the University of Stirling with an honours degree in Philosophy and Journalism.
Partner, Financial Services Regulatory, Herbert Smith Freehills
Karen is a Partner in Herbert Smith Freehills, where she leads the FSR horizon-scanning team, analysing new law and regulation to ensure that her clients anticipate and remain at the forefront of regulatory law and practice. Karen is actively engaged in discussions with HM Treasury and UK regulators concerning the development of financial services regulatory policy at a UK and European level.
Karen has more than two decades of experience in helping a wide range of financial sector clients to resolve contentious and non-contentious regulatory matters, both in the UK and overseas. She brings a rounded perspective to her advice, through an in-house secondment in a major banking group as Head of Regulatory, a secondment to the UK financial regulator and a prior role as criminal prosecutor in Australia. Karen helps banks and brokers with a wide range of regulatory issues, including responding to reviews, attestations and inquiries, focusing particularly on market abuse, wholesale conduct, conflicts of interest, sponsor duties, investment research, and systems and controls issues.
She chairs the City of London Law Society Regulatory Law committee, and works with the industry in various forms, most notably the BBA Market Abuse working group, the Law Society Banking Reform working group and the Wealth Management Association's European Committee.
President, Women in Banking and Finance
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. She has many years of experience leading a broad range of diversity initiatives and groups both within firms and across sectors.
Vivienne joined Thomson Reuters as the Chief Privacy Officer in November 2017, based in London, leading the global Privacy Team and overseeing global privacy strategy and practice at Thomson Reuters. Previously, Vivienne was 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. Prior to joining Citi in 2000, Vivienne worked in private practice in London.
She chairs the International Regulatory Strategy Group Data Working Group and sits on the European Advisory Board of the International Association of Privacy Professionals (IAPP). Until recently, Vivienne was the chair of the AFME Data Protection Working Group, engaged in the UK Finance Data Protection Working Group, and co-chair of the IAPP Knowledge Net for the United Kingdom.
Partner, Capital Markets, Freshfields
Mark is a corporate partner at Freshfields who specialises in capital markets. He regularly advises a range of corporate and investment bank clients on public and private securities offerings of all types.
He is a member of the Listing Authority Advisory Panel, which advises the FCA on primary markets issues, the Primary Markets Group, which advises the London Stock Exchange on capital markets matters and of the Company Law Committee of the City of London Law Society.
In January 2015, he was named in The Lawyer's Hot 100 and in 2009 was named as one of the Top 40 next generation dealmakers by mergermarket. Recent capital markets work includes the IPOs of Funding Circle, Aston Martin, Quilter, Bakkavor and Alfa, as well as the rights issues by Cineworld and Laird.
Head of Compliance UK, Middle East and Ireland, ING
Emma is a Managing Director at ING Bank, and is the UK Regional Head of Compliance covering London, Dubai and Dublin offices. With more than 20 years’ experience working both internationally and in the City of London, Emma overseas a team of regional compliance officers covering advisory, monitoring, control room and financial economic crime. She has extensive experience of managing compliance risk and implementing regulatory and conduct risk programmes at a global and regional level.
Prior to joining ING, Emma worked for 3i, Standard Bank and Merrill Lynch. Emma graduated in History and Society from Exeter University before completing the Common Professional Exam and Legal Practice Course at the University of Law, Guildford.
Emma is the founding chair of ING’s Diversity and Inclusion Forum, a member of the Bank’s UK Charity Committee and Trustee of the Baring Foundation.
Partner, Clifford Chance
Chris 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's 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.
He is a member of the Council of the International Regulatory Strategy Group, advising TheCityUK and the Corporation of London and is an active participant in other industry and official committees and working groups on regulatory issues.
Chris joined Clifford Chance in 1980 and from 1983 to 1988 was based in the firm's Hong Kong office. He is a Solicitor of the Supreme Court in England and holds degrees from Oxford University and Columbia Law School.
UK Equality Law Specialist, Independent Consultant
Linda has been working in the field of equality since 1984 when she was appointed team leader for Equality and Grants Monitoring in the Womens Unit of the GLC. Since then she has held various post in Local Government and more recently Linda was appointed Chair of the Institute of Equality and Diversity Practitioners, now known as IED Professionals.
Since the change of government Linda has not undertaken much professional work but her emphasis remains imparting knowledge of and compliance with Equality law. Linda was awarded an OBE for her services to Diversity in 2006.
Executive Director, IB Compliance & Operational Risk Control, UBS Investment Bank
Ollythia joined UBS Investment Bank Compliance and Operational Risk Control in January 2015 and spent the first year driving delivery of a change agenda within the Global FICC, including enhancements to controls, culture and behaviour in the first and second lines of defence. Since then, the focus of her work has shifted to oversight of regulatory change and structural reform, including Market Abuse Regulation, MiFID II, operational continuity and, most recently, working on UBS’s Brexit program.
Her professional interests include governance, conduct and behaviour. She has previously worked in compliance and regulatory risk roles at Barclays, Ernst & Young (including a secondment in the FCA Wholesale Enforcement Division), and Commonwealth Bank Global Markets. Ollythia is a member of the AFME and AFB Compliance Committees.
Peter is Global Head of Linklaters’ Financial Regulation Group and is one of the firm’s global Investment Managers sector leaders. He is actively engaged in advising a number of firms on preparation for Brexit including contingency planning, analysis of cross-border activity, new authorisation applications in the UK and a number of EU-27 jurisdictions, and contractual transfer and continuity.
Peter has developed close working relationships with the firm’s banking and investment management clients. His practice includes all aspects of financial markets regulatory advice for broker-dealers and investment banks. Peter advises investment managers, private banks, hedge funds and private equity funds as well as market operators on regulatory issues affecting them. He also advises clients on regulatory investigations into areas such as market conduct, client money compliance and transaction reporting failures.
Peter has recently advised several banks and investment firms on the implementation of MiFID2, Benchmarks Regulation, MAR, SMCR and other regulatory reform initiatives.
EMEA Equity Capital Markets Counsel, Managing Director and Associate General Counsel, Bank of America Merrill Lynch
Mark is a Managing Director and Associate General Counsel at Bank of America Merrill Lynch in London, providing 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 the EMEA ECM counsel team.
Before moving to Merrill Lynch, Mark was a managing associate at Linklaters, in their London and Singapore offices.
Mark has an MA in Modern and Medieval Languages from Pembroke College, Cambridge; and honours in Law from York College of Law.
Director, ECM and Corporate Finance, AFME
Andrew qualified as a solicitor in 1990 and has worked in the legal and compliance departments of four AFME member firms after moving in house: Credit Lyonnais, Credit Suisse and Nomura and as a consultant at HSBC.
At Credit Lyonnais UK he worked as a general banking lawyer until 1995 and from 1996 until 2009 at Credit Suisse in the investment banking legal department covering legal and compliance issues in equity and debt capital markets and high yield/leveraged finance. In this role he contributed to a number of SIFMA/AFME private side initiatives.
From 2010 to 2014 he was Head of EMEA Conflicts Management at Nomura and during 2014-15 was a consultant at HSBC in the Regulatory Compliance team. He has worked at AFME since October 2015 and covers Equity Capital Markets, Research and Corporate Finance/M&A.
General Director of Markets, Comisión Nacional del Mercado de Valores (CNMV)
Rodrigo Buenaventura is the General Director of Markets of the Comisión Nacional del Mercado de Valores (CNMV) since March 2017. Prior to this, he occupied other positions at the CNMV, such as Head of the Secondary Markets Department (2007 – 2011) and Director of International Affairs (2005 – 2007). The General Director is responsible, among other things, for the supervision of activities in the securities markets such as: proceedings in connection with the issuance of securities, compliance with the conditions for trading and transparency in transactions, verification and analysis of the auditors’ report of securities issuers.
Before joining the CNMV in March 2017, Rodrigo was Director of Markets of the European Securities and Markets Authority (ESMA) from 2011 to 2017.
He holds a degree in Economics and Business Administration by Universidad Autónoma of Madrid. He was professor in several programs of finance masters, and co-author of some monographs on Spanish Financial System.
Deputy General Counsel, Head of European Regulatory Change, HSBC
Alexandria is a specialist in UK and EU financial services regulatory law. Having worked in government, including as HMT’s lead legal adviser on EU financial services strategy, in private practice and in house, she has considerable experience in negotiating, transposing, advising on and implementing financial services law.
She is ideally placed to assess the impact of legal, regulatory and market developments and the challenges and opportunities they create.
Head of Asset Management Regulation Division, Autorité des Marchés Financiers (AMF)
Vanessa started her career in 2002 in alternative asset management at Lyxor Asset Management. She then joined CASAM (now AMUNDI) where she participated to the set-up and launch of its managed account platform. In 2006, she was a structurer dedicated to leverage solutions for funds of hedge funds in the equity-derivatives department of BNP Paribas London branch.
In 2010, she joined BNP Paribas prime brokerage platform, as a business developer. Vanessa has been working at the AMF since 2015, as deputy head to the Asset Management Policy Division and from January 2018, as the head of this. She has in particular been involved in MMF and PRIIPs’ negotiation. She is also involved in IOSCO work and is in particular co-heading the IOSCO Committee 5 subgroup on leverage.
Vanessa holds a post-graduate degree in political sciences and an MS in International Business low and management from ESSEC Business School.
Managing Director, Global Head of Surveillance, Société Générale
Paul has been leading Société Générale‘s Global Surveillance program since 2016, managing teams and projects encompassing trade and communications surveillance tools, infrastructure and transformative technologies at Investment Bank and Group level.
Paul has over 20 years of Compliance experience working for tier 1 Investment Banks including UBS and JP Morgan and has managed teams across a range of Compliance disciplines including markets and banking advisory, risk assessment, and latterly surveillance, where he led programs of work at BNP Paribas and Barclays prior to his move to Société Générale.
Independent Chairman, AFME
Michael has been serving as the first Independent Chair of Association for Financial Markets in Europe (AFME) since January 2018 and he has been appointed Chairman elect for The Chartered Institute for Securities and Investment ( CISI), starting on October 2018. Michael is also Chair of the European Executive Management Forum.
Until December 31st 2017 Michael was the Executive Vice President of BNY Mellon and Chairman of Europe, Middle East and Africa (EMEA) and member of the Corporate Executive and Operating Committees. From 2011 to 2017 he was responsible for governance culture and leads regional strategy development, execution and the delivery of enterprise initiatives in the region.
Stuart is a Partner leading EY’s Capital Markets Conduct and Compliance group. His background is drawn from his previous roles as a regulator, consultant and Head of Compliance.
He supports clients in addressing a broad range of regulatory issues including market abuse, conflicts of interest, client assets, senior manager regime, conduct risk and culture. Stuart has worked with clients to support them in developing their compliance structure and approach to regulatory risk management as they evolve to address the needs and expectations of their internal and external stakeholders.
As conduct risk lead he works closely with clients, regulators and trade bodies in developing approaches to the identification and embedding of conduct risk in emerging regulatory risks including Brexit and LIBOR discontinuation. Stuart works closely with the EY Global Capital Markets Partner group to deliver solutions both in-region and on an extra-territorial and global basis.
Vice President, Assistant General Counsel, Stephens
Molly serves as Assistant General Counsel for Stephens Inc., where she provides legal advice on general corporate and securities law matters. She primarily provides counsel to the firm’s research and institutional sales and trading departments regarding research-related rules and enforcement actions, as well as the impact of MiFID II.
Prior to joining Stephens, Molly was an Associate for Donovan & Rainie, LLC, representing industry professionals in corporate and securities litigation and transactional matters.
Molly received her Bachelor of Music in Vocal Performance from New York University, J.D. from the University of Baltimore School of Law, and LL.M. in Securities and Financial Regulation from Georgetown University Law Center. She serves as Co-Chair of the SIFMA Compliance & Legal Future Leaders Committee.
Managing Director, Head of Compliance, AFME
Will 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.
Partner, Shearman & Sterling
Thomas is a partner in the Financial Institutions Advisory and Financial Regulatory practice of Shearman & Sterling. He advises financial institutions, including banks, exchanges, clearing houses, fund managers, brokers and settlement systems on legal and regulatory issues and in their business transactions.
Thomas has advised on the implementation and impact of the EU/UK regulatory reforms arising out of the recent financial crisis and how local initiatives fit into the global regulatory architecture including on EMIR, MiFID II, capital, recovery and resolution, governance, ring-fencing, the EU single market program, anti-money laundering issues and shadow banking reforms. More recently he has been advising financial market participants on the potential impact of Brexit on their businesses.
Partner, Clifford Chance
Dorian is a partner on Clifford Chance, a solicitor advocate and former barrister. He specialises in investigations and regulatory enforcement action, as well as financial services litigation. He has represented clients during investigations and disciplinary action brought by domestic and international regulators. In the UK, Dorian has experience of investigations and enforcement action by the PRA, FCA (FSA), SFO, The Panel on Takeovers and Mergers, the Financial Reporting Council and various exchanges.
Dorian is a main board trustee of the National Skills Academy for Financial Services and Dorian is recognised as a leading expert in regulatory issues affecting UK regulated institutions.
Annegret works as an author, lecturer and consultant to enterprises and agencies in Berlin. She is the Chairperson of the non-profit Whistleblower-Network. Before, she was the director of the Association of German Scientists (VDW). From 1999 until 2014 she was a member of the jury bestowing the German Whistleblower Award donated by the VDW and by the lawyers‘ association IALANA. Among the winners are the nurse Brigitte Heinisch (2006 - Heinisch v. Germany,ECHR 2011), the tax investigator Rudolf Schmenger (2009), and Edward Snowden (2013).
She has written and edited numerous publications about whistleblower cases and about issues concerning the political and social impact of whistleblowing. She sees and analyses whistleblowing in the context of the public interest and Human Rights, namely of freedom of expression and information.
Annegret is a member of the German Science Journalists Association (WPK), a trustee of the charity WIN (Whistleblowing International Network) and the IALANA advisory board.
Director, Legal Counsel, EMEA, Sumitomo Mitsui Banking Corporation
Ilaria is a Legal Counsel at SMBC where she provides advice to the bank on the application of relevant laws and regulations, including competition law, financial benchmarks and cross border marketing and licensing rules, in particular in relation to regulatory matters applicable to financial services, litigation and multi-jurisdictional investigations.
Prior to joining SMBC, Ilaria worked in private practice in London as a competition lawyer, where she was involved in advising clients on all aspects of EU and UK competition law, including M&A transactions, regulatory investigations and litigation before the EU and UK courts.
Ilaria holds a Business and Economics degree and is an English-qualified solicitor.
Independent Risk Management and Compliance Consultant, currently on assignment at HSBC
Andrew has worked across risk management and regulatory compliance in executive and consultant roles covering wholesale and investment banking and consumer finance, with experience founded within IT, business consultancy and software services.
He is a change and transformation specialist working in Programme Director and COO-practitioner roles with over 35 years’ experience delivering critical business and technology transformation initiatives with leading global financial institutions, with a deep understanding of front-to-back risk management practices, processes and controls as well as associated quantitative principles and methods, spanning across traded market, credit/counterparty and operational risk.
Andrew and his consulting firm offer a significant track record in delivery through management of large matrix organisations, leading both internal and third party teams providing both influence and footprint at the most senior levels within an organisation (C-suite and Board) to drive strategic and tactical initiatives.
Executive Director, Autorité des Marchés Financiers (AMF)
Philippe was appointed Executive director of the Markets Directorate at the Autorité des Marchés Financiers (AMF), the national regulator of France, on March 2012. The Markets Directorate oversees markets and monitors market infrastructure and stakeholders. Since joining the Autorité des Marchés Financiers, Philippe has taken a leading role in the market microstructure debate, especially in relation to issues regarding tick size. He actively contributes to various ESMA working groups, focussing on the Markets in Financial Instruments Directive Level II.
Philippe began his career in finance in 1987 at DKL James Capel (now HSBC), where he held various positions. In 1991 he joined Enskilda Securities as a market maker, first in Paris, then in London. In 1998 he moved to Crédit Agricole Cheuvreux in Paris, taking over as head of Facilitation, before being made Group Trading director in 2006, in Paris and then London.
Throughout this time Philippe has played an active role in numerous working groups and market authorities dealing with MiFID issues. He was a member of the Securities Trading Committee of the AFME (Association for Financial Markets in Europe), and represented Cheuvreux with the Regulated Markets and MTF (Multilateral Trading Facilities). Philippe holds a degree in private law from Paris XI University.
AML Senior Policy Specialist, Central Bank of Ireland
Michelle is currently a Senior Policy Specialist within the Legal, Policy and Risk team in the Anti-Money Laundering Division of the Central Bank of Ireland. The Legal, Policy and Risk function comprises of multi-disciplinary teams responsible for internal legal advice on AML/CFT, regulatory policy formulation and advocacy, data analytics and risk assessment, investigation of unauthorised providers and administration of international financial sanctions. Among Michelle’s current priorities is the identification and assessment of new and emerging risks.
She has worked in AML/CFT compliance and supervision for more than a decade and has an in-depth knowledge of the practical application of legislation as well as an intimate understanding of an effective control environment and the features of a successful compliance program in practice.
Chief Executive Officer, FICC Markets Standards Board (FMSB)
Gerry is the Chief Executive of the FICC Markets Standards Board (FMSB). He was Group Head of Compliance for the ICAP Group from 2010 to 2015.
Prior to ICAP he worked at a number of organisations including the Global Banking and Markets Division of RBS, Nikko Europe, LIFFE and NatWest Markets.
He is a qualified as a Solicitor and worked at Cadwalader, Wickersham and Taft and Milbank, Tweed, Hadley and McCloy in London.
Partner, Latham & Watkins
Nicola is a partner in the London office of Latham & Watkins and a member of the global Financial Institutions Group. She specialises 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.
Nicola advises global investment banks, corporate finance houses, fund managers, insurers, stockbrokers and market infrastructure and data services providers on a variety of legal and regulatory matters, with particular expertise in European regulatory developments such as the PRIIPs KID, MiFID II and the EU Benchmark Regulation.
Managing Director, Head of Regulatory Policy, Deutsche Bank
Matt 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.
Director, Global Markets Business Compliance and Regulatory Development, Natixis
Katsuko works at Natixis London Branch as Head of Global Markets Business Compliance and Regulatory Development.
Katsuko’s career history consists of a unique combination of the five key backgrounds; Business Compliance/Advisory for Global Markets business having expertise in both the public and private sides; Regulatory Developments and Regulatory Engagement – upstream regulatory risk and relationship management with regulators; Regulatory Policy – Implementation of regulation and policy maintenance; Banker in Debt Capital Markets Origination after career as Credit and Rates Sales; Regulator, worked as a lead FSA supervisor of high impact and complex firms.
She currently chairs the AFME Compliance Issues Working group, and has been a speaker/panel member on the topics such as Market Abuse Regulation and Transparency and Disclosure issues.
Acting Head of Legal, Bank of England
George is the Acting Head of Legal for the Financial Stability Division of the Bank of England’s Legal Directorate. In this role, he leads the Division's support of the Bank’s financial stability functions, in particular its legal advice relating to: (i) the Bank’s regulation and supervision of financial market infrastructure; (ii) the Financial Policy Committee’s role in monitoring and addressing risks to the UK financial system as a whole; and (iii) the Bank’s role as the resolution authority for the UK.
Prior to joining the Bank, George worked in the financial regulation group of a major international law firm in London.
Head of Compliance EMEA, Bank of New York Mellon
Jacqueline is Head of Compliance for Bank of New York Mellon across Europe, Middle East and Africa (EMEA). In this role she is responsible for 90 Compliance staff for the region covering the four pillars of Compliance: Advisory, Monitoring, financial crime/KYC and regulatory change and 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.
EMEA Head of 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.
Head of UK Competition, Linklaters
Nicole is head of the UK Competition/Antitrust group at Linklaters. With over 18 years of European and UK competition experience, Nicole has led on over 40 significant merger and competition investigations in addition to maintaining a busy investigations and enforcement practice.
She has significant expertise in financial services markets acting for various investment banks and asset managers on recent investigations EU and UK conduct and market investigations including Libor, FX, syndicated lending, corporate and investment banking, investment consulting and the EU’s ongoing consideration of common ownership issues in relation to index funds.
Nicole advises banks on competition compliance programmes, dominance and collusion concerns in relation to platforms, information exchange and remuneration issues amongst others and consequent Principle 11 and Sup 15 obligations vis a vis the FCA. Nicole advises the FMSB on competition law issues associated with its development of market standards in FICC markets and ICMA in relation to competition law compliance.
Compliance Manager, Arbuthnot Latham
Olinka is a Compliance Manager at Arbuthnot Latham & Co. She has worked in the financial services for the past twelve years in various compliance roles covering banking, wealth management, financial planning and insurance.
Olinka has also worked as an international auditor for a multinational company based in Vienna. In last three and a half years she has been specialising in the Individual Accountability Regime (SMR & CR) and other regulatory projects (e.g. Whistleblowing, Modern Day Slavery Act, Benchmarking).
Olinka is a Chartered member of CISI and a member of CISI Compliance Committee.
Managing Director, Global FX, Technology and Operations and Policy Divisions, GFMA and AFME
James 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.
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.
Chief Executive Officer, AFME
Simon 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.
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.
Execuitve Board Member, The International RegTech Association (IRTA)
Richard is an executive Board Member and Strategic Initiatives lead for the International RegTech Association. He is also a founder of the Financial Institution Innovation Network, which creates strategic FinTech collaboration and a mentor at Allen and Overy's Fuse tech innovation space.
Richard is a former founding team member of Sybenetix, which was sold to Nasdaq in 2017. He has a broad experience within global technology companies, start-ups, financial services and government.
Director, Public Policy Europe and UK, Credit Suisse
Elisa is a financial services regulatory lawyer and focuses on securities regulatory policy issues such as MiFIDII, PRIIPs, as well as broader European and UK government affairs.
Prior to joining the Public Policy Europe and UK team, Elisa ran the regulatory change advisory function within Compliance at Credit Suisse, and before that she held similar positions at 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 degree in Economics and Management of Public and International Organisations from Bocconi University (Milan) and a postgraduate in law from the College of Law (Guildford).
Managing Director, Co-Head of Policy Division, AFME
Richard 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.
Prior to joining AFME, Richard held leadership positions at EY, Bear Stearns and GE.
Richard has an MA and a DPhil in Mathematics from Oxford University.
Managing Director, Global Head of Business Compliance, Crédit Agricole
Carlos is the Global Head of Business Compliance for Crédit Agricole CIB. Working at both the public and private sectors, he has been since 2011 deeply involved in the set-up of benchmark regulatory framework in UK and EU and the creation, stabilization, transition and orderly cessation of several important benchmarks.
Following a twenty years career in derivatives and debt capital markets at CL, Paribas and Banque AIG in London, Carlos has had the privilege to work at the UK FSA/FCA creating its two benchmark teams from anew that led multiple UK, EU and global benchmark initiatives such as the Wheatley Review of LIBOR, Hogg Committee to transfer LIBOR administration, UK first regulation for benchmarks (MAR 8), FCA Co-Chairmanship of IOSCO Task Force for Financial Benchmarks that led to the IOSCO Principles for Financial Benchmarks, FCA Co-Chairmanship of FSB OSSG that led to the FSB 2014 recommendations and progress reports, UK FEMR inclusion of seven benchmarks under MAR 8 perimeter, discussion of Level 1 EU BMR at EU Council, EU Commission and EU Parliament and ESMA Level 2 RTS, ITS and Technical Advice. Carlos had as well the privilege to represent FCA at the start of USD and GBP Risk Free Rate initiatives and early discussions to initiate fall back provision groups. Carlos is currently chairing SG4 (EONIA transition) under EUR RFR Working Group.
Carlos holds an MBA from IESE Business School and a Master’s Degree in Organic Chemistry from Universitat Autònoma de Barcelona.
COO, EMEA, BlackRock
Stacey is a Managing Director and the Chief Operating Officer of the EMEA region for BlackRock. In this role, Stacey is responsible for the effective operation of the region. This includes partnering with functional management to support growth and client service across channels, to manage risk, to promote operational efficiency, and to respond to market and regulatory change.
She was formerly the Global COO of BlackRock’s Trading, Liquidity and Investments Platform business, covering trading, securities lending, capital markets, transitions and cash management. Stacey joined BlackRock in 2007 during the founding of the Financial Markets Advisory team. She served as a primary project and client relationship manager for several of BlackRock’s financial crisis response projects. Following her work in FMA, Stacey took on management roles in the Corporate Strategy team and Fixed Income Portfolio Management teams.
Prior to joining BlackRock, Stacey was a leader at Oliver Wyman, a financial services consulting firm, where she focused on risk management and process efficiency. She holds a BA degree in Mathematics from Harvard College.
Managing Director and General Counsel, AFME
Oliver is Managing Director and General Counsel at AFME. Oliver joined in 2012 and leads AFME’s work on Brexit and Recovery and Resolution policy. He also acts as General Counsel and Company Secretary for the association.
Prior to joining AFME, Oliver was a Senior Associate in the restructuring and insolvency group at Hogan Lovells. He also spent a period on secondment to Barclays’ legal team. Oliver has a law degree from the University of Bristol.
Managing Director, Head of Legal for Strategy and Bank Structure, Barclays
Laura leads the global legal team responsible for Strategy and Bank Structure for the Barclays Group. Her team is responsible for the legal design and implementation of bank-wide strategic and structural initiatives, including U.K. ring-fencing and Brexit. She previously led Strategic and Regulatory Legal Change for Barclays Investment Bank in EME overseeing the delivery of regulatory change including MiFID II, BRRD and EMIR, and was the Global Head of the Prime Services legal team.
Prior to joining Barclays in 2009, Laura spent five years at Credit Suisse in London covering the Equity and Corporate Derivatives businesses and four years in private practice with Baker McKenzie. Laura holds a BA in Jurisprudence from Oxford University and a Masters in European Law from the College of Europe in Bruges.
She is an active participant in industry working groups focused on structural change and legal and regulatory reform including ISDA, AFME, UK Finance, ICMA and ISLA.
Head of Financial Crime Unit and MLRO, Société Générale
Neil is the Head of Société Générale’s investment banking’s Financial Crime Unit and is the MLRO for a number of SG’s UK entities. In this role he has oversight responsibilities for the management of the investment bank’s anti-money laundering, economic sanctions and bribery and corruption risks.
He has been involved in the management of financial crime risks for over 20 years, in positions with the Royal Bank of Scotland, Morgan Stanley and Bank of America.
He has an MBA from Strathclyde Graduate Business School and holds Chartered Banker status with the Chartered Institute of Bankers in Scotland.
Head of Compliance, London, Société Générale
Michael is the Head of Compliance for Société Générale London branch, and Global Head of the Regulation and Policy Compliance for the Wholesale Banking businesses, overseeing the Normative Documentation and Regulatory Developments programmes. He joined the firm in June 2008.
He qualified as a chartered accountant with Price Waterhouse in 1992 and joined the Securities and Futures Authority, working in the UK regulator’s Surveillance Division, with responsibility for private client and on-exchange derivatives firms. He moved to UBS’ London Compliance Department in 1997, joining the Equities Compliance team before establishing a ‘risk assessment’ team that was responsible for undertaking Compliance risk reviews within London and the European region. He joined Lehman Brothers in London in 2002 as the Head of Central Compliance, the role also encompassing oversight of Compliance Monitoring, the European Compliance function, the Private Client & Asset Management businesses and the Anti-Money Laundering function.
Head of Financial Institutions Advisory and Financial Regulatory, Shearman & Sterling
Barnabas is head of the global Financial Institutions Advisory and 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, capital requirements regulation (CRR), Basel III, recovery and 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.
Director, Compliance, AFME
Louise is responsible for the running of AFME’s Compliance Committee and associated working groups. Louise joined AFME in July 2017, as Director, Compliance. Previously, Louise spent six years at the Financial Conduct Authority, most recently engaged in their implementation of the Markets in Financial Instruments Directive II.
She has also worked in legal and regulatory policy roles at the Electoral Commission, the Crown Prosecution Service and Ofcom.
Louise has a BA in English & History from Greenwich University.
Supervisory Expert Behaviour and Culture, De Nederlandsche Bank
Dr Moritz is Supervisory Wxpert in Behaviour and Culture supervision at De Nederlandsche Bank (Dutch Central Bank).
In 2013 Moritz joined the expert team for Governance, Behaviour and Culture. The gravity of his work involves conducting assessments of Behaviour and Culture in banks, insurance companies, pension funds and trust agencies. This means he assesses cultural aspects and their supporting or detrimental role in achieving stability, integrity, performance or change. Furthermore, he develops frameworks and instruments for this supervision and publishes in this area.
Prior to DNB, Moritz worked as a consultant about leadership and conflict management. He studied Organizational Psychology and wrote his PhD thesis about leaders as third parties in employee’ conflict at the KU Leuven, Belgium.
Managing Director, Head of Compliance UK and Europe, BBVA
Bharat is a Managing Director and Head of Compliance UK and Europe at BBVA. He 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).
Head of Department, Markets Policy, Financial Conduct Authority (FCA)
Edwin is Head of Markets Policy at the Financial Conduct Authority, where his responsibilities encompass policy in relation to primary and secondary markets, trading venues, trading conduct and benchmarks.
From 2011-2014 Edwin was head of the Financial Market Infrastructure Directorate at the Bank of England, responsible for supervision of CCPs, securities settlement systems, and systemically important payment systems, and for the Bank’s input to policy making on central clearing and OTC derivatives reforms.
Prior to appointment as head of MID, Edwin worked in the Bank’s Financial Stability area for several years, including as secretary to the Bank’s Financial Stability Committee. Edwin was also previously Managing Director of UK payment system, LINK Interchange Network Ltd.
Director, Banking and Capital Markets, EY
Mark is a Director in the Banking and Capital Markets practice at EY and leads the Front Office Control team in the UK. Over the last twelve years, Mark has worked with major investment banks on a variety of business, risk and control projects.
More recently, Mark has been supporting banks with a number of first line of defence initiatives in response to regulatory and business improvement objectives.
Policy Coordinator Financial Markets and Services, European Commission
Elleonora works as a senior administrator in the Unit responsible for financial services policy and international affairs at DG FISMA, focusing mainly on the architecture for financial supervision through the European Supervisory Authorities. She is also involved in other projects that cuts across the different financial sectors including more recently anti-money laundering.
Prior to joining DG FISMA, she worked for several years at the Commission's Competition DG where she focused on a wide range of antitrust cases. Earlier in her career, Elleonora was an associate working on EU competition law matters at the Brussels Office of Skadden, Arps, Slate, Meagher & Flom and also at the Brussels Office of Simmons & Simmons.
Elleonora holds a law degree from Uppsala University, and an LL.M degree from Fordham Law School and from the College of Europe in Bruges.
Partner, Global Head of Contentious Financial Services Regulatory, Herbert Smith Freehills
Jenny leads the firm's global contentious Financial Services Regulatory practice. She is an extremely experienced financial services regulatory specialist. She advises a wide range of leading financial institution clients on national and international regulatory challenges, both of a contentious and non-contentious nature.
Jenny also brings a strategic outlook from an in-house perspective having previously been head of regulatory at one of the largest banks in the UK. Jenny helps financial services clients with their most high profile and significant regulatory and compliance matters including investigations and enforcement proceedings as well as governance, conduct of business issues and skilled persons' reviews.
Jenny has unparalleled experience of advising on redress and remediation exercises, including providing strategic advice in relation to regulatory issues, FOS and customer engagement. She is a leading expert on governance matters, having advised on all the major public governance reviews of recent times, such as the Salz Review of Barclays and the Kelly Review of Co-op, as well as the PRA and FCA's report into HBOS. Jenny also advises clients on the implementation of the UK Senior Managers and Certification Regime.
CCOR Director, Markets (Global Corporates, Financial Institutions, CB Markets) & GCT, Lloyds Banking Group
Jeremy leads the Conduct, Compliance and Operational Risk teams advising and oversighting the Capital and Financial Markets, Global Corporates and Financial institutions coverage, and Group Corporate Treasury business units at Lloyds Bank.
Jeremy joined LBG in 2011, initially to lead the Private Side Compliance Advisory and Control Room team and has over 30 years’ experience in financial regulation. Previous roles include Deputy Head of UK Compliance at BNP Paribas, Director, Wholesale Regulatory Risk Advisory at EY, Principal, Regulatory Risk Advisory at KPMG, Head of Strategic Market Development/Deputy Market Secretary/Head of Market Investigations at LIFFE and Banking Supervision at Bank of England.
Jeremy advised on Lloyds’ response to FEMR and has helped to drive the development of its approach to Market Conduct and Wholesale Competition issues. He is currently a member of the AFME Compliance Committee, and of the FMSB’s Codes & Standards Convergence Sub-Committee.
EMEA, Head of Financial Crime, Nomura
Jonathan is the EMEA Head of Financial Crime at Nomura. Prior to joining Nomura, he spent seven years at RBS including being Interim global Co Head of Financial Crime and the Global Programme Director on the RBS AML Change Programme.
Jonathan is an accountant by profession with over twenty years’ Financial Services experience. Before joining RBS, he had led both IBM Business Consulting’s Financial Service Risk and Compliance practice in the UK and Ireland, and their Capitals Markets Operations consulting practice in the UK.
Managing Director, Capital Forensics
Stephen 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, he 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 and Legal Society.
Partner, Allen & Overy
Kate is a partner in Allen & Overy’s Financial Services Regulatory practice. She has extensive experience of dealing with complex regulatory-driven structural change projects for international banks and has assisted a number of institutions with designing and developing their legal entity structures.
She led on the regulatory aspects of Allen & Overy’s mandate to advise HSBC on ring-fencing implementation. Kate is a core member of Allen & Overy’s Brexit team, working with clients to structure their businesses to ensure continuity post-Brexit.
Kate has advised various banks, institutions and government authorities on Recovery and Resolution Plans, liability management exercises and resolutions. She frequently works with industry bodies to draft responses to regulatory proposals, has led related efforts to influence outcomes through discussions with HM Treasury and the European Commission, and has acted as a member of the HM Treasury’s Banking Liaison Panel on behalf of ISDA.
Regulatory Strategy, Regulatory Expert
Martina has worked in Consob, the Italian Financial Services Authority, since 1996 and is currently appointed as Head of the Regulation Office, where she deals with regulatory matters in the areas of supervisory responsibility of Consob.
Prior to her current position, she was involved in the supervision of domestic trading and post-trading infrastructures, in which capacity she took part in the level 1 negotiations on the EMIR Regulation and on the review of the first MiFID directive, and was subsequently involved in the ESMA work on connected second level measures. She also took part actively to the MiFIDII-MiFIR transposition project at national level.
She acquired a specific expertise in the area of Benchmarks by acting, first, as Chairman of the Council Working Party on Financial Services in charge of the negotiate of Member States on the Benchmarks Regulation during the semester of the Italian Presidency of the Council of the European Union (H2 2014), and then as coordinator of the ESMA task force that developed the Benchmarks Regulation draft second level measures.
She is a graduate of LUISS University of Rome and gained an MPhil in Economics at University of Derby (UK) and she is a frequent speaker at conferences on regulatory topics.
Senior Compliance Officer, TD Securities
Jeroen is a Senior Compliance Officer in the London Branch of TD Securities. TD Securities is a Canadian investment bank and financial services provider that offers advisory and capital market services to corporate, government, and institutional clients worldwide.
Jeroen has more than 14 years’ experience in both buy and sell-side firms. He began his career in 2004 at Royal Philips Electronics. In 2006 he started work as an Internal Auditor covering ING’s Wholesale Banking and Investment Management activities in Amsterdam and The Hague. Jeroen moved to London in 2012 to become part of JPMorgan’s Global Investment Management Internal Audit team. He serves as the Chairman of AFME’s Trade Surveillance Working Group.
Jeroen has a M.Sc. from the Vrije Universiteit Amsterdam in Economics. He also holds an Executive Master in Internal Auditing from the Erasmus Universiteit in Rotterdam. He is a Certified Internal Auditor (CIA) and Certified Anti-Money Laundering Specialist (CAMS).
Head of Department Legal, Convergence and Enforcement, European Securities and Markets Authority (ESMA)
Sophie joined the European Securities and Markets Authority (ESMA) as Head of Unit for Legal, Cooperation and Convergence matters in October 2013. Since November 2015 she has been responsible for ESMA’s Legal, Convergence and Enforcement Department in charge of internal legal advice, enforcement proceedings as well as convergence of supervisory practices among national securities markets authorities. Sophie is also Acting Data Protection Officer.
Sophie has 20 years’ experience as a national and European regulator. Prior to joining ESMA, Sophie held a number of senior posts at the French Prudential Supervisory and Resolution Authority (ACPR), including Head of the legal and cooperation Unit or Head of the International Affairs Banking Division.
She also worked for the Committee of European Banking Supervisors (predecessor of the European Banking Authority – EBA) in London from 2007 to 2009, where she was in particular in charge of liquidity risk management and supervisory convergence. She began her career at the Banque de France in 1998, where she performed on-site inspections, following studies in Sciences Po (Paris).
Strategic Change Program Director and COO for UK ServiceCo Entity, Credit Suisse
Tracy has worked across the City for the past 18 years delivering change programs at Credit Suisse, UBS, RBS, Barclays and Deutsche Bank after starting her career at PriceWaterhouseCoopers as a Management Consultant. She is also an experienced Non-Executive Director.
Tracy carried out detailed work aimed at identifying the potential risk of unconscious gender bias in internal employee processes. Her conclusions have been fully endorsed by the UK Senior Executive team, the UK Board and Group Board members. Consequently, senior management has approved changes in processes, aimed at eliminating the possibility of any such unconscious bias.
Tracy was winner of the 2018 Women in Banking & Finance Champion for Women award.
UK Head of Compliance, Natixis
Antony is the UK Head of Compliance for Natixis. Prior to this he was the UK Group Head of Compliance for BNP Paribas Group, one of the largest banking groups in the world, and Global Head of Fixed Income Compliance.
He has been UK Group Head of Compliance for Crédit Agricole and UK Head of Compliance for WestLB, where he also set up and oversaw the UK Money Laundering Prevention Department in the early 2000s. He previously worked at the UK Regulator (FSA), dealing with the larger and more complex institutions, and was an independent arbitrator on the SFA Consumer Arbitration panel.
Until recently he was Chairman of the Compliance Committee of the Association for Financial Markets in Europe (AFME) and has been the Deputy Chairman of the Securities Houses Compliance Officer’s Group for some time.
Manager, Policy and Global FX, AFME and GFMA
Fiona joined AFME in 2011, after graduating from the University of Oxford. She is a Manager in the Policy Division, covering conduct, governance and market abuse regulation, and in the Global Foreign Exchange Division (GFXD) of the Global Financial Markets Association (GFMA), of which AFME is a member.
Director, Commission de Surveillance du Secteur Financier (CSSF)
Marco is the Director of the Commission de Surveillance du Secteur Financier (CSSF). Previously he held various functions in the financial sector since 1989, including being the Head of Compliance of Deutsche Börse Group and Head of Compliance and Risk, EMEA, for Schroders prior to joining RBC Investor Services Bank in May 2015 as Chief Compliance Officer.
He chairs the AML Working Group of the fund association ALFI and has co-chaired the FATF working group on the AML Risk based Approach in the Securities Sector.
Marco wa the president of the Luxembourg Association of Risk Management from 2010 to 2016 and is a member of the board of the Economist Club in Luxembourg.