2nd Annual European Compliance and Legal Conference | afme

2nd AnnualEuropean Compliance and Legal Conference

01 - 02 Oct 2018 etc venues St Paul's, London

Speakers

Keynote speakers

  • Robert Ophèle

    Robert Ophèle

    Chairman, Autorité des Marchés Financiers (AMF)

    Robert Ophèle

    Robert Ophèle

    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.

     

  • Charles Randell

    Charles Randell

    Chair, Financial Conduct Authority (FCA)

    Charles Randell

    Charles Randell

    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.

  • Elisabeth Roegele

    Elisabeth Roegele

    Chief Executive Director of Securities Supervision, Federal Financial Supervisory Authority (BaFin)

    Elisabeth Roegele

    Elisabeth Roegele

    Chief Executive Director of Securities Supervision, 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).

     

Speakers

  • Karen Anderson

    Karen Anderson

    Partner, Financial Services Regulatory, Herbert Smith Freehills

    Karen Anderson

    Karen Anderson

    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.

     

  • Paul Andrews

    Paul Andrews

    Secretary General, IOSCO

    Paul Andrews

    Paul Andrews

    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.

     

  • Vivienne Artz

    Vivienne Artz

    President, Women in Banking and Finance

    Vivienne Artz

    Vivienne Artz

    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.

     

     

  • Emma Badman

    Emma Badman

    Head of Compliance UK, Middle East and Ireland, ING 

    Emma Badman

    Emma Badman

    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.

  • Chris	Bates

    Chris Bates

    Partner, Clifford Chance

    Chris	Bates

    Chris Bates

    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.

  • Linda Bellos OBE

    Linda Bellos OBE

    UK Equality Law Specialist, Independent Consultant

    Linda Bellos OBE

    Linda Bellos OBE

    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.

     

  • Ollythia Bernard-Stewart

    Ollythia Bernard-Stewart

    Executive Director, IB Compliance & Operational Risk Control, UBS Investment Bank

    Ollythia Bernard-Stewart

    Ollythia Bernard-Stewart

    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	Bevan

    Peter Bevan

    Partner, Linklaters

    Peter	Bevan

    Peter Bevan

    Partner, Linklaters

    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.

  • Mark	Bicknell

    Mark Bicknell

    EMEA Equity Capital Markets Counsel, Managing Director and Associate General Counsel, Bank of America Merrill Lynch

    Mark	Bicknell

    Mark Bicknell

    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.

  • Paul Clulow-Phillips

    Paul Clulow-Phillips

    Managing Director, Global Head of Surveillance, Société Générale

    Paul Clulow-Phillips

    Paul Clulow-Phillips

    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.

     

  • Will Dennis

    Will Dennis

    Managing Director, Head of Compliance, AFME

    Will Dennis

    Will Dennis

    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.

     

  • Thomas Donegan

    Thomas Donegan

    Partner, Shearman & Sterling

    Thomas Donegan

    Thomas Donegan

    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.

     

  • Simone Ferreira

    Simone Ferreira

    Head of Wholesale Banks Department, Financial Conduct Authority (FCA)

    Simone Ferreira

    Simone Ferreira

    Head of Wholesale Banks Department, Financial Conduct Authority (FCA)

    Simone joined the FCA’s predecessor, the FSA, in 2000. She worked in the FSA’s General Counsel’s Division between 2000 and 2010, and then moved to the Supervision Division. Simone is currently the Head of Wholesale Banks, which is a 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, which dealt with complex cases of crystallised risks such as the Interest Rate Hedging Products review, the FX Remediation exercise and the skilled person's review of RBS Global Restructuring Group.Before joining the FSA, Simone worked in Credit Commercial de France and before that, in Credibanco, a Brasilian 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.

     

  • Ilaria	Filippi

    Ilaria Filippi

    Director, Legal Counsel, EMEA, Sumitomo Mitsui Banking Corporation

    Ilaria	Filippi

    Ilaria Filippi

    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.

  • Andrew Grant

    Andrew Grant

    Risk Management and Compliance Consultant, TT BusinessConsulting 

    Andrew Grant

    Andrew Grant

    Risk Management and Compliance Consultant, TT BusinessConsulting 

    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 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.

  • Philippe Guillot

    Philippe Guillot

    Executive Director, Autorité des Marchés Financiers (AMF)

    Philippe Guillot

    Philippe Guillot

    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.

     

  • Gerry Harvey

    Gerry Harvey

    Chief Executive Officer, FICC Markets Standards Board (FMSB)

    Gerry Harvey

    Gerry Harvey

    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.

     

  • Nicola Higgs

    Nicola Higgs

    Partner, Latham & Watkins 

    Nicola Higgs

    Nicola Higgs

    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.

     

  • Jacqueline	Joyston-Bechal

    Jacqueline Joyston-Bechal

    Head of Compliance EMEA, Bank of New York Mellon

    Jacqueline	Joyston-Bechal

    Jacqueline Joyston-Bechal

    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.

     

  • Olinka Kelcikova

    Olinka Kelcikova

    Compliance Manager, Arbuthnot Latham

    Olinka Kelcikova

    Olinka Kelcikova

    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.

  • James Kemp

    James Kemp

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

    James Kemp

    James Kemp

    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.

  • Simon Lewis OBE

    Simon Lewis OBE

    Chief Executive Officer, AFME

    Simon Lewis OBE

    Simon Lewis OBE

    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.

     

  • 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 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.

     

  • Oliver Moullin

    Oliver Moullin

    Managing Director and General Counsel, AFME

    Oliver Moullin

    Oliver Moullin

    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.

     

  • Neil Munro

    Neil Munro

    Head of Financial Crime Unit and MLRO, Société Générale

    Neil Munro

    Neil Munro

    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.

  • Michael Phillips

    Michael Phillips

    Head of Compliance, London, Société Générale

    Michael Phillips

    Michael Phillips

    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.

     

     

  • Barnabas Reynolds

    Barnabas Reynolds

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

    Barnabas Reynolds

    Barnabas Reynolds

    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.

     

  • Louise Rodger

    Louise Rodger

    Director, Compliance, AFME

    Louise Rodger

    Louise Rodger

    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.

  • Bharat Samani

    Bharat Samani

    Managing Director, Head of Compliance UK and Europe, BBVA

    Bharat Samani

    Bharat Samani

    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).

  • Edwin Schooling Latter

    Edwin Schooling Latter

    Head of Department, Markets Policy, Financial Conduct Authority (FCA)

    Edwin Schooling Latter

    Edwin Schooling Latter

    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.

     

  • Jenny Stainsby

    Jenny Stainsby

    Partner, Global Head of Contentious Financial Services Regulatory, Herbert Smith Freehills

    Jenny Stainsby

    Jenny Stainsby

    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.

     

     

  • Sophie Vuarlot-Dignac

    Sophie Vuarlot-Dignac

    Head of Department Legal, Convergence and Enforcement, European Securities and Markets Authority (ESMA)

    Sophie Vuarlot-Dignac

    Sophie Vuarlot-Dignac

    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).

     

  • Fiona Willis

    Fiona Willis

    Manager, Policy and Global FX, AFME and GFMA

    Fiona Willis

    Fiona Willis

    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.