3rd Annual European Compliance and Legal Conference | afme

3rd AnnualEuropean Compliance and Legal Conference

The future of regulation in a changing world

02 - 04 Oct 2019 The Westin Paris - Vendôme

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 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 was 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.

  • Steven Maijoor

    Steven Maijoor

    Chair, European Securities and Markets Authority (ESMA)

    Steven Maijoor

    Steven Maijoor

    Chair, European Securities and Markets Authority (ESMA)

    Steven has been the Chair of the European Securities and Markets Authority (ESMA) since taking up office 1 April 2011. He is the first chair of the authority and is currently serving his second five-year term. He is responsible for representing the Authority as well as chairing ESMA’s Board of Supervisors and the Management Board.

    Prior to taking up this role, Steven was Managing Director at the AFM, the Dutch financial markets regulator, where he was responsible for capital market supervision, including financial reporting and auditing, prospectuses, public offerings and the supervision of the integrity of financial markets. In his regulatory role at the AFM, Steven has held a number of international positions, including the Chairmanship of IFIAR (International Forum of Independent Audit Regulators).

    Before joining the regulatory world, Steven was the Dean of the School of Business and Economics at Maastricht University and had pursued a long career in academia which included a variety of positions at Maastricht University and the University of Southern California. He holds a PhD in Business Economics from Maastricht University, was a research student at the London School of Economics and has a master’s in business economics from the University of Groningen.

  • Elisabeth Roegele

    Elisabeth Roegele

    Chief Executive Director, Federal Financial Supervisory Authority (BaFin)

    Elisabeth Roegele

    Elisabeth Roegele

    Chief Executive Director, 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).

  • Thomas Sexton

    Thomas Sexton

    President and CEO, National Futures Association (NFA)

    Thomas Sexton

    Thomas Sexton

    President and CEO, National Futures Association (NFA)

    Thomas W. Sexton III is President and Chief Executive Officer of National Futures Association. Mr. Sexton joined NFA in July 1991 and over the years held several legal positions with increasing responsibilities, including serving as NFA's General Counsel and Secretary from September 2001-February 2017. In his role as General Counsel, Thomas oversaw major regulatory initiatives impacting NFA's Member firms and various enforcement matters.

    Thomas holds a law degree from the University of Notre Dame Law School, an MBA degree from Loyola University Chicago and a Bachelor of Arts degree in Government from the University of Notre Dame. Thomas is a frequent panelist at industry conferences and seminars, where he speaks on topics pertaining to derivatives industry regulatory issues.

     

Speakers

  • Cliffe Allen

    Cliffe Allen

    Director, OTC Derivatives, National Futures Association (NFA)

    Cliffe Allen

    Cliffe Allen

    Director, OTC Derivatives, National Futures Association (NFA)

    Cliffe is Director of OTC Derivatives at National Futures Association (NFA) since March 2014. He currently oversees swap dealer (SD) examinations to determine SDs' compliance with CFTC regulations and NFA rules. Cliffe was instrumental in developing and implementing NFA's Ongoing Monitoring Program for SDs which enables NFA to keep abreast of changes, areas of concern, and other significant developments taking place at these at these Member firms.

    Prior to joining NFA, Cliffe spent 16 years at a Morgan Stanley where he held different roles across multiple divisions. Cliffe has experience in Wealth Management Operations where he managed teams responsible for processing Futures, Listed Options, Foreign Exchange, and Precious Metals. He also has experience in Institutional Securities Listed Derivatives Operations where he managed teams responsible for the full lifecycle processing of futures and options, as well as customer asset protection and risk management. Additionally, Cliffe worked in the Internal Audit Department where he covered the firm’s Finance, Operations and Compliance functions as well as a wide range of product areas including OTC derivatives.

    Cliffe received a Bachelor's degree in Accounting from Bernard M Baruch College of the City University of New York.

  • 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 18 years at the Financial Industry Regulatory Authority (FINRA) in Washington DC. From 2003 to March 2016, he served as Vice President and Managing Director, International Affairs, at FINRA, the largest independent regulator for all US securities firms. In this capacity he directed FINRA's international engagements and worked closely with key regulators and regulatory bodies worldwide, including IOSCO.

    Prior to FINRA, Paul 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, Mr. Andrews spent four years in private legal practice in Washington, DC.

  • Raj Bahia

    Raj Bahia

    Head of Legal & Compliance, Europe / Middle East / Asia, Evercore

    Raj Bahia

    Raj Bahia

    Head of Legal & Compliance, Europe / Middle East / Asia, Evercore

    Raj is a Managing Director and the Head of Legal & Compliance in Europe, the Middle East and Asia. 

    Prior to joining Evercore, he was a senior corporate lawyer at UBS Investment Bank in London.

    Prior to that, Mr Bahia worked from in private practice in London, including as an associate in the corporate team at Allen & Overy.

    Raj has an LLB law degree from Nottingham University.

  • Ollythia Bernard-Stewart

    Ollythia Bernard-Stewart

    Executive Director, Compliance and Operational Risk Control, UBS

    Ollythia Bernard-Stewart

    Ollythia Bernard-Stewart

    Executive Director, Compliance and Operational Risk Control, UBS

    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 compliance team, 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, market 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 and has previously been a speaker/panel member on the topic of industry codes of conduct.

  • Megan Butler

    Megan Butler

    Executive Director of Supervision, Financial Conduct Authority

    Megan Butler

    Megan Butler

    Executive Director of Supervision, Financial Conduct Authority

    Megan joined the Financial Conduct Authority (FCA) in September 2015 as Executive Director responsible for the supervision of Wholesale Banking, Investment Management, Life Insurance and Financial Advice.

    Megan is also responsible for Specialist Supervision including Prudential, Financial Crime and Client Assets. Megan was previously the Executive Director of International Banks Directorate at the Prudential Regulation Authority (PRA). She joined the Bank of England in April 2013 as Executive Director of International Banks Directorate after moving from the Financial Services Authority (FSA).

    Megan has been a supervisor since 2008, when she became Head of the Department responsible for the supervision of the UK operations of the major investment banks. Prior to moving to supervision, Megan was Head of Enforcement Law and Policy at the FSA, and for a number of years chaired the International Organization of Securities Commissions (IOSCO) Standing Committee 4 which is concerned with international enforcement cooperation.

    Before moving to the Enforcement Division, Megan was Chief Counsel for Markets, heading the legal team responsible for advising on legal issues relating to Official Listing, the regulation of exchanges and clearing houses, market conduct and the supervision of wholesale firms.

    Megan joined the FSA in 2000. Before this, she spent several years at the London Stock Exchange in a variety of legal and non-legal roles, including Head of Capital Markets.

    Megan was called to the bar in 1987.

  • Mark Carawan

    Mark Carawan

    Chief Compliance Officer, Citigroup

    Mark Carawan

    Mark Carawan

    Chief Compliance Officer, Citigroup

    Mark Carawan is the Chief Compliance Officer for Citigroup. Mark is responsible for independent compliance risk management across Citi, reporting to the Citigroup CEO.

    Mark was formerly the Chief Auditor and Managing Director responsible for the Internal Audit (IA) Department. Reporting to the Citigroup Audit Committee Chairman, Mark was responsible for IA’s delivery of audit assurance on governance, risk management and control across Citigroup globally to the Board and Executive Management.
    Prior to joining Citi, Mark was the Chief Internal Auditor for Barclays Group where he led a major transformation of Barclays Internal Audit. Previously, Mark was Managing Partner responsible for Enterprise-wide Assurance to wholesale financial services institutions at Deloitte (UK), where he was engaged in various assignments involving risk management and internal control transformation, particularly as a result of regulatory requirements. Prior to joining Deloitte, Mark was Managing Partner for Andersen’s global Privatisation and Emerging Markets practice with responsibility for overseeing business activities in over fifty non-OECD countries, while also being the lead partner on a number of financial sector restructuring and individual bank rehabilitation assignments around the world.

    Mark began his professional career within the London Office of Andersen’s accountancy practice before moving into consultancy after qualification as a Chartered Accountant. Mark’s academic background includes a B.A. from Rutgers University in the USA and a Ph.D. from St. Andrews University in the UK. He has also received the CFIIA, CIA and QIAL qualifications. Mark is a member of the Board of Directors of the global Institute of Internal Auditors (IIA), is Chairman of the global IIA’s Financial Services Guidance Committee, is a member of the Board of Directors of the Greater New York Council of the Boy Scouts of America and of the Advisory Board of the New York University School of Law Program on Corporate Compliance and Enforcement.

  • Michael Cole-Fontayn

    Michael Cole-Fontayn

    Chairman, AFME

    Michael Cole-Fontayn

    Michael Cole-Fontayn

    Chairman, AFME

    From October of 2018 Michael has been appointed Chairman elect for The Chartered Institute for Securities and Investment ( CISI).

    Michael previously spent 35 years with BNY Mellon, the last 7 years serving as Chairman of BNY Mellon Europe, Middle East and Africa. In that role Michael was responsible for BNY Mellon’s governance culture in Europe, Middle East and Africa (EMEA) and led regional strategy development, execution and the delivery of enterprise initiatives in the region. Michael joined BNY Mellon over 35 years ago, starting initially as a credit and risk analyst. Michael was then appointed as a corporate finance banker to special industry clients, including Securities, Oil and Gas and Telecoms between 1986 and 1993. Michael then joined the Depositary Receipts (DR) division where he continued to work on many DR equity capital raising transactions, including numerous privatisations and equity offerings around the world. Michael ran BNY Mellon's Issuer Services Group in Hong Kong for seven years from 1993-2000, before serving as CEO of the company’s global Depositary Receipts business. He was BNY Mellon’s EMEA Chairman since 2011.

    External to AFME, Michael sits on numerous financial service industry associations, a member and co-chair of the Wholesale Banking Group of the European Financial Services Chairman’s Advisory Council (EFSCAC), as well as a member of the advisory council for TheCityUK, and FICC Markets Standards Board Advisory Council. The British American Business International Advisory Board (recent past Advisory Board member), the Official Monetary and Financial Institutions Forum (OMFIF) Advisory Board. He is also a Board and Executive Committee Member of the Global Financial Markets Association (GFMA). He is Trustee of a mental health charity CWMT Org and director of Ranmore Strategic Advisory.

    Based in London Michael has 3 children.

    30% Club mentor of the Year 2017.

  • Matthew Coupe

    Matthew Coupe

    Director, Cross Asset Market Structure, Barclays

    Matthew Coupe

    Matthew Coupe

    Director, Cross Asset Market Structure, Barclays

    Matthew is Director, Market Structure for the European Markets business at Barclays, based in London.

    He advises the Markets division on future market structure, forms the advocacy position of the markets division on areas of market structure, and engages with politicians, trade associations, regulatory bodies and clients to make sure this is articulated effectively, assists in building Barclay’s commercial response to these changes. Further to this he develops explanatory and thought leadership pieces around Market Structure.

    He chairs the British Bankers Association MiFID Steering Committe, and also co-chairs the Fix Trading Community for the EMEA region. A regulatory specialist, he is an expert in high-frequency trading and market surveillance in the post-MiFID landscape and their implications for trading desks and compliance departments.

    Matthew graduated from De Montfort University with a BA(Hons) in Business Studies, majoring in Financial Statistics.

  • Paul Clulow-Phillips

    Paul Clulow-Phillips

    Co- Global Head of Markets Compliance, Global Head of Surveillance, Societe Generale 

    Paul Clulow-Phillips

    Paul Clulow-Phillips

    Co- Global Head of Markets Compliance, Global Head of Surveillance, Societe Generale 

    Paul has led Societe Generale’s Global Surveillance program since 2016 and Co-heads the bank’s Global Markets Compliance function. In his Surveillance role, he is responsible for teams and projects encompassing trade and communications surveillance activities, tools and infrastructure at Investment Bank and Group level, along with the development of transformative technologies in the surveillance space.


    Paul has over 20 years of Compliance experience working for tier 1 Investment Banks including UBS and JP Morgan and has held senior and management roles 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 current role at Societe Generale

     

  • Molly Deere

    Molly Deere

    Vice President, Assistant General Counsel, Stephens Inc.

    Molly Deere

    Molly Deere

    Vice President, Assistant General Counsel, Stephens Inc.

    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.

  • Ilaria Filippi

    Ilaria Filippi

    Director, Legal Counsel - EMEA, Sumitomo Mitsui Banking Corporation Europe 

    Ilaria Filippi

    Ilaria Filippi

    Director, Legal Counsel - EMEA, Sumitomo Mitsui Banking Corporation Europe 

    Ilaria is Legal Counsel at SMBC where she provides advice to the bank on the application of relevant laws and regulations, including competition law, financial benchmarks (including LIBOR discontinuation and transitioning to risk free rates), data protection 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. She is an English qualified solicitor and a US attorney (State of Texas).

  • Isabella Fontana

    Isabella Fontana

    Senior Director at Treasury Department, Italy’s Ministry of Economy and Finance

    Isabella Fontana

    Isabella Fontana

    Senior Director at Treasury Department, Italy’s Ministry of Economy and Finance

    Isavella has worked for the AML prevention issues for ten years at the Directorate for the prevention of financial crimes. 

    Isabella has participated with the drafting of FATF standards and Methodology for the peer reviews.

    She is a Member of Italian Team during the EU Italy’s Presidency in 2014 for the final negotiations of IVAMLD. Isabella is also a member of Italy’s delegation to the G20ACWG in 2014, when G20 established the beneficial ownership high principles. 

    Isabella has been the Head of Unit for AML administrative sanctions for 5 years as well as the Head of Italy’s FATF delegation since 2016 with a long experience of FATF works. 

  • James Grand

    James Grand

     Partner – Head of Global LIBOR Initiative, Simmons & Simmons 

    James Grand

    James Grand

     Partner – Head of Global LIBOR Initiative, Simmons & Simmons 

    James is a structured credit and derivatives partner at Simmons & Simmons based in London. In addition to his transactional work, he regularly advises banks and investment managers on the implementation of event-driven structural and regulatory change, including in relation to Brexit, Grexit, Lehman Brothers, EMIR and LIBOR cessation.

    From 2008 to 2013 he was a member of the Financial Markets Law Committee.  He has worked widely in the EU and the Middle East and until 2018 was a partner at Freshfields Bruckhaus Deringer, having joined as a trainee in 1995.

    He served as a junior officer in The Parachute Regiment from 1989 to 1993. 

  • Clive Gordon

    Clive Gordon

    Head of Financial Crime Specialist Supervision Department, Financial Conduct Authority

    Clive Gordon

    Clive Gordon

    Head of Financial Crime Specialist Supervision Department, Financial Conduct Authority

    Since February 2019 Clive Gordon has been the Head of the Financial Crime Specialist Supervision Department within the FCA’s Supervision Division.

    From 2013 he was the Head of the Retail Investments Department which was responsible for supervising Financial Adviser firms, Platforms, SIPP Operators, Wealth Managers, Private Banks and Stockbrokers. Prior to this Clive was Head of the Conduct Specialists Department which provided conduct specialist advice to the rest of the FSA’s Supervisory Division in the areas of firm culture, business strategy analysis and product governance. Before that he worked in the FSA’s Enforcement and Financial Crime Division.

    An EU and Competition lawyer by background, Clive has also worked for the regulator Ofcom and in private practice in Brussels and London. He started his working life in Sydney, Australia.

  • Edouard-Malo Henry

    Edouard-Malo Henry

    Group Head of Compliance, Société Générale

    Edouard-Malo Henry

    Edouard-Malo Henry

    Group Head of Compliance, Société Générale

    Edouard-Malo Henry joined Societe Generale’s Inspection Department in 1984. In 1995, he was appointed Deputy Country Head of the Societe Generale Corporate & Investment (SG CIB) branch in Australia. He became Global Head of Audit for SG CIB in 2000.

    From 2002 to 2004, he was Chief Operating Officer for the Coverage and Investment Banking division, then Chief Country Officer for SG CIB in Canada from 2004 to 2009. In 2009, he became Head of Energy and Environment and Deputy Head of Client Relationship Management. He was appointed Head of the Group Inspection and Audit Division in January 2010. He was Group Head of Human Resources until May 2017.

    Edouard-Malo Henry is appointed Group Head of Compliance in June 2017.

  • Richard Hopkin

    Richard Hopkin

    Managing Director, Head of Fixed Income, AFME

    Richard Hopkin

    Richard Hopkin

    Managing Director, Head of Fixed Income, AFME

    Richard is Head of Fixed Income and a Managing Director in the Securitisation Division. He joined AFME in June 2010 after a 25-year career in the law and finance during which he held leadership positions at J.P. Morgan, Deutsche Bank and Société Générale.

    He has originated, structured and distributed securitisations funding the real economy through a wide variety of asset classes including mortgages, credit cards, auto, consumer and SME loans, from across Europe, Australia and the US.

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

  • Antoine Juaristi

    Antoine Juaristi

    Partner and Head of Disputes, Paris, Herbert Smith Freehills

    Antoine Juaristi

    Antoine Juaristi

    Partner and Head of Disputes, Paris, Herbert Smith Freehills

    Antoine is a partner and head of the Dispute Resolution practice in Paris. His practice focuses on banking and finance litigation and is an authority in regulatory finance disputes. With over 26 years' experience in the field, he is one of a handful of lawyers whose considered as an authority on regulatory finance disputes.

    Antoine advises banks, asset management companies, and other investment service providers before judicial courts, as well as in disciplinary and other regulatory proceedings instigated by the French Financial Market Authority ("AMF") and the French Banking Authority ("ACPR"). He represents both the legal entities and their representatives in proceedings and hearings before the AMF's and ACPR's respective enforcement committees.

    Over his rich career, he has also developed an interest in the pre-litigation analysis of contracts, intervening in several disputes relating to important national and international contracts, and where actions before courts are necessary.

  • Edwin Schooling Latter

    Edwin Schooling Latter

    Director, Financial Conduct Authority (FCA)

    Edwin Schooling Latter

    Edwin Schooling Latter

    Director, Financial Conduct Authority (FCA)

    Edwin Schooling Latter is Director of Markets and Wholesale Policy at the Financial Conduct Authority where his responsibilities encompass policy in relation to primary and secondary markets, trading venues, trading conduct, benchmarks, asset management and pensions.

    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.

  • Pauline Laurent

    Pauline Laurent

    Director of Compliance, AMAFI

    Pauline Laurent

    Pauline Laurent

    Director of Compliance, AMAFI

    Pauline is the Director of Compliance with AMAFI since 2015. A graduate of the University of Paris-Dauphine and holder of a Master 2 degree in financial markets law, she began her career with AMAFI in 2005 before working as a compliance officer for various brokers and investment banks.

    She is an assessor for the Master Program for Compliance of the University of Strasbourg. She is a co-author of the first edition of “Directive MiFID I – Construire le marché financier européen”, published in September 2007 by RB Edition, the 2nd “MIF 2, Une nouvelle done pour l’Europe des marchés financiers”, in November 2017 and of “MiFID II: A new Framework for European Financial Markets”, by LexisNexis in January 2019. 

  • Tilman Luder

    Tilman Luder

     Head of the Securities Markets Unit, European Commission

    Tilman Luder

    Tilman Luder

     Head of the Securities Markets Unit, European Commission

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

    Before joining the European Commission in 1999, Tilman was as an associate in Cleary Gottlieb Steen and Hamilton LLP. He worked on European and German antitrust and merger control issues.

    His first job in the Commission was that of a case manager dealing with antitrust and state aid cases in the area of post and telecommunications in the Directorate General for Competition.

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

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

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

  • Tracey McDermott

    Tracey McDermott

    Group Head - Corporate Affairs, Brand and Marketing and Group Head – Conduct, Financial Crime and Compliance, Standard Chartered Bank

    Tracey McDermott

    Tracey McDermott

    Group Head - Corporate Affairs, Brand and Marketing and Group Head – Conduct, Financial Crime and Compliance, Standard Chartered Bank

    Tracey brings a wealth of legal and regulatory knowledge to her role at Standard Chartered. Her experience in financial services regulation in the UK during a time of unprecedented change has given her a unique insight into the impact of politics, regulation and public perception on business models and business strategy.

    Tracey joined the Group in March 2017. She currently holds the position of Group Head Corporate Affairs, Brand & Marketing and Group Head, Conduct, Financial Crime and Compliance.

    Prior to joining the Group, Tracey served as Acting Chief Executive of the Financial Conduct Authority (FCA) from September 2015 to June 2016. She joined the then Financial Services Authority (FSA) in 2001, where she held a number of senior roles, including: Director of Supervision and Authorisations, and Director of Enforcement and Financial Crime. Tracey also served as a Board Member of the FSA from April 2013, as a member of the Financial Policy Committee of the Bank of England, and as Non-Executive Director of the Prudential Regulatory Authority (PRA) from September 2015 to June 2016.

    Prior to joining the FCA, Tracey worked as a lawyer in private practice, having spent time in law firms in the UK, US and Brussels.

    In 2016, Tracey received a CBE (Commander of the Order of the British Empire) for her services to financial service consumers and markets.

    Tracey sits on the board of UK Finance, is a member of the International Regulatory Strategy Group (IRSG), and is an Honorary Professor at the Centre for Commercial Law Studies at Queen Mary University of London. She co-chairs the 30% Club Higher Education Initiate.

  • Elisa	Menardo

    Elisa Menardo

    Director, Public Policy Europe and UK, Credit Suisse

    Elisa	Menardo

    Elisa Menardo

    Director, Public Policy Europe and UK, Credit Suisse

    Elisa 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).

  • Virginie Mennesson

    Virginie Mennesson

    Senior Manager, Regulatory Change, CIB UK Compliance, BNP Paribas

    Virginie Mennesson

    Virginie Mennesson

    Senior Manager, Regulatory Change, CIB UK Compliance, BNP Paribas

    Virginie joined BNP Paribas’ Corporate and Institutional Bank in London in June 2016, in the newly created Regulatory Change team in CIB UK Compliance. Virginie contributed to setting up the regulatory change function, advising on horizon scanning processes and automation and on the governance of regulatory change projects more broadly (MiFID 2 in particular). Throughout 2018, Virginie acted as Head of European Regulatory Change, focusing also on Brexit programme governance and deliverables in the UK.

    Prior to this, Virginie worked for 5 years for Barclays Global Compliance Services. She was responsible for enterprise-wide co-ordination of MiFID 2, chairing the group level MiFID 2 forum. Virginie also chaired the group’s consultation coordination forum, facilitating the bank’s engagement with key regulatory consultations.

    Virginie started her career at the UK Financial Services Authority where she worked for 11 years in various supervisory, policy and strategy roles. In 2010/11, Virginie was seconded by the FSA to the Cabinet Office (European and Global Issues Secretariat) as Senior Policy Adviser for international financial services. Her role included developing policy, co-ordinating the Prime Minister’s agenda on regulatory issues across Whitehall, and working on the implementation of the London and Pittsburgh G20 Summit commitments.

  • Carlos Molinas

    Carlos Molinas

    Managing Director, Global Head of Business Compliance, Crédit Agricole CIB

    Carlos Molinas

    Carlos Molinas

    Managing Director, Global Head of Business Compliance, Crédit Agricole CIB

    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.

  • Rob Moulton

    Rob Moulton

    Partner, Latham & Watkins

    Rob Moulton

    Rob Moulton

    Partner, Latham & Watkins

    Rob specializes in financial services regulatory advice and has vast experience advising investment banks, governments, corporate finance houses, clearing houses, fund managers, insurers, stockbrokers, and online trading business on a variety of legal and regulatory risk management matters.

    He has particular expertise in the FCA’s Conduct of Business Rules, European regulatory developments such as MiFID and MAR, and contested enforcement actions. 

  • Will Morgan

    Will Morgan

    Group Public Affairs, Financial Crime Policy, HSBC

    Will Morgan

    Will Morgan

    Group Public Affairs, Financial Crime Policy, HSBC

    Will Morgan leads HSBC’s engagement with the EU and European governments on tackling criminal abuse of the global financial system.

    Will joined HSBC from the British Diplomatic Service, having served in Beijing, North Africa and Hong Kong in a range of political and security roles. In London, he served as adviser to No. 10 and the Cabinet Office on Counter-Terrorism in the wake of 9/11 and, more recently, on China and the Far East. His last overseas post was Deputy Consul-General Hong Kong.

    Will has extensive experience in delivering complex projects in challenging circumstances where strong leadership and meticulous risk management are essential to success. In his counter-terrorism roles he designed and implemented new information handling systems to ensure the timely reporting of threat intelligence to ministers; represented his organisation at the UK government’s top-level crisis response centre (COBR); and delivered a multi-million pound counter-terrorism programme in North Africa, winning the support of regional governments. Will believes that, in an uncertain world, good strategy and great successes are always underpinned by strong relationships of trust between people.

    Having seen the challenges for governments in tackling financial crime, particularly in the context of terrorism and proliferation, Will is passionate about the prospect of building true collaboration between the public and private sectors on these issues; the hard work of public and private sector colleagues should have the maximum impact on terrorists, sanctions-evaders and criminals and the maximum benefit to their actual and potential victims (that includes us!).

    Will speaks fluent Mandarin Chinese, French and German. He lives in the Fens in the East of England with his wife, Lucy, their teenage daughter, Florence and, occasionally, their two grown-up sons, George and Louis.

  • Gleennia Napper

    Gleennia Napper

    Vice President – Investment Banking Compliance, Deutsche Bank

    Gleennia Napper

    Gleennia Napper

    Vice President – Investment Banking Compliance, Deutsche Bank

     Gleennia is a Vice President at Deutsche Bank where she is a member of the investment banking business line compliance team. Gleennia began her compliance career with WSP | Parsons Brinckerhoff where she was the Head of Ethics for the Americas region.

    Before transitioning to a career in compliance, Gleennia was in education administration, serving as the Director of Multicultural Affairs for St. John’s University (Staten Island campus), the Dean of Students and Director of Diversity for the Ethel Walker School and an English, public speaking and acting teacher for both Walker’s and the Loomis Chaffee School.  

    Gleennia holds a B.A. from the University of Chicago and  a J.D. from Brooklyn Law School.

  • Patrice Navarro

    Patrice Navarro

    Counsel, Hogan Lovells

    Patrice Navarro

    Patrice Navarro

    Counsel, Hogan Lovells

    Patrice focuses his practice on data privacy, information technology contracts and life sciences. He brings his extensive experience, and his enthusiasm for technology related matters, in privacy issue-solving in all kind of industries. Patrice focuses in IT and commercial contractual work with a particular focus on technology, life sciences and industrial related matters.

    He also participates in all kinds of contract negotiations and advises clients on contractual breaches or performance issues. Patrice also advises clients on all major data protection and privacy issues ranging from notification of data breaches, assistance in the event of CNIL investigations, setting up comprehensive privacy policies, to full auditing of data flows and processing within the clients' companies. Patrice advises clients with any IT issues, such as outsourcing, online compliance, internet law and liability, SaaS or cloud solutions and software implementation.

  • Martin Parkes

    Martin Parkes

    Managing Director, BlackRock

    Martin Parkes

    Martin Parkes

    Managing Director, BlackRock

    Martin is a Managing Director in BlackRock's Global Public Policy team based in London. Martin engages with policy makers and BlackRock’s clients on policy and regulation relating to investor protection and distribution, retirement and fund structures in Europe.

    Martin's service with the firm dates back to 2004. Prior to moving to this role, Martin was a director in BlackRock's legal team responsible for BlackRock's European-managed investment funds. 
    Martin is a member of ESMA's Investor Protection and Intermediaries Standing Committee's Consultative Working Group. He is also a committee member of BlackRock’s LGBT OUT & Allies network.

  • Michael Phillips

    Michael Phillips

    Head of UK Wholesale Banking Compliance, Société Générale

    Michael Phillips

    Michael Phillips

    Head of UK Wholesale Banking Compliance, Société Générale

    Michael is the Head of UK Wholesale Banking Compliance for Société Générale, 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.

  • Andrew Procter

    Andrew Procter

    Partner, Herbert Smith Freehills LLP

    Andrew Procter

    Andrew Procter

    Partner, Herbert Smith Freehills LLP

    Andrew is a Partner in the Financial Services & Regulatory practice of Herbert Smith Freehills.

    Andrew has held a number of high profile positions, most recently Global Head of Compliance, Government and Regulatory Affairs at Deutsche Bank, which he joined in 2005. Prior to that he was head of the Enforcement Division at the UK Financial Services Authority (from 2001 to 2005). He held senior positions at the Hong Kong Securities and Futures Commission from 1996 to 2001, including as Commission Member and Executive Director of the Intermediaries and Investment Products Division, and before that, as head of enforcement at the Australian Securities Commission.

  • Marjan Quadir

    Marjan Quadir

     Director, Global Markets Compliance, Citigroup Global Markets 

    Marjan Quadir

    Marjan Quadir

     Director, Global Markets Compliance, Citigroup Global Markets 

    Marjan is a Director in Citi Institutional Client Group’s Global Markets Compliance. She currently leads a team with coverage over various Markets businesses, including, Foreign Exchange, Global Investor Sales, Latin America NY York Sales & Trading, Citi Global Data Insights (Big Data), and Citi Strategic Investments.

    Marjan’s prior coverage includes Credit Markets among other FICC businesses. She has been a lead for several global efforts, including the FX Consent Order / Market Conduct Initiatives and Dodd-Frank Derivatives Reform.

    Prior to joining Citi in 2010, Marjan was a member of the Legal Department at Goldman Sachs. As Associate to the General Counsel of Global Compliance, she was responsible for providing guidance on various governance and cross product regulatory and compliance matters, and drafting divisional and firm wide policies.

    Marjan holds a J.D. from St. John’s University School of Law, a M.A. in Public Policy and a B.A. in Political Science from Stony Brook University.

  • Sebastien Raspiller

    Sebastien Raspiller

    Head of Financial Sector Department, French Treasury

    Sebastien Raspiller

    Sebastien Raspiller

    Head of Financial Sector Department, French Treasury

    Sébastien was previously head of the Insurance Markets and Products Unit (2009-2012) and of the Corporate Financing Unit at the Directorate-General of the Treasury (2012-2013), where he also served as General Secretary of the Interministerial Committee for Industrial Restructuring. He was appointed deputy assistant secretary in 2013 (until 2018), in charge of Financial Markets and Corporate Financing.

  • 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).

  • Jeremy Stockwell

    Jeremy Stockwell

    Conduct, Compliance & Operational Risk Director, Lloyds Bank Corporate Markets 

    Jeremy Stockwell

    Jeremy Stockwell

    Conduct, Compliance & Operational Risk Director, Lloyds Bank Corporate Markets 

    Jeremy leads the Conduct, Compliance & Operational Risk (CCOR) teams advising and oversighting the businesses in Lloyds Bank Corporate Markets plc.

    Jeremy joined Lloyds Banking Group in 2011, initially to lead the Capital Markets & Coverage Advisory and Control Room teams, before taking on responsibilities for oversight of Financial Markets, Private Equity and Group Corporate Treasury.

    Previous roles include:
    • Deputy Head of UK Compliance, BNP Paribas
    • Director, Wholesale Regulatory Risk Advisory, EY
    • Principal, Regulatory Risk Advisory, KPMG
    • Head of Strategic Market Development/Deputy Market Secretary/Head of Market Investigations, LIFFE
    • Banking Supervision, Bank of England.

    Jeremy has led the 2nd line’s input into Lloyd’s response 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.

  • Stephen Strombelline

    Stephen Strombelline

    Managing Director, Capital Forensics

    Stephen Strombelline

    Stephen Strombelline

    Managing Director, Capital Forensics

    Stephen is a Managing Director with Capital Forensics, Inc., 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 & Legal Society.

  • Valerie Tay

    Valerie Tay

    Executive Director, Anti-Money Laundering Department, Monetary Authority of Singapore

    Valerie Tay

    Valerie Tay

    Executive Director, Anti-Money Laundering Department, Monetary Authority of Singapore

    Ms Valerie Tay is the Executive Director of the Anti-Money Laundering Department in the Monetary Authority of Singapore. In her current role, she oversees the formulation of policies and supervision of financial institutions to combat the risks of money laundering, terrorist and proliferation financing (ML/TF/PF). 

    She also represents MAS at the Financial Action Taskforce (FATF); and at the FATF, she co-chairs its Policy Development Group (PDG), which is the committee tasked with recommending changes to the global standards to strengthen the mitigation of ML/TF/PF risks.

    In her previous appointment, Ms Tay headed the MAS’ International Department which manages Singapore’s participation at global bodies such as the International Monetary Fund, the Financial Stability Board and at regional fora including ASEAN and ASEAN+3.

    Ms Tay graduated from Princeton University with a Master’s degree in public policy (economics).

  • Joseph Angelo Zangri

    Joseph Angelo Zangri

     Managing Director, National Futures Association

    Joseph Angelo Zangri

    Joseph Angelo Zangri

     Managing Director, National Futures Association

    Joe is Managing Director of Examinations in the OTC Derivatives Department at National Futures Association (NFA). In his current role, Joe oversees the development and execution of NFA's regulatory compliance programs for Swap Members. He actively participates with NFA and department leadership in setting goals and strategic direction. Joe also acts as the department's lead on regulatory compliance matters and as a key liaison with external constituencies.

    Prior to joining NFA, Joe was Chief Compliance Officer at Bloomberg LP, with responsibilities that included oversight of Bloomberg Swap Execution Facility, Swap Data Repository, Bloomberg Tradebook (Equity/Futures/Option broker/dealer), and Corporate Compliance matters. Joseph also served as and Enforcement Attorney at the United States Securities and Exchange Commission and as a Suffolk County, NY Assistant District Attorney in the White Collar Crime Division.

    Joe received a Bachelor's degree in Finance from State University of New York at Albany. He also received a Juris Doctor Law Degree from Fordham University School of Law.