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Stephen Albrecht – Supervisory Affairs Leader, GE Capital
Steve Albrecht is the Supervisory Affairs Leader for GE Capital. In this role he helps GE Capital develop and execute its global regulatory and supervisory strategy and approach, implementing regulatory initiatives and interfacing between corporate business units and key financial supervisors including GE Capital’s consolidated supervisors, the Federal Reserve Bank of New York and the UK Prudential Regulation Authority. Prior to this position, Steve served as the supervisory affairs leader for GE Capital International where he focused on supervisory relations with banking regulators in Europe, the Middle East and Asia. Prior to joining GE Capital, Steve served as the Counselor to the General Counsel and Acting Deputy General Counsel at the U.S. Department of the Treasury where he coordinated the management of the Treasury Legal Division. Steve served under Secretaries Paulson and Geithner, assisting in the development and implementation of the programs set in place to mitigate the financial crisis of 2008. Prior to his government service, Steve was in private legal practice at WilmerHale in Washington, DC focusing on securities, litigation and policy-related engagements for clients in the financial services and healthcare industries. Before beginning his legal career, Steve worked as a health management and policy consultant at The Lewin Group in Fairfax, VA. Steve earned his law degree from Georgetown University, a Masters in Public Health from Yale University School of Medicine, and a BA from Villanova University. In 2011, he served as a visiting faculty member at the Villanova University School of Business.
Devi Aurora – Senior Director, Standard & Poor’s
Devi Aurora is Senior Director in the Financial Services Ratings group at Standard & Poor’s. As a senior member of the global FI team, she specializes in analytical research and thought-leading commentaries on industry trends and outlook, including S&P’s banking industry country risk assessments (BICRA). Devi represents the FI team at S&P’s Credit Conditions Committee, a key global internal forum for discussing macro views and identifying vulnerabilities and risks. Additionally, her coverage includes credit analysis of banks, finance companies and housing-related entities. Devi began her career as an international macroeconomist and country risk expert at DRI/Global Insight. She subsequently moved on to specialize in fixed income research and corporate credit trends analysis for Standard & Poor’s, specializing in default research and leveraged finance. With over 15 years in research and analysis, she has extensive experience with credit analysis, fixed-income analytics, economic modeling and forecasting. Most recently, Devi was based in our Singapore office for a little over two years. Devi holds a M.A. degree in international economics from Yale University and a B.A. degree in Economics and French from Vassar College, where she graduated Phi Beta Kappa.
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Gregory Baer – President, The Clearing House Association
Greg Baer is President of The Clearing House Association and Executive Vice President and General Counsel of The Clearing House Payments Company, the oldest and largest private sector payments operator in the United States. The Clearing House Association represents the interests of The Clearing House’s commercial bank ownership on a diverse range of regulatory and legislative matters through position papers, academic research, comment letters, and amicus curiae briefs. Mr. Baer oversees the legal, compliance, and litigation functions for the organization’s payments business and leads the strategic agenda and operations of the Association. Prior to joining The Clearing House, Mr. Baer was Managing Director and Head of Regulatory Policy at JPMorgan Chase, working to analyze the impact of regulatory developments, formulate and present positions to regulatory authorities globally, and engage in capital policy and planning. He previously served as General Counsel for Corporate and Regulatory Law at JPMorgan Chase, supervising the company’s legal work with respect to financial reporting, global regulatory affairs, intellectual property, private equity and corporate M&A, and data protection and privacy. Mr. Baer previously served as Deputy General Counsel for Corporate Law at Bank of America, and as a partner at Wilmer, Cutler, Pickering, Hale & Dorr. From 1999 to 2001, Mr. Baer served as Assistant Secretary for Financial Institutions at the U.S. Department of the Treasury, after serving as Deputy Assistant Secretary. Prior to working for the Treasury Department, Mr. Baer was managing senior counsel at the Board of Governors of the Federal Reserve System. Mr. Baer received his J.D. cum laude from Harvard Law School in 1987, and served as managing editor of the Harvard Law Review. He received his A.B. with honors from the University of North Carolina at Chapel Hill in 1984. He is the author of two books: The Great Mutual Fund Trap (Random House, 2002) and Life: The Odds (And How to Improve Them) (Penguin-Putnam, 2003).
Chris Bates – Partner, Clifford Chance LLP
Chris Bates is a partner and head of Clifford Chance’s financial regulatory practice in London. He advises banks, securities firms and other financial institutions on issues associated with the 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 and Executive Board of the International Regulatory Strategy Group advising the City of London Corporation and TheCityUK. Mr. Bates has served as a member of the European Commission’s European Securities Markets Experts Group and is an active participant in other industry and official committees and working groups on regulatory issues, as well as advising a number of industry associations on regulatory matters. Mr. Bates 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.
Brandon Becker – Senior Counsel, Wilmer Hale
Brandon Becker’s practice focuses on advising broker-dealers and other financial market participants regarding various transactional and regulatory matters, as well as the development of new financial products and trading systems. Mr. Becker joined the firm in 1996 and served as co-chair of the Broker-Dealer Compliance and Regulation Practice until 2009 when he became the executive vice president and chief legal officer for TIAA-CREF, where he led the company’s legal and compliance, corporate secretary, government relations, corporate governance and internal audit functions. He rejoined WilmerHale in 2015. From 1978 to 1996, Mr. Becker was a lawyer at the Securities and Exchange Commission where he served as Director of the SEC’s Division of Market Regulation (now Trading and Markets) and was responsible for the SEC’s program to oversee securities professionals and markets. In addition, he served as a staff member of the President’s Working Group on Financial Markets; as a member of the Financial Products Advisory Committee of the Commodity Futures Trading Commission; and the SEC’s representative to the Secondary Markets Working Party of the International Organization of Securities Commissions. Mr. Becker has advised a wide range of clients including corporations, banks, broker-dealers, hedge funds, trading markets and trade associations. His work covers the entire range of securities regulation. He has advised broker-dealers on regulatory issues raised by the purchase and sale of broker dealers as well as investments in new trading systems and markets. He has advised broker-dealers and hedge funds about compliance matters (e.g., the regulatory characterization of various swap transactions; order handling procedures; and trade booking techniques for intermediaries with a global business). In addition, he has represented broker-dealers in enforcement-related inquiries by self-regulatory organizations and the SEC.
Judson Berkey – Head Group Regulatory Strategy and Initiatives, UBS
Judson Berkey is a Managing Director at UBS based in Zurich where he has worked since 2003 on responses to global regulatory initiatives. He currently heads the Regulatory Strategy and Advisory group which oversees implementation of a portfolio of global regulatory change programs and is responsible for managing the firm’s regulatory relations globally. Previously he was involved in the resolution planning aspects of the global Too to Big Fail regulations and led the design and implementation of a global operational risk framework and supported Basel II, Sarbanes Oxley, entity governance and other compliance initiatives. Prior to joining UBS in Zurich in 2003, he spent nearly four years at the Institute of International Finance in Washington, D.C where he facilitated financial industry dialogue on the Basel Accord proposals. A lawyer by training, he graduated cum laude from Harvard Law School and previously worked for a large law firm in Washington, D.C. He maintains an active interest in sustainability issues including legal, regulatory and soft law standards. He has a particular interest in the food and agriculture system where his work on the topic can be found at www.acalltofarms.info. He is an active investor in local and sustainable agriculture businesses and designed a UBS employee program to support sustainable agriculture in Switzerland. He holds degrees in mathematics, economics, and physics from the University of Virginia.
Andy Blocker – EVP, Public Policy and Advocacy, SIFMA
Mr. Blocker is the EVP of Public Policy & Advocacy for SIFMA, where Mr. Blocker leads a team who engage with lawmakers and regulators on international, federal and state issues impacting the financial services industry. Prior to joining SIFMA, Mr. Blocker was Managing Director, Federal Affairs Manager in the U.S. Office of Public Policy at UBS. Mr. Blocker represented UBS on a wide range of issues with a primary focus on banking, securities, and other financial services issues. He was the lead lobbyist on financial services issues for UBS during both the legislative debate and the regulatory implementation of Dodd-Frank. Andy served as a trusted resource to inform both individual and institutional clients on political and policy actions in Washington and how they could impact their strategic investment decisions. Prior to UBS, he was VP of Government Relations at the NY Stock Exchange (now NYSE Euronext), where he developed and coordinated lobbying strategy regarding market structure (including Reg NMS), corporate governance, international market collaboration, and tax issues. Before the Exchange, Andy represented American Airlines in over twenty international route negotiations between the U.S. and foreign governments, and worked to secure liability relief as part of the Air Transportation Safety and System Stabilization Act post September 11th. In the public sector, he worked as Legislative Assistant to Congressman Martin Frost (D-TX) and Senior Budget Analyst for the Senate Budget Committee. He also worked for the Clinton White House, where as Special Assistant to the President for Legislative Affairs, he provided policy-making & strategic advice and contributed to the passage of the 1997 Bipartisan Balanced Budget Agreement. Andy holds an undergraduate degree in Economics from Harvard University and an MBA from Georgetown’s McDonough School of Business.
Martin Boer – Director for Regulatory Affairs, The Institute of International Finance (IIF)
Martin Boer is the Director of Regulatory Affairs at the IIF. He advocates and contributes to the IIF work on regulatory consistency, impact assessment, prudential capital and liquidity standards, insurance regulation and the growing area of non-bank/non-insurance regulatory issues. He previously served as the Secretary General of the European Financial Services Round Table, a Brussels based industry organization comprising the CEO’s and Chairmen of Europe’s 22 leading banks and insurance companies. Before that he served in various positions at ING Group, as the Global Head of Public Relations in Amsterdam and a Senior Manager of Public and Government Affairs in Brussels. He has also worked as a consultant for UNDP in Namibia and as a journalist at The Financial Times and Bloomberg News. Mr. Boer holds a B.A. in Philosophy from the University of California, Santa Barbara and a Master’s Degree in International Political Economy from Columbia University.
Eugenio Briales – Visiting Scholar, Harvard Law School
Eugenio Briales is an expert in international restructuring, financing transactions, financial regulation and equity capital markets. He is currently a Visiting Scholar at Harvard Law School and Co-chair of the EU Economic Governance and Integration Study Group at Harvard University. His research explores topics in restructuring, finance, and economic governance. A Member of the World Bank Insolvency and Creditor/Debtor Regimes Task Force and the International Insolvency Institute Next Generation Leadership Class IV, during the past decade he has served in a series of economic policy, business law and financial regulation positions at the interface of the private and public sectors, including at Citigroup Legal Department, DLA Piper M&A Corporate Practice, the International Finance Corporation of the World Bank Group, the International Monetary Fund Legal Department, the Organization of American States Department of International Law, the United Nations Commission on International Trade Law (UNCITRAL), and the Spanish Ministry of Foreign Affairs for the Presidency of the Council of the European Union. He lectures widely on restructuring, insolvency, cross-border financings, as well as on financial market infrastructure and international trade. He received a J.D. from Complutense University of Madrid; Securities, Financial Regulation, and Public Policy degrees from Georgetown University, and executive education diplomas in global leadership, business, law and economics from Harvard University.
Jeffrey Brown – Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab & Co., Inc.
With over three decades of securities markets experience, Jeffrey Brown leads Charles Schwab’s Office of Legislative and Regulatory Affairs. Mr. Brown joined Schwab in 2003 as SVP and General Counsel of Schwab Capital Markets, L.P. Mr. Brown began his career as an option trader on the floor of the Philadelphia Stock Exchange, later serving on its Board of Governors. Mr. Brown then joined the U.S. Securities and Exchange Commission in 1992, where he served as Senior Counsel in the Division of Market Regulation. Upon leaving the Commission, Mr. Brown helped lead a U.S. project to assist the Government of Romania in creating their emerging securities market. He later was General Counsel at the Cincinnati Stock Exchange and chaired the Operating Committee of the national market system plan governing NASDAQ securities. Mr. Brown is an alumnus of the Wharton School of the University of Pennsylvania and Ohio Northern School of Law.
Danny Busch – Chair for Financial Law, Institute of Financial Law, University of Nijmegen
Prof. Dr. Danny Busch holds the Chair for Financial Law at Radboud University, Nijmegen. He also is the Director of the Institute for Financial Law at Radboud University, Nijmegen. After having graduated with highest honours in Dutch law from Utrecht University in 1997, he was awarded the degree of Magister Juris in European and Comparative Law by the University of Oxford (St. John’s College) in 1998. From 1998 until 2001 he held the position of lecturer and researcher at the Molengraaff Institute of Private Law in Utrecht. In 2002 he defended his PhD in Utrecht (Indirect Representation in European Contract Law (Kluwer Law International 2005)). From 2002 until 2010 he was an attorney-at-law (advocaat) with the leading Dutch international law firm De Brauw Blackstone Westbroek in Amsterdam where he practised banking and securities law (both the private law and regulatory aspects). His recent publications include (1) D. Busch & G. Ferrarini (eds.), Regulation of EU Financial Markets: MiFID II, Oxford University Press 2017 [forthcoming], (2) D. Busch & G. Ferrarini (eds.), European Banking Union, Oxford University Press 2015, (3) D. Busch & L.D. van Setten (eds.), Alternative Investment Funds in Europe – Law and Practice, Oxford University Press 2014, (4) D. Busch & D. A. DeMott (eds.), Liability of Asset Managers, Oxford University Press 2012. He is extensively engaged in the provision of training to attorneys-at-law, financial regulators and financial professionals. He also is a Member of the Dutch Banking Disciplinary Committee (Tuchtcommissie Banken).
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Laurence Caron-Habib – Head of Public Affairs, BNP Paribas Securities Service
Laurence Caron-Habib is Head of the Public Affairs at BNP Paribas Securities Services, the BNP Paribas’ entity specialized in all securities services (including custody, settlement, clearing, fund services, market and financing services) and present worldwide in more than 30 countries. After a carrier in financial auditing and consulting, Laurence joined BNP Paribas Securities Services 14 years ago. She was first closely involved in the management of projects for fund investment products (during 3 years) and for custody products (during 2 years) before joining the Public Affairs team in September 2007. Since then she has been following the European market and regulatory developments for BNP Paribas Securities Services in a wide range of activities, mainly those related to Investment Funds, Market Infrastructures, Issuers, OTC Derivative Products, Collateral Management and Shadow Banking. For all these initiatives she actively participates to the various debates at the European and international levels with policy makers, presenting the industry views and ensuring proportionate regulation that will contribute to investor confidence and protection while preserving the industry competitiveness and capacity to innovate. She is member of a number of experts and industry groups within trade associations (as EBF, AFME, ETDF, ISSA) and contributes to the works conducted by think-tanks active in the regulation area. She is a graduate of HEC Business School (Paris).
Tom Clark – Executive Counsel, Government Affairs and Policy, GE Capital International
With twenty-five years of experience in legal and government affairs practice, the last fifteen of which have been in senior roles with GE Capital, Tom Clark now serves as Executive Counsel and Director of Government Affairs and Policy for GE Capital International. In this role, he coordinates advocacy and public policy initiatives across a range of financial services issues. Mr. Clark holds a Bachelor’s degree from Harvard College and a J.D. from Columbia University School of Law. Prior to coming to London last year, Mr. Clark was based for many years in Tokyo leading Government Affairs for GE Capital Asia-Pacific and GE’s Energy businesses in Japan. Mr. Clark also served as Chief Legal Counsel of GE Capital Finance in Japan for six years, and as Legal Counsel for GE Capital in the US. Prior to joining GE, he worked in private law practice first at Sullivan & Cromwell in New York City, and then at Wilmer, Cutler & Pickering in Washington D.C. Between his graduation from Columbia Law School and entering private practice, Mr. Clark served as a law clerk for Circuit Judge James L. Buckley on the United States Court of Appeals for the District of Columbia Circuit in Washington D.C. Mr. Clark is a member of the Financial Services Committee of the American Chamber of Commerce in Europe, in Brussels, and of the International Regulatory Strategy Group Council in London. Whilst based in Japan, Mr. Clark served as co-chair of the Banking, Finance and Capital Markets Committee of the American Chamber of Commerce in Japan, where he was also a Board of Governors member, and was a Board member of the U.S. National Center for APEC and a member of its Financial Services Working Group. He also served as Vice Chair of the Asia-Pacific Counsel of American Chambers of Commerce, President of the Tokyo Chapter of Financial Executives International, and was a member of the Financial Services Working Group of the US-ASEAN Business Council. Mr. Clark was a visiting professor at Keio Law School in Tokyo. He lives in London with his wife Hiroko and their four children.
Roger Cogan – Head of European Public Policy, ISDA
Roger Cogan joined ISDA as European Policy Director in December 2006. Mr. Cogan manages and coordinates ISDA engagement with the EU institutions in relation to EU regulatory initiatives. Prior to joining ISDA, Mr. Cogan spent six years at Hill & Knowlton Brussels, where he headed the Financial Services Public Affairs Practice. In this role he worked with a variety of clients, including investment banks, inter-dealer brokers, rating agencies, insurance companies and credit card companies. He has also worked at Amcham EU (the EU lobbying arm of the American Chamber of Commerce in Brussels), as an assistant to a Member of the European Parliament and in the European Commission. Mr. Cogan has a Master’s Degree in History (focusing on EU integration), from University College Dublin. He speaks fluent French.
Nick Collier – Global Head of Government & Regulatory Affairs, Thomson Reuters
Nick Collier joined Thomson Reuters on 1 March, 2011. He moved from Morgan Stanley, where he had been Head of EMEA Government Relations since June 2007. Nick previously held roles as the Head of Regulatory Policy at the International Capital Market Association, as the Director of International Risk, Compliance and Government Affairs at Instinet, and as the European head of the International Swaps and Derivatives Association. He started his career in the Bank of England, including a spell as the UK financial attaché to the EU. He holds a MSC in Economics and Finance from the London School of Economics and a BA from Oxford.
Michael Collins – Deputy Chief Executive & Public Affairs Director, Invest Europe
Michael represents Europe’s private equity, venture capital and infrastructure sectors, as well as their investors, across the EU institutions. Based in Brussels, Michael covers both regulatory issues and wider EU political developments for the industry. He joined the EVCA (as Invest Europe was named at that time) in 2013 from Citigroup, where he was Managing Director for European Government Affairs, with responsibility for a wide range of financial regulatory issues and for advising Citi senior management and clients on developments in the Euro area. Prior to Citigroup, Michael spent four years with the UK Foreign and Commonwealth Office in Brussels, as Financial Counsellor at the UK Permanent Representation to the EU (UK Rep). In that role he represented UK Government interests before the EU Institutions, advised senior UK Ministers and officials on the range of economic issues facing the EU, and led the team responsible for macroeconomic policy, financial services regulation, and taxation and fiscal policy. The Alternative Investment Funds Manager’s Directive was part of his team’s responsibilities. Michael has 15 years of experience in the UK civil service, working in Edinburgh, London and Brussels, including in HM Treasury. Michael holds a First Class degree in Modern History from Wadham College, Oxford, and also holds a postgraduate diploma in management.
Chris Cummings – CEO, TheCityUK
Chris Cummings is the founding Chief Executive of TheCityUK, a post he has held since September 2010. TheCityUK is the representative body for UK based financial and related professional services firms. He is a member of the Foreign & Commonwealth’s Diplomatic Excellence Panel and has advised Treasury on regulatory matters. He is a member of the Financial Conduct Authority’s Regulatory Decisions Committee and Payment Systems Regulator’s Enforcement Decisions Committee. He is a member of Cass Business School’s Strategy Board and a Visiting Professor. Before joining TheCityUK he held senior posts in banking, insurance and consulting with major global firms. He has led and launched two trade associations and written two books on financial services regulation. He is a regular columnist, commentator and speaker on issues of international competitiveness and regulation in financial services.
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Viktoria Dalko – Professor, Hult International Business School and Harvard Extension School
Viktoria Dalko is a Global Professor of Finance, a Founding Dean and Founding Discipline Lead of Finance at Hult International Business School, and an Instructor at Harvard Extension School. She has a PhD in Economics from the University of Pennsylvania and has worked and lived in 15 countries on five continents. She focuses on two main research areas. One is on uncovering systemic risks to financial markets and preventing financial crises. The other is on how financial markets influence the well-being of people. In particular, she has studied worldwide financial crises and one of its causes, financial market manipulation. Together with her co-authors, they summarized their research in the book Regulating Competition in Stock Markets (2012), published by John Wiley. Their research documented monopolistic behaviours in the financial markets and proposed 40 new regulatory measures in the spirit of anti-trust against trade-based and information-based market manipulation, earnings manipulation, corporate insider trading, sell-side analysts assisted market manipulation, internet-related market manipulation and business news reporting distortion. Since 2012, securities regulators in both developed and developing markets have enacted several new regulations. Some of these regulations bear a close similarity to the proposed measures made by Dalko and her co-authors, while in many cases their proposals were more comprehensive than what has been implemented so far. The new U.S., EU and Indian rules are similar to measures that Dalko and her colleagues proposed, which were called adjustable price bands, limiting shareholding concentration, limiting high-frequency fake trading or spoofing, setting the minimum time interval of consecutive orders, and displaying the complete cycle of order history. They also proposed a daily order volume cap and adjustable price limit band and called for accountability of business news reporting and Internet platforms, which correspond to the Canadian, UK and Chinese rules.
Robert Dannhauser – Head, Advocacy Outreach and Communications, CFA Institute
Robert W. Dannhauser, CFA is Head, Global Capital Markets Policy, at CFA Institute in New York City. Bob manages a global team of policy analysts responsible for regulatory consultations and outreach, as well as for developing thought leadership content related to the integrity of global capital markets. Bob is also responsible for advocacy communications functions, including serving as editor of the Market Integrity Insights blog and managing social media channels for CFA Institute advocacy work. He is a certified Financial Risk Manager and holds the Chartered Financial Analyst and Chartered Alternative Investment Analyst designations. He has a MBA from the Johnson Graduate School of Management at Cornell University and a MPH in Health Policy from Rutgers University. Bob joined the CFA Institute staff in 2007 after serving in sales and client management roles for several institutional investment management firms.
Taggart Davis – Vice President, Government Relations, JP Morgan
Taggart joined J.P. Morgan’s Government Relations team for the Europe, Middle East & Africa (EMEA) Region in 2011. He represents the firm in Brussels engaging with EU policymakers on the EU and global financial regulatory agenda, specialising in banking and investment management regulatory policy and political developments. Prior to this, he was a Policy Advisor in the European Parliament, focusing on financial regulatory issues. Taggart’s interests are politics and distance running.
Panagiotis Delimatsis – Professor of European and International Trade Law, Tilburg University; Fellow, Program on International Financial Systems, Harvard Law School
Panagiotis Delimatsis is Professor of European and International Trade Law and Director of the Tilburg Law and Economics Center (TILEC) at Tilburg University, the Netherlands. In this capacity, he leads the research cluster ‘Finance, Trade and Investment’ within the TILEC Research Programme 2012-2017. His research focuses on regulatory issues in the service sector, in particular the effects of unduly burdensome domestic regulations on factor mobility. He also has a keen interest and regularly publishes in the institutional and substantive aspects of standardization, financial regulation and energy. Panagiotis has published extensively on international and European law issues in top refereed journals, including the European Journal of International law, the Journal of International Economic Law, the Common Market Law Review, the Journal of World Trade and the World Trade Review. He is the author of ’International Trade in Services and Domestic Regulations – Necessity, Transparency, and Regulatory Diversity’ (International Economic Law Series, Oxford University Press, 2007). He also co-edited two collective volumes, the first on ‘The Prospects of International Trade Regulation’ (Cambridge University Press, 2011) and the second on ‘Financial Services at the Crossroads – Implications for Supervision, Institutional Design and Trade’ (Kluwer Law International, 2011). His most recent work on ‘the law, economics and politics of international standardisation’ was published in 2015 by Cambridge University Press.
Andreas Dombret – Member of the Executive Board, Deutsche Bundesbank
Dr. Andreas Dombret was born in the USA to German parents. He studied business management at the Westfälische Wilhelms University in Münster and was awarded his PhD by the Friedrich-Alexander University in Erlangen-Nuremberg. From 1987 to 1991, he worked at Deutsche Bank’s Head Office in Frankfurt, from 1992 to 2002 at JP Morgan in Frankfurt and London, from 2002 to 2005 as the Co-Head of Rothschild Germany located in Frankfurt and London, before serving Bank of America as Vice Chairman for Europe and Head for Germany, Austria and Switzerland between 2005 and 2009. He was awarded an honorary professorship from the European Business School in Oestrich-Winkel in 2009. Since May 2010, he has been a member of the Executive Board of the Deutsche Bundesbank with currently responsibility for Banking and Financial Supervision and Risk Control. He is also responsible for IMF (Deputy of the Bundesbank), Supervisory Board (SSM) (Member) and Basel Committee on Banking Supervision (BCBS) (Member of the Bundesbank).
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Vilhjalmur Egilsson – Rector (President), Bifrost University
Vilhjálmur Egilsson is the Rector (President) of Bifröst University in Iceland since 2013. Vilhjálmur has a background in the private and public sector in Iceland and from the IMF. He has served as General Director of the Iceland Chamber of Commerce, the Confederation of Icelandic Employers and the Ministry of Fisheries. Vilhjalmur was a Member of Parliament in Iceland for 12 years and a member of the Executive Board of the IMF in 2003. He earned his Ph.D. in Economics from USC in 1982, and has been involved with the financial sector in Iceland in various capacities throughout his career. As a Member of Parliament he chaired the Committee of Economy and Finance and led legislative work on the financial sector during a period of drastic change. Among the milestones are bringing the financial sector legislation in line with the EU Directives and a major overhaul of pension funds law and the Central Bank legislation. He has served as Chairman of Board of Gildi, one of the major pension funds in Iceland, and also served as a Board Member of a small savings institution that went through a resolution process. He is currently a Board Member of a new private equity fund specialising in investments in economic infrastructure. Bifröst University is developing continuing education programmes directed at the financial sector in Iceland and starting an international summer school programme where education in finance will be an important element.
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Edward Feitsma – Head of Supervision and Financial Markets, Dutch Banking Association
Edward Feitsma is Head of Unit within the Dutch Bankers Association (NVB). His unit deals with prudential affairs and financial markets. Before this, he was a policy advisor on mortgages and housing market policy within the NVB. Edward started his career as a civil servant, working for the ministries of Economic Affairs and Finance. Being both a general economist and a tax lawyer, combining market experiences with policy advice, he likes to work on the intersection of several disciplines. He is active in an international environment (Brussels, Frankfurt, London). The Anglo Dutch Financial Service Dialogue offers an excellent opportunity to exchange views. Edward lives together with his girlfriend and their two sons in The Hague.
Caroline Frawley – SVP Institutional Supervision, Federal Reserve Bank of New York
Caroline Frawley is a Senior Vice President at the Federal Reserve Bank of New York in the Supervision Group and is responsible for supervising systemically important banks and nonbanks. Caroline has been with the Bank for 30 years and has held a variety of policy and risk positions over her career. Caroline is married and has one child.
David Freeman – Partner, Arnold & Porter LLP
David Freeman is head of Arnold & Porter LLP’s Financial Services practice group. He represents financial institutions, investment managers, and broker-dealers on banking and securities policy and regulatory issues, legislation, mergers and acquisitions, private investment funds, and new product development and documentation. As part of his practice, Mr. Freeman advises domestic and foreign banks, investment management firms and broker-dealers on compliance with state and federal banking and securities laws, commodities laws, and SRO rules.
Urban Funered – Director of Public Policy, Fidelity International
Urban Funered is Director of Public Policy at Fidelity International, based in London and covering the European Union. He contributes to Fidelity’s asset management business by following and analysing the development and negotiations of financial services dossiers in the EU and globally, assessing and reporting on the impact of such developments and negotiations on the asset management industry and on clients of Fidelity, and representing Fidelity in industry trade associations and contacts with policymakers and regulators in the EU. Immediately prior to joining Fidelity in September 2014, Urban Funered held senior positions in the Swedish Ministry of Finance incl. in 2010–2014 as Minister at the Swedish Permanent Representation to the EU, representing the Kingdom of Sweden in the negotiations of 30+ financial services dossiers incl. the Banking Union, CRD IV, EMIR and MiFID II. Urban Funered started his career in the Swedish Courts and worked with international law firms in Stockholm and New York, before moving on to senior legal and compliance positions in the financial services industry in Sweden. Urban Funered holds graduate and postgraduate law degrees from the University of Lund in Sweden and Queen Mary & Westfield College of London University, as well as a business administration and economics degree from the University of Lund.
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Antonio Garcia del Riego – Managing Director, European Corporate Affairs, Banco Santander
Antonio García del Riego is Managing Director of Banco Santander. He has more than 30 years of experience in banking, having worked in management positions for the two most international Spanish banks as Banco Santander and Banco Bilbao Vizcaya and acquiring experience in 8 different jurisdictions including New York, Hong Kong and Paris. Since 2008 he is Banco Santander’s head of European Corporate Affairs, being responsible for monitoring and following up the main regulatory developments at EU level and interacting with the three main EU institutions. Moreover, since 2015 he is also a member of the European Economic and Social Committee (EESC), representing the Spanish Banking Association (AEB). He holds a MBA from the University of New York at Buffalo as well as a degree in Economics from Valladolid University. He is also a former Fulbright scholar.
Nathan Gatten – Managing Director, Head of Global Government Relations, JP Morgan Chase & Co.
Nate Gatten is Managing Director and Head of Global Government Relations for JPMorgan Chase & Co. and oversees the firms lobbying and political activities in Washington and internationally. He joined JP Morgan’s Government Relations team in 2008, and was among the senior team involved in the comprehensive financial regulatory reform effort in the United States. From 2011-2012 he was based in London where he coordinated the firm’s global policy activity. Prior to joining JPMorgan Chase, Nate was a Partner at the American Capitol Group, a boutique public relations firm, where he specialized in developing and implementing government relations and public affairs strategies for a number of leading companies. Prior to his partnership there, he served as Vice President of Government & Industry Relations at Fannie Mae. In this capacity, Nate represented the firm before Congress and regulators and served on the corporation’s external affairs committee. Nate served in Congress as a professional staff member on the Senate Banking Committee and as chief aid to the Financial Institutions Subcommittee, chaired by Senator Robert F. Bennett (R-UT). In this role he managed the Subcommittee’s actions with respect to banks, thrifts, credit unions, industrial loan companies and government-sponsored enterprises. He earlier served as legislative assistant and legislative correspondent advising Senator Bennett on banking, tax and general economic matters. He received an MBA from the University of Chicago with concentrations in Finance and Strategy and a Bachelor of Science degree in Business Economics from Willamette University in Salem, Oregon. Nate currently lives in Bethesda, Maryland with his wife, Annette, and their four children.
Stefan Gavell- Executive Vice President and Head of Regulatory, Industry and Government Affairs, State Street Corporation
Stefan M. Gavell is Executive Vice President Global Head of Regulatory, Industry and Government Affairs with responsibility for global regulatory, industry and government relations. In this position he and his team are responsible for representing State Street with regulators, legislators, and other policymakers, worldwide. Prior to serving in this role, he held numerous corporate and business line positions at State Street including as Treasurer, Acting CFO, and Head of International Global Markets, and has held expatriate assignments in Europe and Asia. Stefan joined State Street in 1990, as branch manager in Tokyo, Japan. He is a member of numerous professional bodies, including recently as President of the ABA Securities Association. He serves currently on the board of the Global Financial Markets Association. He also serves on the Advisory Board of the Berklee college of Music. Stefan received his B.A. in Economics and Government from Oberlin College and his M.B.A. from Columbia University.
Simon Gleeson – Partner, Clifford Chance LLP
Simon Gleeson is a Partner in Clifford Chance’s financial services and markets group in London, specialising in financial markets law and regulation, clearing, settlement and derivatives. He chairs the resolution committee of the institute for International Finance and has been a member of the UK Financial Markets Law Committee. His experience includes advising Governments, regulators and public bodies as well as banks, investment firms, fund managers and other financial institutions on a wide range of regulatory issues. His latest book, “Bank Resolution and Crisis Management”, will be published by Oxford University press in early 2016.
Warren Gorlick – Associate Director, Office of International Affairs, U.S. Commodity Futures Trading Commission (CFTC)
Warren Gorlick is Associate Director in the Office of International Affairs at the Commodity Futures Trading Commission. Mr. Gorlick’s CFTC work focuses on the implementation and coordination of OTC derivatives requirements in major market jurisdictions. In that capacity, Mr. Gorlick represents the CFTC on a number of international work streams relating to OTC derivatives, including the Financial Stability Board’s OTC Derivatives Working Group, and the OTC Derivatives Regulators’ Group, as well as the Intermediaries Standing Committee of IOSCO. Mr. Gorlick also represents the Commission on various inter-agency dialogues with foreign governments, including annual meetings held with China, the EU, and India, and a separate meeting of NAFTA jurisdictions. Before joining the CFTC, Mr. Gorlick worked as a senior financial sector expert in the World Bank in the area of corporate governance, where Mr. Gorlick participated in various missions that assessed corporate governance practices in emerging market jurisdictions. Prior to the World Bank, Mr. Gorlick served in the U.S. Treasury Department in several capacities, including as Deputy Director of Treasury’s Task Force on International Terrorist Financing, and Senior Advisor in Treasury’s Office of International Banking and Securities. Earlier in his career, Mr. Gorlick served as an Attorney-Advisor and then Senior Attorney in the Office of General Counsel at the Securities and Exchange Commission. Mr. Gorlick received a B.A. degree in Economics from Hampshire College and his law degree from Cornell University in 1986.
Dominique Graber – Head of Group Prudential and Public Affairs, BNP Paribas
Dominique is Head of BNP Paribas European Public Affairs since 2005 and co-head of Group Prudential and Public Affairs since 2009. In this position, she coordinates the group’s lobbying activities towards European Institutions and advises the chairman and the CEO on public affairs. Dominique has spent nearly all her career at Banque BNP Paribas, where she has held a variety of positions. She has been CEO of “Atelier BNP Paribas”, a subsidiary which monitors developments and provides strategic consulting on new information and communication technologies. Between 1997 and 2000, she had a role of head of strategic planning in the Strategy and Development department, and then became head of the CEO’s office in charge of BNP Paribas’ investment banking operations. Prior to that, Dominique has spent several years in the Economic and Financial Research department, as an analyst covering North American economies, and then as deputy head of the department. At an earlier stage of her career, she has worked in venture capital. Dominique graduated at the Institut d’Etudes Politiques in Paris and is a former student of the Cycle des Hautes Etudes Européennes (Simone Veil class). As part of her interests, she is a long standing Member of the Société d’Economie Politique, Member of the Board of “Confrontations Europe”, the only French think tank with a presence in Brussels. She is also Chair of “La Vie au Grand Air”, a Foundation which aims at educating and reintegrating abused children, who have no options left.
William Grimes – Professor of International Relations, Boston University
William W. Grimes is Associate Dean for Academic Affairs and Professor of International Relations at the Frederick S. Pardee School of Global Studies at Boston University, where he has taught since 1996. Professor Grimes is the author of Unmaking the Japanese Miracle: Macroeconomic Politics, 1985-2000 (Cornell University Press, 2001) and Currency and Contest in East Asia: The Great Power Politics of Financial Regionalism (Cornell University Press, 2008), as well as co-editor (with Ulrike Schaede) of Japan’s Managed Globalization: Adapting to the 21st Century (M.E. Sharpe, 2002). Currency and Contest in East Asia was awarded the 2010 Masayoshi Ohira Prize for outstanding book on the Pacific Basin and received an Honorable Mention in the competition for the Asia Society’s Bernard Schwartz Book Award in 2009. He has published articles, book chapters, monographs, and commentary on East Asian financial regionalism, the impacts of financial globalization in Japan, Japanese monetary policy making, US-Japan relations, and related topics. His current research focuses on the effects of the 2008-9 global financial crisis on regional cooperation and on competition among financial markets in East Asia. He received his B.A. in East Asian Studies from Yale University, his M.P.A. in International Relations from the Woodrow Wilson School of International and Public Affairs at Princeton University, and his Ph.D. in Politics from Princeton University. He is a life member of the Council on Foreign Relations.
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Paul Hamill – Global Head of FICC, Citadel
Paul Hamill is a Managing Director and Global Head of FICC Citadel Execution Services at Citadel Securities. Mr. Hamill is responsible for the client facing fixed income market-making businesses, including interest rate swaps, government and corporate bonds, credit default swaps and cleared FX. Paul was previously a Managing Director and Global Head of FX, Rates and Credit Execution services at UBS, with responsibility for global futures execution, FXPB, and building the fixed income agency business which included the PIN (Price Improvement Network) corporate bond and CDS trading platform, and the Neo platform for SEF traded swaps. Paul has over 15 years of experience in financial services and has worked in London, Zurich, New York and Chicago, with experience across e-commerce, trading and sales. Paul Has an M.A. Political Science from University of Glasgow and an M.S. in Finance from University of London.
Henrik Hansen – Economist, European Systemic Risk Board (ESRB)
Henrik Damgaard Hansen works as an Economist at the European Central Bank (ECB) in the Secretariat of the European Systemic Risk Board (ESRB). He is responsible for coordinating the ESRB’s work on systemic risks related to central counterparties (CCPs) and the work on risks associated with low interest rates and structural changes in the financial markets. Before joining the ECB, he was an Economist at the Macroprudential Policy Division of Danmarks Nationalbank where he worked on risks associated with systemically important financial institutions (SIFIs).
Tom Harrington – Chief Information Security Officer, Citigroup Inc.
Mr. Harrington joined the management team at Citigroup as Chief Information Security Officer in July 2012. With 27 years of law enforcement and national security experience, T.J. Harrington, the former Associate Deputy Director of the FBI is a recognized leader in the global law enforcement and intelligence communities. He now heads a organization within Citi focused on critical risk areas of Information Security, and Anti-Money Laundering Operations. His focus has been to enhance the safety and soundness of the firm by implementing an intelligence-led, threat focused approach to create a strong defense network to protect Citi and its clients. As the Associate Deputy Director, he served as the Chief Operating Officer for the FBI responsible for the development and execution of the FBI’s diverse mission strategy across a workforce of 36,000 with an operating budget in excess of $10 billion. He had direct executive oversight for the FBI’s Information Technology, Information Security, Physical Security, Human Resources Division, Training Division, Records Management Division, Inspection Division & Internal Audit, Finance Division, Facilities Management Operations, and the Strategy and Planning Office. In 2009, Mr. Harrington served as the Executive Assistant Director of the FBI’s Criminal, Cyber, Response and Services Branch (CCRSB). The CCRSB is the largest operational branch in the FBI, overseeing the administrative and operational efforts against 70,000 investigations and the use of 360 law enforcement task forces. He was instrumental in introducing to new concepts designed to create an intelligence-led organization including piloting the creation of Hybrid Criminal Squads, Threat Fusion Cells and new performance metrics designed to illustrate community impact within the FBI’s top priorities. Following the Terror Attacks of September 11, 2001, Mr. Harrington was asked to take a leadership role in the expansion of the FBI’s Counterterrorism Division and the creation of the National Security Branch. Mr. Harrington was part of the leadership team that guided the FBI through an unprecedented time of development, expansion and transformation. He was responsible for the creation of the National Threat Center Section, the 24/7 Counterterrorism Watch Center, and the expansion of the national network of Joint Terrorism Task Forces. Mr. Harrington introduced the FBI to the principals and methodology of the Balanced Scorecard. He transformed the strategic planning and execution process within the Counterterrorism Division and championed this process to an enterprise level for the FBI. Mr. Harrington’s success in developing strategy, creating alignment and pursuing organizational change within the FBI was recognized with his receipt of the Presidential Rank Award of Distinguished Executive from President Bush and the Presidential Rank Award of Meritorious Executive from President Obama. Mr. Harrington is a member of the Citi’s Operations & Technology (O&T) Operating Committee, Management Committee and the Operation Risk Council. Mr. Harrington received a B.S. in Accounting from Mount St. Mary’s University and is an Honors Graduate of the Stonier Graduate School of Banking, American Bankers Association, University of Delaware.
Danny Haydon – Head of Relationship Management Americas, Global Risk Services, S&P Global Market Intelligence
Danny Haydon is the Americas Head of Global Risk Solutions Relationship Management, focusing on key market stakeholders across Financial Services. He has 10 years of Sales and Relationship Management experience in Market and Credit Risk Solutions through industry leading service providers. He lead the sales team in the Americas for S&P Capital IQ’s Portfolio Risk products prior to joining the Global Risk Solutions business. Danny joined from MSCI-Riskmetrics where he covered sales of the flagship Market Risk Management platform to the buy side with developed relationships with Hedge Funds and Hedge Fund Investors. Previously he was a Structured Credit Derivatives Broker at CreditEx. Mr. Haydon received a BSc in Psychology from the University of Southampton, and an MBA from the University of Southampton’s Business School.
Bret Hester – U.S. Head of Regulatory Policy, Barclays
Bret Hester is the US Head of Regulatory Policy for Barclays. Bret previously served as a senior advisor and acting Deputy Assistant Secretary for Government Financial Policy at the US Treasury Department. He received the Distinguished Service Award from the Secretary of the Treasury for his contributions to the Department. He previously worked as the chief counsel and economic policy advisor to Senator Joseph Lieberman, as an Assistant US Attorney, and as a law clerk to Judge John Noonan of the US Court of Appeals for the Ninth Circuit. Bret graduated from Harvard College (B.A., magna cum laude) and Stanford Law School (J.D., Order of the Coif).
Alan Houmann – Managing Director, Head of Government Affairs EMEA, Citi
Alan Houmann is the managing director and head of Citi’s EMEA government affairs team. The team is focused on regulatory reform, including the major programme of EU banking legislation currently being negotiated in Brussels. He is a member of Citi’s EMEA Operating Committee. He is based in London, and participates actively in the public policy arena, serving on the Board of TheCityUK, which promotes financial services in the UK and aboard. He also chairs TheCityUK’s Public Affairs Group, and is a member of the executive board of its International Regulatory Strategy Group (IRSG). Alan also serves on the British Bankers Association’s Strategy Committee, and chairs its EU policy group. Alan joined Citi in 2007, from the Committee of European Banking Supervisors (since re-established as the European Banking Authority), where he served as senior adviser and deputy to the Secretary General. CEBS was set up to advise the European Commission on banking legislation and to encourage closer cooperation between Europe’s central banks and supervisory authorities. Prior to serving on CEBS, he worked on international banking policy and supervisory cooperation at the UK Financial Services Authority (FSA). He has also served in the European Commission, in the directorate for economic and financial affairs, and in the team leading the introduction of the euro. Alan has also been a member of the secretariat of the EU’s Economic and Financial Committee (the committee preparing finance ministry and central bank discussions). He spent a year with the European Banking Federation (EBF), and started his career as an economist with HM Treasury (the UK ministry of finance). Alan has Master’s degrees in international studies and philosophy, from the University of St. Andrews, and in economics from the University of London.
Carl Howard – Deputy General Counsel, Citigroup
Carl Howard is Deputy General Counsel of Citigroup. He manages the Citigroup Bank Regulatory Office, which provides legal advice to Citigroup businesses regarding bank regulatory issues associated with new products and acquisitions. Carl has advised Citigroup and its predecessor Citicorp on a large number of consumer and corporate initiatives, both foreign and domestic, since 1985. Before joining Citicorp, he served as Senior Counsel at the Federal Reserve in Washington, D.C. where he advised on banking and nonbanking activities of bank holding companies. Carl holds a B.A. from the University of Virginia (1972), and a J.D. from William and Mary (1975).
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Bart Joosen – Vice-Chair Executive Committee European Banking Institute; Professor, Prudential Supervision Law, University of Amsterdam; and Counsel, Loyens & Loeff
Bart P.M. Joosen is trained as civil law lawyer at Tilburg University, the Netherlands. He obtained his (equivalent to) LL.M degree in 1987, after which he was appointed as lecturer in the law faculty of Tilburg University, where he lectured on company law from 1987-1990. He also worked on a comparative law study on the Dutch and French legislation for bankruptcy of companies and was admitted in 1988 and 1989 as a fellow researcher to the Université de Paris I (Panthéon-Sorbonne). He successfully defended his dissertation on “Transfer of undertakings in bankruptcy” at Tilburg University and earned his PhD in law science in 1998. After his time at University he worked as in-house legal counsel at Philips Electronics until 1992, after which he became active in private practice in Amsterdam, working for law firms associated with Andersen, PricewaterhouseCoopers and KPMG. He headed the Amsterdam Finance & Projects practice of DLA Piper after he joined the firm in 2006. Since September 2015 he has worked in the new environment of RegCounsel Financial Services. He works particularly for financial market clients. His main areas of expertise are financial services supervision and micro-prudential supervision of banks & insurers (including in-depth Basel II/Basel III and Solvency II knowledge). His more recent work concerns the assessment of topics concerning systemic risk and systemically important institutions. He also works for investment firms and businesses active in payments, clearing and settlement services and infrastructures. Besides working in private practice, Joosen is a full professor of Prudential Supervision Law at the University of Amsterdam and associated with the Centre of Financial Law of the Faculty of Law.
Simon Jowers – Head of Financial Sector Policy, Europe, HSBC Holdings plc
Simon Jowers is responsible for advising senior executives, global businesses and global functions within HSBC primarily on EU policy and regulatory issues impacting the HSBC Group. His role, based within HSBC’s Group Government Affairs team, involves both internal policy development and engagement with policymakers. Simon’s main focus currently is on prudential rules, bank structures and other wholesale and commercial banking issues, including trade policy and finance, and on EU institutional issues. With HSBC since 2008, Simon was previously at HM Treasury, where, from 2005, he was responsible for the Treasury’s work on financial sector competitiveness and other global financial markets issues including transatlantic financial markets, emerging markets including China and India, and financial services trade. Prior to this, from 2002, Simon was seconded to the European Commission’s Internal Market & Services Directorate-General, where his responsibilities related to capital markets rules, including policy on financial analysts, credit rating agencies, development of the EU supervisory and rulemaking architecture, and future strategy. Simon joined HM Treasury in 1989 and held a range of roles before specialising in financial services and EU issues. Immediately prior to working at the European Commission, he was responsible for briefing the Chancellor of the Exchequer ahead of monthly meetings of EU finance ministers and also developed the Treasury’s strategy to promote economic reform in Europe. Simon spent a year (1998-99) seconded to the Merger Task Force of the European Commission’s Competition Directorate-General.
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Michael Kanef – Chief Regulatory and Compliance Officer, Moody’s Investor Services
Michael Kanef is the Chief Regulatory and Compliance Officer for Moody’s Corporation. In this role, he is responsible for Moody’s global, regulatory outreach and compliance efforts. Michael joined Moody’s as a senior analyst in the Term Asset-Backed Securities Team in 1997 after working as an associate in the Asset -Backed Finance Group at Skadden, Arps, Slate, Meagher & Flom, LLP. He was appointed co-head of the U.S. Term Asset-Backed and Asset-Backed Commercial Paper rating teams in June 2000 and promoted to Group Managing Director of the US. Asset Finance Group in June 2004. His responsibilities within the U.S. Asset Finance Group included participation in meetings with Congressional staffs and appearing before committees of both the U.S. Senate and House of Representatives. Michael earned a J.D. cum laude from Boston University School of Law and B.A. in Economics from Trinity College.
Sven Kasper – SVP, Director EMEA, Regulatory, Industry & Government Affairs, State Street
Sven Kasper is SVP, Director EMEA, Regulatory, Industry & Government Affairs at State Street, which involves European regulatory and government relations as well as policy development. Prior to taking up his role at State Street in April 2010, Sven was Head of EU Public Affairs, Funds at Prudential plc and worked in UBS’ Government Affairs department both in Zurich and in London. Sven graduated from the University of St. Gallen in Switzerland from which he also holds a doctorate in International Affairs.
Richard Kaye – Head of Government Relations, EMEA, APAC, JP Morgan
Richard Kaye is Head of Government Relations for J.P. Morgan in Europe and Asia. The team leads the firm’s public policy engagement in the region, including the institutions of the European Union and its Member States. He has also recently taken on responsibility for the Asia-Pacific team. Richard is a member of J.P. Morgan European Operating Committee; Chair of the Financial Services Committee of the American Chamber of Commerce to the European Union; Member of the Executive Council of the International Regulatory Strategy Group of CityUK; its Public Affairs group; and recently stepped down as Chair of the European Public Policy Committee of the Association of Financial Markets in Europe.
Patrick Kenadjian – Senior Counsel, Davis Polk; Adjunct Professor, Institute for Law and Finance, Goethe University
Patrick is currently an Adjunct Professor at the Goethe University in Frankfurt am Main, Germany, where he teaches courses on the financial crisis and financial reform and mergers and acquisitions at the Institute for Law and Finance. Patrick has chaired conferences at the Goethe University in Frankfurt on bank culture and ethics, the EU’s Capital Markets Initiative, “too big to fail”, the EU’s Bank Recovery and Resolution Directive and the EU’s Collective Action Clause initiative and sovereign debt restructuring. He speaks frequently on topics related to financial reform, including “too big to fail,” the architecture of financial supervision and the new regulatory environment in the US and the EU. He has acted as Program Director for the Salzburg Global Seminar’s Finance in a Changing World Series in 2013 and 2014 and is currently a member of its Advisory Committee. Patrick is also Senior Counsel at Davis Polk & Wardwell London LLP. He was a partner of the firm from 1984 to 2010, during which time he opened the firm’s Tokyo and Frankfurt offices in 1987 and 1991, respectively and spent over 25 years in its European and Asian offices. He speaks French, German and Italian. He has been listed as a leading lawyer in several industry publications, including Chambers Global: The World’s Leading Lawyers for Business and Legal Media Group’s Expert Guide to the World’s Leading Banking Lawyers, Expert Guide to the World’s Leading Capital Markets Lawyers and Expert Guide to the World’s Leading Lawyers Best of the Best.”
Steven Kennedy – Global Head Public Policy, International Swaps and Derivatives Association (ISDA)
Steven Kennedy is Global Head of Public Policy at the International Swaps and Derivatives Association, Inc. (ISDA). In this position he is responsible for is responsible for leading ISDA’s public policy, research and communications initiatives and teams in America, Europe and Asia. Mr. Kennedy joined ISDA in January 2011, and over the past four years has held a variety of positions, most recently serving as ISDA’s Head of Strategy, Research and Communications. Prior to ISDA, Mr. Kennedy founded and was principal for 17 years at Kennedy & Company, a corporate reputation and financial communications consultancy.
Andrei Kirilenko – Director of the Centre for Global Finance and Technology; Visiting Professor of Finance, Imperial College Business School
Andrei Kirilenko is the Director of the Centre for Global Finance and Technology and a Visiting Professor of Finance at the Imperial College Business School. Prior to joining Imperial in August 2015, he was Professor of the Practice of Finance at MIT Sloan and Co-Director of the MIT Center for Finance and Policy. Professor Kirilenko’s work focuses on the intersection of finance, technology and regulation. He is a recognized world expert on high frequency and algorithmic trading. He is also an intellectual leader on the principles of regulation of automated financial markets. Before MIT Sloan, Professor Kirilenko served as chief economist of the U.S. Commodity Futures Trading Commission (CFTC) between December 2010 and December 2012. In his capacity as chief economist, Kirilenko has been instrumental in using modern analytical tools and methods to improve the Commission’s ability to develop and enforce an effective regulatory regime in automated financial markets. He chaired two subcommittees of the CFTC Technology Advisory Committee: the Subcommittee on Data Standardization and the Subcommittee on the Automated and High Frequency Trading. He also represented the CFTC at the Systemic Risk Committee and the Systemic Data Committee of the Financial Stability Oversight Council (FSOC). In 2010, Kirilenko was the recipient of the CFTC Chairman’s Award for Excellence (highest honor). His scholarly work has appeared in a number of peer refereed journals and received multiple best-paper awards. Kirilenko received his PhD in Economics from the University of Pennsylvania, where he specialized in Finance.
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Elias Levenson – Associate General Counsel, Citi Financial Regulatory Reform
Elias (“Eli”) Levenson is an Associate General Counsel supporting Citi’s global advocacy and implementation against new and emerging financial services regulations. He has been with Citi for 11 years. Prior to his current role, he served in a variety of capacities within Citi’s Global Compliance function, including providing compliance support for Citi’s North America Consumer business, handling Citi’s North America Consumer business ethics matters and supporting Citi’s AML and Community Reinvestment Act activities. Prior to joining Citi, he worked as an Associate in Washington, DC for the law firm of Kelley Drye and Warren, and before law school he held roles with both the executive and legislative branches of New York City government. He is a member of the New York and Washington, DC Bars and holds a J.D. from Georgetown University and a B.A. in History and International Studies from Yale University.
Julie Bell Lindsay – Managing Director / General Counsel, Capital Markets and Corporate Reporting, Citi
Julie Bell Lindsay currently serves as Managing Director and General Counsel – Capital Markets and Corporate Reporting for Citigroup Inc. In this role, Julie oversees Citi’s global securities issuance activities, public disclosures and SEC reporting and serves as a member of Citi’s Disclosure Committee. Prior to joining Citi, Julie spent three years at the U.S. Securities and Exchange Commission. She spent the first half of her time at the Commission in the Division of Corporation Finance, where her experience included serving as a Special Counsel in the Office of Rulemaking. In this position, Julie worked on various rulemaking initiatives, including the Commission’s significant changes to Form 8-K reporting in 2004. During the remainder of her time at the Commission, Julie served as a Counsel to Commissioner Cynthia A. Glassman where she advised on public company disclosure obligations, corporate governance standards, the Sarbanes-Oxley Act of 2002, the Public Company Accounting Oversight Board and Financial Accounting Standards Board, various enforcement matters and issues affecting registered foreign companies. Julie also has experience in private practice, as Counsel at Hogan & Hartson LLP (now Hogan Lovells) and as an Associate at Wilson Sonsini Goodrich & Rosati. During her previous eight years in private practice, Julie advised many public and private company clients on various securities offerings, including venture capital financings, initial public offerings and equity and debt issuances, corporate governance matters and SEC disclosure requirements. Julie received her J.D. from Vanderbilt University School of Law and her B.A. from Ohio State University, summa cum laude and Phi Beta Kappa. Julie is a member of the Board of Directors of the Association of Securities and Exchange Commission Alumni (ASECA).
Marshall Lux – Senior Fellow, Program on International Financial Systems (PIFS), Harvard Law School
Marshall Lux has been a Financial Services consultant and practitioner for 30 years. He began his career at McKinsey where he served all manner of financial service firms across a variety of subsectors and functional areas. He left McKinsey after approximately 25 years to become the Chief Risk Officer for Chase (all consumer products globally) during the crisis. He then joined BCG, where he was a Senior Partner for 5 years and helped build a private equity practice. Marshall continues to be an active Advisor to BCG. He advises or sits on FI private equity Boards ranging from consumer credit, wealth, insurance, and capital markets. He has a broad network of financial services C-suite executives whom he has worked with on some of their most important issues. He has also diligenced many of the largest private equity deals that have been done. Along with his client work, he has also done 35 pro bono assignments and has served on a number of nonprofit Boards, including the Harlem Children’s Zone, the New York Historical Society’s Chairman’s Council, the New York Tenement Museum, Junior Achievement, and Reading is Fundamental. Marshall is also a member of the Council on Foreign Relations and is extremely active at the New York Historical Society. Two years ago, Marshall decided to change paths. He has been a Senior Fellow at the Mossavar-Rahmani Center for Business and Government at the Harvard Kennedy School and will be there next year. He is also a Senior Advisor to The Committee on Capital Markets Regulation and a Senior Fellow to The Program on International Financial Systems. His overall writings have concerned the unexpected consequences of Dodd-Frank on financial services. He has written papers entitled The State and Fate of Community Banking and What’s Behind the Non-Bank Mortgage Boom?, and has another forthcoming paper titled Access Denied: The Regressive Effects of Decreased Consumer Credit Product Access. All published papers were cited on the front page of the Financial Times. Marshall has spoken broadly, including at the House Small Business Committee, the Federal Reserve, and various Universities and trade groups. Marshall attended the Woodrow Wilson School and graduated Summa Cum Laude. He also attended Harvard Business School where he was a Baker and Ford Scholar (awarded to the number one student in each graduate school).
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Daniela Marilungo – Head of Public Policy EMEA, Bank of America Merrill Lynch
Daniela Marilungo is a Public Policy Executive and she is the Head of Government Affairs and Public Policy, for Europe, the Middle East and Africa (EMEA) at Bank of America Merrill Lynch. Based in London and Brussels, Daniela is leading the overall Bank’s engagement and advocacy towards EU and national policy makers in the EMEA region. She has held this role since 2010. Prior to joining Bank of America Merrill Lynch, she was the Head of External Relations/Government Affairs based in Brussels at the Federation of Italian Banking and Insures’ Associations, a joint endeavour of the Italian Banking Association and the Italian Insurers’ Association. From 2004 to 2009 Daniela was Head of the EU Liaison Office at the Italian Banking Association (ABI) in Brussels, where she was responsible for EU policy, regulatory affairs and advocacy with the European institutions. Prior to this she was Director of European Policy at the International Swaps and Derivatives Association, ISDA in London and in Brussels, where she headed up the EU Liaison office with responsibility for advocacy activities at EU and Member State level. Daniela worked in the Legal & Government Affairs Department of Goldman Sachs International in London where she oversaw the regulatory environment for Goldman Sachs legal entities in Italy and inputted to the advocacy activity related to the European Union financial services regulation. Her career started at the European Commission in Brussels and then at the European Patent Institute before moving to London. Daniela sits on the Board of Juventus Football Club, listed on the Milan Stock Exchange, and she is the Chair of the Risk and Control Committee of Juventus FC. Daniela has a Master Degree in EU Law and Institutions and a Degree in Political Sciences and International Relations in European Community Law and International Institutions from LUISS – Libera Università degli Studi Sociali of Rome, Italy.
Katherine Martin – Associate Director, U.S. Securities and Exchange Commission (SEC)
Katherine Martin is the Associate Director for Regulatory Policy in the Office of International Affairs at the U.S. Securities and Exchange Commission (SEC). Ms. Martin joined the Commission in 2005 as a Senior Counsel in the Office of International Affairs and subsequently served as Counsel to the Director of the Office of Risk Assessment, Assistant Chief Counsel in the Division of Economic and Risk Analysis, Senior Special Counsel in the Division of Trading and Markets, Office of Clearance and Settlement, and, most recently, Assistant Director in the Office of International Affairs. Prior to joining the Commission, Ms. Martin practiced securities and corporate law at Sullivan & Cromwell LLP and Hogan Lovells. Ms. Martin received a B.A. in economics from Syracuse University and a J.D. from the Syracuse University College of Law.
Jai Massari – Associate, Davis Polk & Wardwell LLP
Ms. Massari is an associate in Davis Polk’s Financial Institutions Group and the Trading and Markets practice. She advises major global banks, asset managers, and corporations on the requirements, impact and implementation of the Dodd-Frank financial reform legislation. In this area, her practice focuses on derivatives regulation, the Volcker Rule and systemic risk regulation. She frequently works with industry organizations in connection with advocacy efforts on legislative and regulatory proposals. Ms. Massari has been at Davis Polk since 2011 and before that was at Willkie Farr & Gallagher LLP from 2007-2011. She has a B.A. in Chemistry from Cornell University (2000) and a J.D. from Duke University School of Law (2007), where she graduated cum laude and was Executive Editor of Law & Contemporary Problems.
Sylvie Matherat – Chief Regulatory Officer and Member of the Management Board, Deutsche Bank AG
Sylvie Matherat became a member of Deutsche Bank’s Management Board on November 1, 2015. She is the bank’s Chief Regulatory Officer in charge of Regulation, Compliance and Anti-Financial Crime. She joined Deutsche Bank in 2014 as Global Head of Government & Regulatory Affairs. Sylvie Matherat came from Banque de France where she was Deputy Director General and responsible for regulation and financial stability issues, payment and settlement infrastructures, banking services, and the Target 2 Securities project. She previously held various positions at the Banking Supervisory Authority and in the private sector. Sylvie Matherat studied public law and finance at the Institut d´Etudes Politique de Paris, France, and holds a master degree in law and political sciences. She was awarded the Legion d’Honneur in 2014.
Robin Maxwell – Partner, Head of U.S. Financial Regulation Group, Linklaters LLP
Robin is the head of Linklaters’ US Financial Regulation Group practice. She provides regulatory advice to banking organizations and their holding companies in the context of complex domestic and cross-border joint ventures, spin-offs and other M&A transactions. She also advises on matters related to Bank regulatory capital, liability management, and bank-sponsored private investment funds. Increasingly , Robin’s practice is focused on new approaches to prudential regulation , bank insolvency regimes, and other response to “too big to fail.” She regularly advises on US regulatory developments, including the Volcker Rule and the “enhanced prudential regulation” rules, often in the context of their intersection with UK and EU regulatory developments. Robin is ranked as a leading lawyer in Chambers USA 2010-2016. Robin is on the board of the City Bar Justice Center, the pro bono arm of the New York City Bar Association. She graduated cum laude from Harvard Law School, and as a Wellesley Scholar from Wellesley College.
Joanne Medero – Managing Director, Government Relations and Public Policy, Blackrock
Joanne Medero is a Managing Director at BlackRock with responsibilities for government relations and public policy. Ms. Medero’s service with BlackRock dates back to 1996, including her years with Barclays Global Investors (BGI), which merged with BlackRock in 2009. Ms. Medero joined BGI as its Global General Counsel and after more than ten years in that role, became the global head of Government Relations and Public Policy for Barclays’ investment banking and investment management businesses. Prior to joining BGI, Ms. Medero was a partner with Orrick, Herrington and Sutcliffe, in their New York office, specializing in derivatives and market regulation issues. Ms. Medero also served as general counsel of the Commodity Futures Trading Commission (1989-1993) and as an associate director for legal and financial affairs at the Office of Presidential Personnel, The White House, from 1986 to 1989. Ms. Medero earned a BA degree, magna cum laude, phi beta kappa, from St. Lawrence University in 1975 and a JD degree, with honors, from the National Law Center of George Washington University in 1978.
Kevin Mellyn – Consultant, African Development Bank
Kevin Mellyn is currently a consultant for the Financial Sector Development Department of the African Development Bank. His current work concerns financial market integration in the East African Community, including legal and regulatory harmonization. From 2005 until retiring in 2012 Mellyn was a management consultant at MasterCard Advisors LLC in their Payments Knowledge Center. Mellyn has nearly forty years of experience in banking and consulting with a special focus on payments and settlement systems and the businesses surrounding them. His seventeen years with Manufacturers Hanover Trust in London and New York was followed by twenty years of consulting at A.T. Kearney and as founding partner of Mitchell Madison Group .He has served banks, central banks and development banks on a wide range of issues worldwide, from payment systems to risk management, regulation, workers remittances and financial inclusion. Kevin is an authority on the evolution of global and national financial markets and banking systems, and the co-author of an essay on the risk and regulatory implications of market driven finance that was awarded the Jacques de Larosiere prize by the Institute of International Finance. He is the author of two books on the 2008 financial crisis and responses to it: Financial Market Meltdown (Praeger 2009) and Broken Markets: A User’s Guide to the Post Finance Economy (Apress 2012). Kevin holds an AM and AB in History from Harvard University.
Nick Miller – Head of International Affairs, Financial Conduct Authority (FCA)
Nick is the Head of the International Affairs Department at the Financial Conduct Authority. In this role, Nick is responsible for managing the FCA’s strategic relationships with counterpart regulators, international policy makers, multilateral bodies and other stakeholders throughout the world. He is also responsible for ensuring that the FCA’s purpose, objectives and priorities are promoted internationally, as well as for monitoring new regulatory developments that could affect the organisation, at global and EU levels. Prior to joining the regulator, Nick was Executive Director and Head of Public Policy, EMEA at Morgan Stanley, where he spent four and a half years. He previously worked in a government relations role at Thomson Reuters and as a trade policy expert at the Confederation of British Industry (CBI). He holds an MSc in Finance from the London Business School and an MA in European Politics from the College of Europe in Belgium. He also holds a BA in Modern European Studies from University College London (UCL).
Martin Moloney – Head of Markets Policy Division, Central Bank of Ireland
Martin Moloney is the Head of Markets Policy at the Central Bank of Ireland. He is responsible for the development of regulatory policy in relation to all aspects of the asset management sector operating out of Ireland, including policy covering investment firms, markets, investment funds and related entities. He has represented Ireland on a range of European and global regulatory bodies. Before moving into securities and markets regulation, Martin held a number of other senior posts in the Central Bank of Ireland and in the Irish Department of Finance. He began his career in banking.
Eric Morgan de Rivery – Partner, Jones Day LLP
Eric Morgan de Rivery’s practice focuses on European Commission and French competition law, advising clients on all aspects of EC legislation and state aid. He has considerable experience in merger control, cartel and state aid cases, abuses of dominant position, and other proceedings before the EC. Since the early 1980s he has advised companies on deregulation in various markets, including postal, telecommunications, energy, aviation, and general transportation. In addition, Eric has represented airlines in matters involving ground handling and noise reduction. Eric regularly appears in cases before the EC and in judicial review and appellate cases before the Court of First Instance and the Court of Justice of the European Union. He also represents clients before the French courts and the French Competition Authority. After graduating from Harvard, Eric worked with U.S., U.K., and French law firms in New York and Paris and also completed a traineeship with the Directorate General of Competition of the European Commission. For the past 25 years he has divided his time between Brussels and Paris. He is the author of numerous articles on EU law and has been appointed to serve as a member of the Executive Committee of the Global Competition Law Centre (GCLC) of the College of Europe.
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Edward Nalbantian – Partner, Jones Day LLP
Ed Nalbantian has more than 25 years of experience in the London and European debt markets representing lenders and borrowers in a wide variety of European and U.S. cross-border structured and leveraged finance transactions. Ed has particular experience in cross-border financial instruments, over-the-counter derivatives, and related debt capital markets financings. Since 2009, he has been leading Jones Day’s London team as Special Derivatives Counsel to the Estate of Lehman Brothers Holding Inc. In September 2008, he was the lead London partner of a multijurisdictional Jones Day team representing a major U.S. financial institution in evaluating and advising on its worldwide risk and documentation exposure in the derivatives, stock lending, and repo markets at the outset of the financial crisis. In the area of leveraged finance, Ed has strong experience in financing for infrastructure projects. Among notable transactions, he led Jones Day’s team in representing JPMorgan, Société Générale, and the Mandated Lead Arrangers in a €3.5 billion financing of the Abertis-sponsored acquisition of SANEF, the French toll road company, as well as the Firm’s representation of the lead banks in a £1.7 billion infrastructure acquisition financing and subsequent restructuring of Viridian Plc, the Northern Ireland utility company. Having practiced in the Firm’s Paris Office from 1998 to 2004, Ed regularly lectures and publishes on structured finance topics in both French and English and has been a lecturer at the University of Paris-Malakoff.
Mario Nava – Director, Regulation and Prudential Supervision of Financial Institutions, European Commission
Mario Nava holds a first degree in Economics from Bocconi University (1989), an MA from the Université Catholique de Louvain, Belgium (1992) and a PhD in Public Finance from the London School of Economics (1996). He is currently Director of the ‘Regulation and prudential supervision of financial institutions’ directorate in the Financial Stability, Financial Services and Capital Markets Union DG (formerly the Internal Markets and Services DG) of the European Commission. Prior to that, from April 2011, he held the position of Acting Director. From November 2009 until September 2013, he was Head of the ‘Banking and Financial Conglomerates’ unit. Previously in the Internal Markets and Service DG, from May 2004 to October 2009, he was the Head of the ‘Financial Markets Infrastructure’ Unit. From December 2007 to May 2008, he was also Acting Director for the Financial Services Policy and Financial Markets Directorate. From 2001-2004, he was a member of the Group of Policy Advisers of the EU Commission President, Prof. Romano Prodi. Within the Group he was responsible for economic matters in general and in particular the EU budget and economic policy coordination between the Member States. Prior to joining the Group of Policy Advisers, he worked first for the Commission’s Taxation Department (1994-1996), then for the Budget Department (1996-2000), and then in the Cabinet of the Competition Commissioner, Prof. Mario Monti (2000-2001). Alongside his work at the Commission he is active in research and teaching. He is a visiting professor at Milan’s Bocconi University and an occasional lecturer in many universities across Europe.
Jeremy Newell – Executive Managing Director / General Counsel & Head of Regulatory Affairs, The Clearing House
Jeremy Newell is Executive Managing Director, Head of Regulatory Affairs and General Counsel of the Association, overseeing regulatory affairs and advocacy and assisting in the development of regulatory policy, strategy, and advocacy. Previously, Mr. Newell worked at WilmerHale where, as counsel in the Regulatory and Government Affairs Department, he represented a wide range of U.S. and foreign financial institutions regarding regulatory matters. He also previously served as counsel in the Legal Division and then regulatory policy advisor in the Banking Supervision & Regulation Division to the Board of Governors of the Federal Reserve System, where he developed and implemented financial regulatory policy with a focus on issues affecting large complex financial institutions. At both WilmerHale and previously at the Fed, Mr. Newell focused on issues that included the Volcker Rule, derivatives, single counterparty credit limits and other enhanced prudential standards, Basel III liquidity standards, revisions to Section 23A of the Federal Reserve Act, financial sector concentration limits, swaps push-out requirements, and financial stability issues in regulation. While at the Fed, he represented the Board in international forums, interagency rulemaking negotiations, congressional staff meetings, and rulemaking and regulatory policy matters. Prior to joining the Fed, Mr. Newell practiced as an attorney at Sullivan & Cromwell, Natixis, and American Express. He received his J.D. from Yale University where he was a senior editor of the Yale Law Journal. He was admitted to the bars of New York State and the District of Columbia, is a frequent speaker on financial regulatory reform, and is a faculty member of the Banking Law Fundamentals Program at the George Washington University Law Center for Law, Economics & Finance.
Barbara Novick – Vice Chairman, BlackRock, Inc.
Barbara G. Novick, Vice Chairman, is a member of BlackRock’s Global Executive Committee and the Enterprise Risk Management Committee and chairs the firm’s Public Policy Steering Committee. From the inception of the firm in 1988 to 2008, Ms. Novick headed the Global Client Group and oversaw global business development, marketing and client service across equity, fixed income, liquidity, alternative investment and real estate products for institutional and individual investors and their intermediaries. In her current role, Ms. Novick heads the firm’s efforts globally on Government Relations and Public Policy. In addition, she serves as a board member to the BlackRock Equity-Liquidity and BlackRock Closed End fund families, and is a member of the Executive Committee of the Board of Governors of the Investment Company Institute. Prior to founding BlackRock in 1988, Ms. Novick was a Vice President in the Mortgage Products Group at The First Boston Corporation where she headed the Portfolio Products Team. Before joining First Boston in 1985, Ms. Novick was with Morgan Stanley. Ms. Novick has authored numerous articles on asset management and public policy issues. Ms. Novick is a member of CFA Institute’s Future of Finance Advisory Council. She currently serves as a Trustee of Cornell University and the HCM Foundation. Ms. Novick previously served on the boards of Robert Toigo Foundation (2007-2010), UJA-Federation (2009-2015) and Westchester Day School (2000-2005), served as both Treasurer and Trustee of Westchester Jewish Center (1994-2012) and coached in the Westchester Youth Soccer League (1999-2015). Ms. Novick earned a BA degree, cum laude, in economics from Cornell University in 1981.
Adam Nunes – Head of Business Development, Hudson River Trading LLC
Adam Nunes is head of business development at Hudson River Trading LLC, a multi-asset class quantitative trading and technology firm based in New York with offices in London and Singapore. Prior to joining Hudson River Trading in 2009, Mr. Nunes was Vice President, Transaction Services and Head of U.S. Options at NASDAQ where he oversaw the acquisition and integration of NASDAQ OMX PHLX and was responsible for the NASDAQ Options Market. Prior to focusing on options, he was responsible for developing policy initiatives, new products, product enhancements and pricing for NASDAQ’s equity transaction products. Mr. Nunes joined NASDAQ in 2000 as a Research Analyst in the Economic Research Department. Mr. Nunes began his career as a Research Associate at Economists Incorporated, an economic consulting firm based in Washington, DC. Mr. Nunes received his BBA in Finance from the George Washington University.
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Eric Pan – Director of the Office of International Affairs, U.S. Commodity Futures Trading Commission (CFTC)
Eric J. Pan is the Director of the Office of International Affairs at the US Commodity Futures Trading Commission. In this role he oversees CFTC international regulatory initiatives, provides guidance regarding international issues raised in Commission matters, and represents the CFTC in various international bodies, including IOSCO and the FSB, and in dialogues with Europe, China, India and Japan. He is responsible for the CFTC’s engagement with foreign regulatory counterparts and involved in the development and governance of multilateral and bilateral workstreams involving the CFTC. Eric currently is the co-chair of the IOSCO Committee on Commodity Derivatives, chair of the OTC Derivatives Regulators Group, and co-chair of the FSB Working Group on UTI and UPI Governance. In his prior position as Associate Director for International Regulatory Policy at the US Securities and Exchange Commission from 2011-2015, Eric led the SEC’s engagement in the FSB and IOSCO. Before entering the government, Eric was a law professor, director of a center on corporate governance, and lawyer in private practice. He received his A.B. in Economics from Harvard College, M.Sc. in European and International Politics from the University of Edinburgh, and J.D. from the Harvard Law School where he enjoyed Hal Scott’s class on International Finance.
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David Reed – Partner, Kreab Group
David Reed is a Partner in Kreab Gavin Anderson’s Brussels Office, where he leads the EU financial services practice. He has a background from the European Commission’s Asset Management Unit in the Directorate General for the Internal Market & Services, where he worked on issues such as mutual fund regulation, retirement savings markets, and alternative investment fund regulation. Prior to that he worked in London at the UK financial services regulator, the FSA, first as a relationship manager supervising investment firms, and then as regulatory adviser in the Chairman’s office, attached to the International Strategy Team. David’s first jobs were in management consultancy with McKinsey and The Evaluation Partnership, specializing on financial services issues, and in private equity, with Campbell Lutyens.
Nick Reinhardt – Director, Afore Consulting
Nickolas Reinhardt is Co-Founder and Director of Afore Consulting, a premier European public affairs consultancy in Brussels specialized in financial services. Having worked in Brussels for more than 20 years, Nickolas is a vastly experienced, highly capable and a leading authority on financial services regulation. Previously, he was Senior Policy Advisor and Chair of International Financial and Regulatory Affairs at an international public affairs company. His ability to be a strong advocate with commercially astute and user friendly advice is based on his knowledge of the industry having been a merchant banker and securities trader with ABN Amro Bank. Nickolas is the Head of Secretariat of the European Payment Institutions Federation (EPIF) and the former vice-chair of the Financial Services and Company Law Committee of the American Chamber to the European Union. Nickolas chairs the EU Asia Financial Services Round Table. He holds a MA in Political Science and Economics from the Christian Albrechts University Kiel. He taught EU affairs at the University of Limerick and Queen’s University, Belfast.
Tara Rice – Deputy Assistant Secretary for International Financial Stability, U.S. Department of the Treasury
Dr. Tara Rice serves as the Deputy Assistant Secretary for International Financial Stability and Regulation at the U.S. Department of Treasury. In this role, Dr. Rice is engaged in the G-20 financial reform agenda, working with the Financial Stability Board and relevant standard setting bodies, in the development and implementation of effective regulatory and supervisory policies in the interest of financial stability. She worked for more than a decade in the Federal Reserve System, and, most recently, served as Chief of the Global Financial Institutions section at the Federal Reserve Board. Dr. Rice’s research on financial institutions has appeared in academic journals, such as the Journal of Finance, as well as in Federal Reserve publications. She holds a PhD in Finance from Boston College.
Thomas J. Rosenkoetter – Senior Vice President for Federal Public Policy for HSBC North America Holdings, Inc.
Tom Rosenkoetter is a Senior Vice President for Federal Public Policy for HSBC North America Holdings, Inc, where he is responsible for analyzing legislative and regulatory proposals, providing strategic direction on proposed legislation and related regulatory actions, and communicating HSBC’s perspectives to policymakers. In addition, he has served in leadership capacities on numerous financial services trade association committees and other coalitions that have help to shape the Dodd Frank Wall Street and Consumer Protection Act, federal bankruptcy law, the Fair Credit Reporting Act, the Gramm-Leach-Bliley Act and various regulatory provisions applicable to financial institutions. Prior to joining HSBC, worked on Capitol Hill, for a financial services trade association and law firm specializing in government relations. Tom received his degree from Illinois State University.
Peter Ryan – Vice President, U.S. Regulatory Policy & Emerging Issues, Credit Suisse
Peter Ryan is a VP, U.S. Regulatory Policy and Emerging Issues at Credit Suisse. He is responsible for helping to manage Credit Suisse’s regulatory strategy and relationships at the U.S. and multilateral levels. He is also responsible for identifying emerging regulatory issues that may impact the firm. Prior to joining Credit Suisse in 2015, Peter was a Senior Policy Analyst at the Financial Regulatory Reform Initiative of the Bipartisan Policy Center. During his time at the Initiative, Peter helped to run its Failure Resolution, Capital Markets, and Consumer Protection Task Forces. He was the lead staffer on a major white paper on the value of large banking organizations, and authored over 30 publications on a range of financial regulatory topics. Peter also worked as a consultant for the Capital Markets Initiative of the D.C. think tank, Third Way. He has a Ph.D. in political economy from UC Berkeley, and has written several academic papers and book chapters on the relationship between U.S. financial regulators and global standard setting institutions. He continues to teach courses on U.S. public policy for the Washington-based programs of Smith College and the University of California.
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Reena Sahni – Partner, Shearman & Sterling LLP
Reena Agrawal Sahni is a partner at Shearman & Sterling LLP in the global Financial Institutions Advisory & Financial Regulatory Group, resident in the New York office. Her practice focuses on advising domestic and non-U.S. financial institutions on U.S. bank regulatory matters, including Dodd-Frank implementation, corporate governance issues, bank insolvency, and recovery and resolution planning. She also represents financial institutions in connection with transactions, including mergers and acquisitions, asset sales, and bank capital markets transactions, and in connection with those representations advises on applications, control and non-control issues, and regulatory approvals. Ms. Sahni also advises on OFAC and AML compliance, internal investigations and regulatory enforcement actions. Ms. Sahni has been recognized by Chambers USA and was recognized as a “Rising Star” by IFLR1000 in 2013. She is a frequent speaker and author on various regulatory hot topics including corporate governance issues in financial institutions, the Volcker Rule implementation, and too-big-to-fail issues. Prior to joining Shearman & Sterling, Ms. Sahni was Counsel at Davis Polk. She was previously a law clerk for the Hon. Jon O. Newman, U.S. Court of Appeals for the Second Circuit, and she served as a Senior Attorney for the U.S. Securities and Exchange Commission from 2007 to 2009. Ms. Sahni received her Bachelor of Arts degree magna cum laude from Harvard University and her J.D. degree from Columbia Law School where she was a James L. Kent Scholar and managing editor of the Columbia Law Review.
Mark Schuermann – Managing Director, Nomura Holdings Inc.
Mr. Schuermann, Managing Director, is Head of Public Affairs for the Americas at Nomura, the global financial services company. He leads Nomura’s presence in Washington DC while driving the company’s government relations initiatives across the United States, advocating for the company before Congress and the executive branch and advising Nomura’s senior management team on public policy issues. Before joining Nomura in July 2010, he was Senior Vice President for Government Relations for the Financial Services Forum, an economic and financial policy organization representing the CEOs of 19 global financial companies operating in the U.S. At the Forum, Mr. Schuermann coordinated industry advocacy during congressional consideration of the Dodd-Frank Wall Street Reform and Consumer Protection Act. He was responsible for helping Forum member companies develop and advocate positions on a range of financial and economic policy issues. Mr. Schuermann was Senior Director for Federal Government Relations at Sallie Mae, the nation’s leading saving and paying for college company. In that capacity, he advised executive management on public policy issues and served as a liaison to Capitol Hill. As a senior staff member on Capitol Hill for 16 years, Mr. Schuermann worked on issues impacting the financial services sector, the federal budget, trade and education policy in the U.S. House of Representatives and the U.S. Senate. He was Chief of Staff to U.S. Rep. Harold Ford, Jr., an influential member of the House Financial Services and Budget Committees. Prior to that Mr. Schuermann was the Communications Director on the whip leadership staff of U.S. Senator Harry Reid, the Senate Majority Leader. He managed Senator Reid’s national and state communications efforts. Mr. Schuermann is the Co-Chair of the Securities Industry and Financial Markets Association (SIFMA) Derivatives Government Representatives Committee which engages in advocacy with the legislative and executive branches on issues affecting the swaps, security-based swaps and over the counter derivatives markets. He has a Bachelor of Arts in International Relations and Political Science from the University of Memphis.
Hal S. Scott – Nomura Professor and Director, Program on International Financial Systems, Harvard Law School
Hal S. Scott is the Nomura Professor and Director of the Program on International Financial Systems (PIFS) at Harvard Law School, where he has taught since 1975. He teaches courses on Capital Markets Regulation, International Finance, and Securities Regulation. He has a B.A. from Princeton University (Woodrow Wilson School, 1965), an M.A. from Stanford University in Political Science (1967), and a J.D. from the University of Chicago Law School (1972). In 1974-1975, before joining Harvard, he clerked for Justice Byron White. The Program on International Financial Systems, founded in 1986, engages in a variety of research projects. Its book, Capital Adequacy Beyond Basel (Oxford University Press 2004), examines capital adequacy rules for banks, insurance companies and securities firms. The Program also organizes the annual invitation-only U.S.-China, U.S.-Europe, U.S.-India, U.S.-Japan, and U.S.-Latin America Symposia on Building the Financial System of the 21st Century, attended by financial system leaders in the concerned countries. Professor Scott’s books include the law school textbook International Finance: Transactions, Policy and Regulation (20th ed. Foundation Press 2014); and The Global Financial Crisis (Foundation Press 2009). Professor Scott is the Director of the Committee on Capital Markets Regulation, a bi-partisan non-profit organization dedicated to enhancing the competitiveness of U.S. capital markets and ensuring the stability of the U.S. financial system via research and advocacy. He is also an independent director of Lazard, Ltd., a member of the Bretton Woods Committee, a member of the Market Monitoring Group of the Institute of International Finance, a past President of the International Academy of Consumer and Commercial Law and a past Governor of the American Stock Exchange (2002-2005).
Kay Swinburne – Member of the European Parliament for Wales (MEP)
Dr. Kay Swinburne was first elected as the Conservative MEP for Wales in June 2009 and re-elected for a second term in May 2014. A successful career in investment banking & fund management has equipped her with in-depth knowledge of the global financial markets and led to her appointment as a Coordinator on the Economics and Monetary Affairs committee in the European Parliament for the European Conservative and Reformist group. Kay is currently one of the key negotiators on several financial markets legislative dossiers including the Markets in Financial Instruments Directive (MiFID) the Central Securities Depositary Regulation (CSDR) which regulates CSDs and the European Markets Infrastructure Regulation (EMIR). In 2013, she authored an early European Parliament report on recovery & resolution of CCPs which set out the political priorities for the European Commission to take into account when drafting the upcoming legislative proposal. She will be a key player in amending and negotiating the legislation when it comes out at the end of the year.
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Emiliano Tornese – Deputy Head, Resolution and Crisis Management Unit, Directorate-General for Financial Stability, European Commission
Emiliano Tornese is Deputy Head of the Resolution and Crisis Management Unit in the European Commission’s DG for Financial Stability, Financial Services and Capital Markets Union. In that capacity, he has been involved with the preparation and negotiation of the BRRD, and with the preparation, negotiation and launch of the Single Resolution Mechanism. He is now focusing on the implementation of the BRRD and the SRM Regulation, of the international principles concerning CCP Recovery and Resolution, and of the recommendations of the Five Presidents’ Report on a European Deposit Insurance Scheme.
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Thierry Valat De Cordova – Executive Director, Regulatory Affairs Group, Natixis North America LLC
Thierry Valat De Córdova is an Executive Director at Natixis North America, serving as the attorney in the newly-created Regulatory Affairs Group of Natixis for the Americas region. He has held various positions at Natixis in the compliance department, notably program director worldwide for the Volcker Rule/Loi de Séparation Bancaire implementation project and CCO of a related investment adviser, Chamonix Partners Capital Management LLC. Previously, he was the chief compliance officer of a private equity fund with over 5 billion under management, and also acted as general counsel, working on acquisitions, lending, bankruptcies, complex structures and other matters. After he graduated from Harvard Law School in 1997, he acted as fixed income counsel at Wellington Management, as counsel at Bank of America and was an associate at Weil, Gotshal and Manges and Afridi and Angell. He earned a B.A. in Mathematics summa cum laude from U.C. Berkeley. Thierry has experience with various banks and financial institutions on the buy and sell sides, at large and small institutions as well as with operating portfolio companies, that includes deal and financing work, drafting forms for a range of banking institutions, general corporate, employment and litigation work, trading and investor issues, structured products work and various compliance issues with respect to broker/dealer (Series 7, 24 and 66), investment adviser and banking regulations, both in the United States and internationally. During his career, he has worked with attorneys and counterparties in over 150 countries, studied 10 languages, and wrote and published various articles, including on U.S. sanctions and on the extraterritorial reach of securities law.
Arthur van den Hurk – Senior Legal Counsel, Regulatory, AEGON N.V.
Arthur van den Hurk started his career as an attorney in a law firm in the Netherlands. He subsequently worked as a lawyer for a trust company in Amsterdam and, as of 2001, he has worked as a legal counsel for AEGON N.V.’s Group Legal department. In 2008, he has worked temporarily at AEGON’s Public Policy & Regulatory office in Brussels. He is currently senior legal counsel – regulatory, reporting to AEGON N.V.’s general counsel. He studied law at Erasmus University in Rotterdam and Università “La Sapienza” in Rome and has followed postgraduate courses in mergers and acquisitions and securities law (Grotius Academy). He is a research fellow of the Institute of Financial Law, part of the Research Center for Company & Law of the law faculty of the Radboud University in Nijmegen, where he occasionally gives lectures on specific financial law topics. He is chairman of the regulatory law committee of the Dutch Association of Insurers, a member of the Dutch Securities Law Association, member of the editorial board of a Dutch journal on financial law (Tijdschrift voor Financieel Recht), member of the Policy Committee of European Issuers and co-author of the quarterly overview of financial law developments for the Dutch law journal Ars Aequi. He regularly publishes on topics relating to financial law. Recent publications include topics such as bans from exercising functions in financial institutions, recovery and resolution of insurance companies, liability of supervisory authorities, review of the European Supervisory Architecture and Solvency II related topics. Furthermore he is a co-author of two commentaries to the Dutch Financial Supervision Act. He is currently working on a handbook about insurance supervision in the Netherlands, which is expected to be finalised and published later this year.
Diederik van Wassenaer – Global Head, Regulatory & International Affairs, ING
Diederik van Wassenaer is the Global Head of Regulatory and International Affairs of ING Group, a Global Financial Institution head quartered in Amsterdam, the Netherlands as of January 2016. Diederik has held a variety of senior management roles since joining ING in 1999 as Group General Counsel and General Manager of the Corporate Legal, Compliance and Security department. In 2003/2004 he held the position of CEO of ING Lease Holding, before being appointed Global Head of Wholesale Banking Products in January 2005. As of January 2008 until 2010, Diederik was also the Head of ING Wholesale Banking Netherlands and a Member of the Board of ING Netherlands. In July 2009, Diederik assumed responsibility for Real Estate Finance and Real Estate Development, after these businesses were integrated into the Products division of ING Wholesale Banking. On 1 January 2010, Diederik was appointed as Global Head of Clients and Corporate Finance and Equity Markets. As of 1 march 2012, Diederik also assumed responsibility for the Global Wholesale Banking Network, in addition to his on-going responsibilities as Global Head of Clients and CF/ECM and in May 2012 he joined the then created Senior Leadership Team of ING Bank. As of 1 January 2014, Diederik was appointed as Global Head of WB Network (also retaining responsibilities for Corporate Finance and ECM) and as Chairman of the Supervisory Board of Bank Mendes Gans. Per 1 June 2014, Diederik was also re-appointed a Member of the ING Bank Netherlands Management Committee. Per 1 September 2014, Diederik was appointed a Member of the Leadership Council of ING. Diederik holds a degree in civil law from the University of Leiden. Before joining ING, he spent 2 years in the Royal Dutch Marine Corps and 15 years as a lawyer with leading Benelux law firm Nauta Dutilh, including five years as a resident partner in New York and then London.
Nicolas Véron – Senior Fellow, Bruegel / Peterson Institute
Nicolas Véron cofounded Bruegel in 2002-05, joined the Peterson Institute for International Economics in 2009, and is currently employed on equal terms by both organizations. His research is primarily about financial systems and financial services policy, on which he has published widely since 2002. He has been a witness at numerous parliamentary hearings in the US Senate, European Parliament, and in several European member states; a financial policy expert for the European Commission and Court of Auditors; and a consultant to the International Monetary Fund and World Bank. He is also an independent board member of the global derivatives trade repository arm of DTCC, a financial infrastructure company that operates on a non-profit basis. A graduate of France’s Ecole Polytechnique and Ecole des Mines, his earlier experience includes senior positions in the French government and private sector in the 1990s and early 2000s. In September 2012, Bloomberg Markets included Véron in its yearly global “50 Most Influential” list, with reference to his early advocacy of European banking union.
Bouke de Vries – Advisor to the Board, Public Affairs, Rabobank Nederland
Bouke de Vries is Advisor to the Board Public Affairs at Rabobank. The Public Affairs team is responsible for maintaining relations with government agencies, political organizations and other stakeholders of the Rabobank. From 2009- 2013 Bouke headed the financial sector research team of the Economic Research Department of Rabobank. Since 2001 he worked at this Department as economist. Prior to joining Rabobank, he worked for three years as a policy advisor for the Dutch Association of Insurers. Bouke earned a degree in Economics, specialising in International Economic Relations, from the University of Amsterdam. At the Economic Research Department he has published several articles on the European financial sector and the co-operative banking sector.
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Petr Wagner – EU Financial Counsellor, European Commission
Petr Wagner works as a counsellor for financial affairs at the Delegation of the European Union to the United States of America. Prior to his posting to Washington, D.C. he worked at the European Commission, Directorate General for Financial Stability, Financial Services and Capital Markets Union. He was in charge of U.S. related agenda, in particular the EU-U.S. Financial Markets Regulatory Dialogue and he was part of the negotiating team for the Transatlantic Trade and Investment Partnership (T-TIP). He joined the European Commission in 2005 and worked first in the General Directorate for Internal Market and Services on formulating the EU public procurement policy. In 2008, he joined the international procurement team and worked as negotiator of the WTO Government Procurement Agreement (GPA). Prior to joining the European Commission he worked at the European Parliament. He started his carrier a lawyer. He holds a law degree from Palacky University in Olomouc, Czech Republic and Master’s degree in European law (LLM) from the College of Europe in Bruges (Belgium).
Shane Worner – Senior Economist, IOSCO
Shane forms part of the IOSCO Research Team and contributes to IOSCO’s work on non-bank, non- insurance Systemically Important Financial Institutions and the FSB’s Workstream 3 on other shadow banking entities (other than money market funds). He is the Secretariat coordinator for IOSCO’s Committee 5 on Investment Management. Shane has 18 years of financial markets experience, spanning the public sector, academia and private industry. Before joining IOSCO in 2011, he was employed for three years as an economist at the Australian Securities and Investments Commission (ASIC). In addition to his regulatory work experience, Shane was Senior Economic Advisor to Senator John Watson, at the Australian Federal Parliament. He was awarded a PhD (Economics) in 2007 by the Australian National University.
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Cristiano Zazzara – Managing Director, Head of Global Risk Services Relationship Management, S&P Global Market Intelligence
Cristiano Zazzara is Managing Director and Head of Global Risk Services Relationship Management, focusing on key market stakeholders, including C-level Executives and Regulators. He is an expert in financial risk management with over 20 years of experience at banks, government agencies, service providers, universities and think tanks. Cristiano joined from MSCI-RiskMetrics where he was the Head of Market, Credit, Counterparty Risk and OTC Clearing Business for the EMEA Banking sector, and Global Head of Credit Advisory Business for Buy-side and Sell-Side Institutions. Previously, he was Managing Director in the Research & Strategy Unit of Unicredit Group, Managing Director and Head of the Internal Rating Unit at Capitalia Banking Group, and General Manager of the Italian Association of Banking and Finance (ASSONEBB). Dr. Zazzara also served as a financial economist at the Fondo Interbancario di Tutela dei Depositi, where he was the Head of the Research Department. Dr. Zazzara received a BSc in Economics & Business and an MSc in Banking from the University La Sapienza of Rome, and a PhD in Management (Finance) from the Swiss Federal Institute of Technology in Lausanne (EPFL).
Chiara Zilioli – Director General, Legal Services, European Central Bank
Dr. Chiara Zilioli has worked all her career long for European integration project, in particular for the monetary union. She holds an LL.M. from Harvard Law School and a Ph.D. from the European University Institute. From the Legal Service of the EU Council, where she started in 1989, she moved to the European Monetary Institute in1995 and to the ECB in 1998 where she was appointed first Head of Division and then Director General of Legal Services (General Counsel) of the ECB. Dr. Chiara Zilioli has published three books and several articles, mainly on the position of the ECB within the EU institutional framework and on the functions of the ECB. Since several years she is lecturer at the Institute for Law and Finance of the J-W Goethe Universität, Frankfurt and at the Collegio Europeo di Parma, Italy; in 2012 she has given a course at the Academy of European Law of the European University Institute; in 2016 she has been appointed Professor at the Law Faculty of the J-W Goethe Universität, Frankfurt. She is a member of the Italian Bar, is married and has four children.