Dr Joanna Perkins – Chairperson
Chief Executive, Financial Markets Law Committee
Joanna Perkins serves as Chief Executive of the Financial Markets Law Committee (“FMLC”) and is also self-employed as a barrister in independent legal practice at South Square.
Before joining the FMLC in 2004, Joanna worked for the Law Commission and managed a project on unfair contract terms. She has held lectureships at Durham University, Paris II (Panthéon-Assas), Université de Paris and Birkbeck College, University of London. She has published articles on, inter alia, financial law, financial markets regulation and the conflict of laws. After completing a Doctorate in Law at Oxford University, where she worked as a college lecturer, Joanna was called to the Bar in July 2001. She recently served as a Non-Executive Director of ICE Benchmark Administration Ltd and Chair Person for the Oversight Committee of ICE LIBOR.
Eric J. Pan – Keynote
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 U.S. Commodity Futures Trading Commission (CFTC). 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 the International Organization of Securities Commissions (IOSCO) and the Financial Stability Board (FSB), and in dialogues with China, Europe, India and Japan. He is responsible for the CFTC’s engagement with non-US regulatory counterparts and involved in the development and governance of multilateral and bilateral workstreams involving the CFTC. Eric currently is the chair of IOSCO Committee on Derivatives, staff chair of the OTC Derivatives Regulators Group, and co-chair of the FSB Working Group on UTI and UPI Governance. Before joining the CFTC, Eric was Associate Director for International Regulatory Policy at the US Securities and Exchange Commission where he managed 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 in New York and Washington. 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.
International Counsel, London, Debevoise & Plimpton
Aatif Ahmad is an international counsel in Debevoise’s London office. He is a member of the firm’s Investment Management and Financial Institutions Groups.
Mr. Ahmad is a specialist in financial services regulation, advising on issues such as authorisation and passporting, marketing and financial promotion, conduct of business, market abuse, client assets and collateral, capital and liquidity, recovery and resolution, change of control and regulatory reform. Areas of specific experience include advising on the impact of developments such as AIFMD, EMIR, MAR and Basel III. His practice supports other groups in the firm on the regulatory aspects of their transactions, including financial sector mergers and acquisitions, restructurings of financial businesses, fund formation and capital raising, and banking litigation.
Mr. Ahmad is a member of the investor regulation working group of Invest Europe, (previously the European Private Equity & Venture Capital Association). He regularly writes and speaks on regulatory issues impacting the market. Publications include “Debevoise & Plimpton Discusses Prudential Regulation In An Age Of Protectionism,” The CLS Blue Sky Blog (January, 2017); “EU and US derivatives standards must align,” International Financial Law Review (December, 2010); “What’s broken with the UK’s client asset and money protections and how to fix it,” Journal of International Banking Law and Regulation (2010); and “The Spector Photo case: ECJ rules on the interpretation of the Market Abuse Directive,” Complinet (January, 2010). Mr. Ahmad’s speaking engagements include “Legal and Regulatory Update,” European Market and Counterparty Risk Officers Roundtable (16 November, 2016); and “New Investment Opportunities in EU Bank Assets Arising from an Evolving Regulatory Landscape,” BVCA Summit – Breakfast Roundtable (October, 2016).
Mr. Ahmad is qualified as a solicitor in England & Wales with higher rights of audience, and was also called to the Bar of England & Wales in 2006.
Director, MiFID/MiFIR, Association for Financial Markets in Europe
Julian leads the cross-product MiFID/MiFIR Steering Committee at AFME. Julian has a broad product background in both fixed income and equities. Before joining AFME, Julian worked for Market Axess/TRAX in a senior sales and relationship management role responsible for market participants utilizing MiFID/MiFIR regulatory reporting and trade matching services. Prior to that, he was in senior relationship management in the prime services teams at JP Morgan and Bank of America Merrill Lynch, and prior to that as Head of Membership at the London Stock Exchange. Julian read Economics at The University of Reading and has an MBA from Henley Business School.
Director and Head of Product Structuring in EMEA, BlackRock
Stuart Corrigall, BlackRock, Director and Head of Product Structuring in EMEA. Product Structuring is responsible for providing regulatory and strategic advice in relation to the structuring and range management of all BlackRock and iShares funds in EMEA, across the UK, Ireland, Luxembourg and Switzerland.
Stuart is a qualified solicitor. He spent a decade in private practice before joining BlackRock from international law firm Eversheds. Stuart has also worked at KPMG and spent secondments with M&G Investments and offshore law firm Mourant Ozannes. Stuart is a UCITS and AIF product structuring and regulatory expert and has advised industry groups, regulators, ESMA and the European Commission on various asset management matters and is a regular speaker at industry conferences.
Stuart holds a Law LLB (Hons) degree from the University of Reading and a LPC Diploma from The College of Law. He qualified as a solicitor in 2003 and is a member of the Law Society of England and Wales.
Head of the International Unit, AMF
Jennifer is in charge of the Unit for International Affairs within the Regulation Policy and International Affairs Department of the AMF (Autorité des marchés financiers). She is responsible for the AMF engagement within international institutions (in particular, the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO)). She is a member of the IOSCO Assessment Committee and of the FSB Shadow Banking Experts Group. She also participated to the IOSCO Task Force on cross-border cooperation in 2015. Since 2014, she is a lecturer at Sciences Po Law School in Paris. Prior joining the AMF in 2013, she works for an audit and consulting firm, Mazars, as Chief of Staff and EU Regulatory Affairs manager. She graduated from Sciences Po Paris in 2008, with a specialization in American politics.
Senior Director, Global Investigations and Compliance, Navigant Consulting
Robert Dedman is a Senior Director in the Global Investigations and Compliance practice. He specialises in investigative matters relating to government investigations, corporate internal investigations and anti-bribery and corruption and anti‐money laundering compliance projects.
Rob has spent his career immersed in the City of London’s Financial Services industry and the workings of the courts and tribunals. He also brings with him a senior regulator’s perspective on the supervision of major financial institutions, along with significant expertise in investigations.
Prior to Navigant, Rob worked for the Bank of England, where from April 2013 he set up the Regulatory Action Division – the Bank of England’s enforcement and formal supervisory intervention arm. As Head of that Division, he led the Bank of England’s first ever enforcement investigations into misconduct at banks and insurers, achieving significant results against major financial institutions in the UK, and the first ever prohibition of a Chief Executive of a major bank.
Senior Managing Director, Head of Compliance, Financial Markets in Europe
Will Dennis is Head of Compliance at AFME. His main focus is monitoring, analysing and responding to regulatory developments in compliance at the national, EU and global level. Before joining AFME, Will was head of international compliance at Standard Bank, prior to which he worked at a number of international investment banks as general counsel and/or head of compliance. Will spent his early career with HM Diplomatic Service, serving in London, Beijing and Hong Kong. He holds an MA and LLM from the University of Cambridge, and is qualified as a solicitor in both the UK and Hong Kong.
Head of Product Development and Innovation, State Street
Executive Director, EY
Steven Francis is an Executive Director in EY’s Financial Services Law Practice. He was formerly a member of the management team in the FCA’s Wholesale Enforcement Division where he was mainly involved in market abuse and insider dealing investigations and probes into the wholesale conduct of large financial institutions. Steven was formerly a partner in the financial services group of the international law firm Baker & McKenzie, he has handled both criminal and disciplinary investigations for firms and their directors and senior managers.
Senior Manager, UK Financial Services Legal, EY
Paul is a Solicitor and Senior Manager in the UK Financial Services Legal team, based in London. Previous to this paul a Managing Associate at Addleshaw Goddard in their Financial Services Group and solicitor at the Financial Services Authority (FSA) in its General Counsel’s Division. He has also spent time on internal secondments at the FSA in its Enforcement, Supervision and Policy Divisions (including helping to implement the first Remuneration Code)
Paul has experienced in running regulatory projects, including authorisation & passporting applications, variation of permission and waiver applications, Part VII transfers, S166 review, file reviews and remediation exercises. Paul advises on all types of financial services businesses on their conduct risk liabilities and their customer-facing documentation. Paul also regularly advises clients on contractual relationships with third parties including with distribution networks and material outsource agreements.
CEO & Founder, Fractal Labs
Nicholas Heller is the co-founder and CEO of Fractal Labs, an automated financial assistant for businesses and their financial partners.
For the past 20+ years, Nicholas has focused his passion on projects of positive consequence. He previously held leadership roles at Google, across Business Development and Partnerships. Prior to that, Nicholas worked in media at Viacom, built an early eCommerce platform as Founder of Degrees of Separation, and as a trader at RBC Capital Markets. Nicholas‘ interests include advising fast-growth, disruptive businesses and democratizing access to information through the use of technology. Nicholas pursues a portfolio of interests that include serving on boards of companies, advising and investing. He is a trustee at SVC2UK, and a mentor at early stage incubator Seedcamp, Level39 and Founders4Schools. He holds a BA from the Western University of Ontario, Canada, and an MBA from the University of Cambridge.
Partner, Head of EMEIA Financial Services Information Security Practice, EY
- Partner leading our Financial Services IT Risk and Assurance practice. He has more than 20 years experience in IT audit, IT risk, IT internal audit, information security, IT regulatory and data projects.
- He is a Chartered Accountant, Certified Information Systems Auditor (CISA), a PRINCE 2 Practitioner, member of the IAPP and holds the ISEB certificate in Data Protection.
- Led a number of data privacy and data leakage reviews at financial services clients to assess compliance with the Data Protection Act 1998 and PRA/FCA expectations.
- Steve has expertise in PRA/FCA IT regulatory requirements over the last 15 years. He has experience of leading technology aspects of S166 Skilled Persons Reviews, completing systems authorisation forms and advising clients on PRA/FCA consultation policies impacting IT (e.g. Cyber questionnaire).
- Steve leads globally our services around supplier risk management. He has presented to a number of FS clients and regulators on the topic of IT operational risk, data privacy and supplier risk management.
- Steve has been involved in helping scope and assess the technology and data aspects of client money and payment systems.
Director of European Public Affairs, Capital Group
Ida Levine is Senior Vice President and Director of European Public Affairs for Capital Group. She is part of CG’s Global Public Policy effort, reporting into its Los Angeles office. In her role, Ida engages with European policymakers on regulatory and other policy issues impacting CG, in coordination with CG’s US Government Relations function.
Ida also serves on the Board of Capital International Limited (CIL), Capital Group’s UK asset manager, and chairs its Audit Committee as a NED.
Before Capital, Ida was European Counsel for JP Morgan Investment Management covering Legal and Compliance, and a Partner at international law firm Jones Day (London and New York) specializing in M&A and Securities Law. She was previously Senior Counsel and Compliance Officer for CG in Europe.
Ida helped organize and sits on the Board of Directors of the Investor Forum – set up by the UK investment industry to facilitate stewardship and a dialogue between UK corporates and their shareholders on corporate governance and other matters. She is Chair of its Operations Oversight Committee (covering Audit/Risk/Regulation). She is also a Trustee and on the Finance Committee of the Royal Academy of Dance (RAD), and chairs RAD’s Development Panel. Ida is Co-Chair of the International Securities Regulation Committee and Chair of the Responsible Investment Study Group of the International Law Association (ILA), and has authored articles for ILA reports on international securities and financial services law and governance matters.
Ida is passionate about the Arts, and is on the Executive Committee of the Benjamin West Patrons of the Royal Academy of Art and a Patron of the Royal Ballet, English National Ballet and the Whitechapel Gallery.
Senior Manager, Cross-Sectoral Policy, Prudential Policy Directorate, Bank of England
Alan Murray is responsible for domestic and international remuneration policy at the Bank of England. Much of his career was spent in Whitehall where he held a number of senior roles including responsibility for the UK’s trade and investment relations with the Asia Pacific. He has also been Head of Public Affairs for Standard Life plc and an adviser on European strategy for the Corporation of the City of London.
Partner, Clifford Chance
Monica Sah is a partner in the Derivatives and Financial Regulatory Group, specialising in financial markets law and regulation. Previously, she was a Managing Director at Morgan Stanley and Head of Legal for International Wealth Management. Monica advises leading financials instructions on a full range of legal and regulatory issues, including: regulatory reform and implementation, governance, maintaining a multi product and jurisdictional platform (product development, platform expansions and custody and client money issues) and financial institutions M&A. Recently she has been advising industry trade associations and financial institutions on MiFID 2/ MiFIR issues including MiFID2 repapering issues. She has also led the development of the Clifford Chance MiFID2 Client Documentation Toolkit.
Director, Legal Risk, EY
- Matt is a Director within the UK FSO Legal team. He has extensive experience delivering large and small, high-profile projects within the Financial Services sector.
- He founded the UK’s first legal risk practice at Berwin Leighton Paisner and is former Head of Legal Operations at HSBC Group Management Office Legal.
- Privacy Risk Control Framework for UK High Street Bank: Designed and implemented a GDPR compliant Privacy Risk Control Framework, including privacy risk taxonomy, target design control environment and control testing matrix.
- Deep-dive Privacy Risk Assessment in advance of FCA license application: Led a risk based review of data protection exposure for a UK challenger bank, in advance of application to FCA for license.
- Legal risk assessment for leading global insurer: Designed and implemented EMEA legal risk framework. Led the first legal risk identification and assessment exercise for UK business lines: Property Casualty, Life and General Lines. Control assessment and augmentation plan.
- Company Secretariat Operating Model: Review current and target Op Model for CoSec department in advance of listing. Model action plan to achieve required Operational state.
- First global legal risk framework for global bank: Designed and implemented first global legal risk framework across 53 jurisdictions and four global business lines: Global Banking and Markets, Insurance, Retail Banking Wealth Management, Commercial Banking, and Corporate functions.
Compliance Consultant, Whitehouse Compliance Advisory Ltd (WCA)
Partner, Financial Services Regulatory & Enforcement, Mayer Brown
Guy Wilkes is a partner in the Financial Services Regulatory & Enforcement practice at International law firm Mayer Brown where he advises firms and individuals on compliance, investigations and enforcement. Prior to joining Mayer Brown in 2016, Guy headed a department within the FCA’s Enforcement and Market Oversight Division where he led a number of high profile investigations into financial services firms and individuals. As a member of the FCA’s senior leadership team, Guy had responsibility for contributing to and developing FCA enforcement strategy, especially in relation to financial crime where Guy chaired the FCA’s cross-divisional working group and enforcement against individuals where Guy set up and chaired the FCA’s expert group.
Managing Director & Managing Counsel, BNY Mellon Investment Management
James is a managing director in BNY Mellon’s investment management legal department. He is responsible for the European legal functions of a sub-investment grade investment manager, the EMEA investment management wholesale distribution business and a Luxembourg AIFM. His practice covers anticipating and adapting his client’s businesses to regulatory change, strategic advisory matters, structuring products, contracting and commercial matters in the investment management arena. He has been with BNY Mellon since 2010. James qualified as a solicitor in 2002 and, prior to joining BNY Mellon, worked in private practice specialising in investment management, regulatory matters, capital markets and securitisation.
Richard Gardiner – Advisory Board
Head of Public and Regulatory Affairs, Federation of European Securities Exchanges (FESE)
Richard Gardiner was appointed Head of Public and Regulatory Affairs at the Federation of European Securities Exchanges (FESE) in March 2015. Richard is currently responsible for coordinating and strengthening political and public support for FESE’s work on the key issues and priorities. As the the European lobbying organisation of exchanges, FESE ensures that the exchange industry retains a strong voice and positive representation.
Previous to this role, he was the Head Equities & Derivatives at the Federation of European Securities Exchanges (FESE) since January 2014, where he was responsible for coordinating the work of the FESE Equities & Derivatives Committees which focus on the technical work with regard to all legislative proposals covering these asset classes (e.g. MiFID/R, Market Abuse Regulation, Benchmarks, among others). Richard joined FESE in 2010 as Junior Policy Officer from which he was promoted to Policy Adviser in January 2011.
An Irish national, Richard holds a degree in International Arts from University of Dublin (UCD) and a master degree in Political Communication from Dublin City University (DCU). He speaks English and French.
Roland Nattrass – Advisory Board
Senior Manager Global & European Regulatory Developments, HSBC Holdings
Roland is a Senior Manager at HSBC Group HQ advising on global and extra-territorial regulatory developments. Roland has been extensively involved in HSBC’s implementation programme for the Individual Accountability Regime. Roland is a senior financial services regulatory lawyer with 15 years experience advising banks, broker-dealers, investment managers and hedge funds on regulatory strategy, implementing regulatory developments, compliance and enforcement matters. Prior to HSBC he worked at Societe Generale, in private practice and at the Australian regulator.
Sian Wakeling – Advisory Board
Head of Financial Services, Thomson Reuters Practical Law
Sian Wakeling trained at Cameron Markby Hewitt (now CMS Cameron McKenna) working in both the London and Brussels offices. In 1997 she qualified into their financial services team, where she spent eight years as an associate. Sian joined Practical Law in 2005 and is Head of Financial Services. Sian is currently a non-practising solicitor.