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CSI Roundtables 2017 New York / Boston London / Paris

From Afterthought To Growth Driver: The (R)Evolution of Compliance, Risk and Data Management


“CSI is a platform for compliance, operations, risk, legal, and tech leaders to share perspectives and best global practices for the industry.” Compliance in investment management, along with risk, technology and data management, is the centerpiece of upcoming global regulatory efforts, with a shift in culture and conduct. With potential black swan costs when mismanaged and a growing complexity of adhering to ever changing global/local regulatory and reporting requirements, the Compliance Strategy Institute (CSI) is a peer-to-peer platform for compliance, operations, legal, risk and technology executives to share perspectives, examine best practices and develop compliance thought leadership, in affiliation with Compliance Solutions Strategies (CSS).

CSI deals with the themes of strategic priority for investment management executives, as they think on a high level about compliance, risk, technology and their impact on business models and growth initiatives (CIO and board relations, next generation reporting, alternatives as the next compliance frontier, outsourcing compliance functions, reputation and regulation, etc).

Simultaneously, the institute addresses the more technical and operationally essential issues compliance, legal, tech and risk departments are faced with to ensure the sustainability and growth of their organizations (the “multi”-maze, product innovation, MIFID, PRIPS, GDPR, SEC amendments and changes, cost-benefit compliance analysis, changes in IT, data and reporting, and more).

In addition to providing proprietary research on regulatory trends, the CSI allows for yearlong peer-to-peer discussions, along with help around talent acquisition and management, data management, regulatory updates, and best practices for the industry through a membership format. The CSI 2017 executive roundtables spanned New York, Boston, London and Paris and included senior representation (alphabetically listed below) from global asset managers, hedge funds, private equity and boutique investment houses, wealth managers, the SEC, the European Central Bank, investment consultants, leaders in brand, fashion, new media, and think tanks, including:


Accenture

Adept Advisory

Advise Technologies

Amundi

Anoa Capital

Apiax

AQR Capital Management

Ares Management

Arendt & Medernach

Ascendant Compliance

Autos Gestion

AXA Investment Managers

Axis Corporate

Bessemer Trust

BNP Paribas Asset Management

BNY Mellon

CESIN

Chanel

Charles River Development

Charles Schwab

CIP Capital

Deutsche Bank

The Economist Intelligence Unit

Edgewood Management

Efeso Consulting

EFG Private Bank

EQT Partners

Ernst & Young

Euro Exim Bank

Euroclear

European Central Bank (ECB)

Exane Asset Management

Fidelity Institutional Asset Management

Fidelity Investments

FINRA

First State Investments

Foreside Financial Group

GAM

La Francaise Group

Groupe BPCE

Goldman Sachs

HSBC Private Bank

HSBC Global Asset Management

IHS Markit

IBM

Jersey Financial Services Commission

Infogix

JMC Capital Partners

JP Morgan Asset Management

KYC Global Technologies

KPMG

Legg Mason Global Asset Managment

Landmark Partners

Moody’s

MFS

Moneymate


Mercer

PAR Capital Management

Natixis Global Asset Management

Pinnacle Investments

PfP Capital

Pythagoras

Principal International

Secuitites and Exchange Commission (SEC)

Quantopian

Sidley Austin

SEI

Simpson Thacher

SilkInvest

Starr Investment Holdings

SMA Gestion

Sumitomo Mitsui Banking Corporation

State Street Bank

TD Asset Management

Suedtiroler Sparkasse

Sycomore Asset Management

The Boston Company Asset Management

Themis Banque

The Compliance Foundation

The Midway Group

Thomson Reuters

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Warburg Invest

99 Advisory

We invite you and your organization to become junior or full members of the Compliance Strategy Institute to exchange views and ideas with your peers around the world on an ongoing and structured basis, and look forward to working with you on talent, data and thought leadership.

Jim Casella

Chairman & CEO, CSS

Daniel Enskat

Robert Warren

Chief Executive OďŹƒcer, CSI

Treasurer, CSI


CSI MEMBER BENEFITS Peer-to-peer networking and exchange for CCOs, CROs, CTOs, COOs, CLOs and other leaders Compliance, tech, risk and legal talent expansion/management via the largest global proprietary database Access to compliance experts with decades of experience globally Access to CSI research on global compliance topics and ongoing regulatory updates CSI membership networking and introductions at events and virtually Webinars on new regulations and amendments in the US, Europe and globally Advisory board participation (at CSI’s discretion) Five delegate passes for clients and prospects for all global CSI events CSI Global Membership |

$25,000 (early membership pricing of $17,500 until December 31, 2017)

CSI Junior Membership |

$7,500 (for firms under $10 billion in AUM or operating locally only)


Compliance Strategy Institute New York Boston London Paris

Speakers & Experts


HAMZA BAHAJI

HEAD OF ENGINEERING AND QUANTITATIVE RESEARCH Natixis Asset Management

Hamza Bahaji is head of Engineering and Quantitative Research at Natixis Asset Management where he has been for ten years. Prior to this, he worked as a financial engineer for Aon Hewitt.

Hamza received his PhD in finance from the University of Paris Dauphine and, alongside his work for Natixis AM, he is the head of the university's investment banking and markets master's program.


RICHARD BALARKAS

CSS ADVISORY BOARD MEMBERS, ex-CEO Instinet Europe

Mr. Richard Balarkas is an advisory board member for Compliance Solutions Strategies (CSS). Prior to CSS, Mr. Balarkas served as the Head of Equity Cash Trading & Convertibles

at Credit Suisse First Boston and Credit Suisse. Mr. Balarkas was the Chief Executive Officer of Instinet Europe Limited at Instinet, LLC.

He has been Non-Executive Director at Saxo Capital Markets UK Limited since October 26, 2015. Mr. Balarkas is a graduate of the University of Warwick.


TED BECKER

MANAGING AND GLOBAL COMPLIANCE DIRECTOR Legg Mason Global Asset Management

Ted Becker is Managing Director and Global Compliance Director of Legg Mason, Inc., a global asset management company, where he manages international, U. S. mutual fund, and corporate compliance. He serves as

Chief Compliance Officer for four U.S.-registered mutual fund families. Ted chairs the International Risk Oversight Committee & is immediate past Chair of the Legg Mason Diversity and Inclusion Leadership Committee.

Prior to joining Legg Mason, Ted was a Managing Director at Citigroup Asset Management; managed internal audit and control functions at Smith Barney and at Salomon Brothers; and was a public finance banker and management consultant.

Ted holds a Master of Public Administration degree from Cornell University’s Johnson School of Management and is a graduate of The Ohio State University.


DAVID BLASS PARTNER Simpson Thacher

David Blass is a Partner in Simpson Thacher & Bartlett LLP’s Investment Funds Practice. David is a leading regulatory lawyer in the funds industry and has advised on matters involving innovative registered funds products, Investment Advisers Act compliance, SEC examination and enforcement matters, and broker-dealer regulatory compliance. Prior to joining Simpson Thacher, David served as General Counsel of the Investment Company Institute (ICI), where he was responsible for the full range of legal and regulatory matters affecting the asset

management industry, including investment company, capital markets, pension and tax issues. Before joining ICI, David held a number of senior positions for over a decade at the Securities and Exchange Commission. From 2011 to 2014, David was Chief Counsel and Associate Director of the SEC’s Division of Trading and Markets. In that role, David led a team of 45 attorneys responsible for legal and policy decisions on matters affecting the securities markets and brokerdeals generally, and the private equity industry specifically. In that role, he

authored several no-action letters, including an important letter for M&A brokers. Before that, he was the Associate General Counsel, advising the SEC Chair and Commissioners on legal policy matters for the agency’s asset management, trading and markets, examination and international programs. Previously, as Assistant Director in the SEC’s Division of Investment Management, he managed the office in charge of investment adviser regulation, which included private fund advisers. David has also spent time in private practice,

having worked at two other international law firms. David has a strong reputation as a thought leader and speaker. David has advocated for the asset management industry before countless domestic and international regulators, and he has testified on industry’s behalf before Congress. He is a sought-after speaker in asset management and brokerdealer conferences. He has written and delivered speeches outlining brokerdealer issues on transaction fees for the private equity industry and rulemaking impacting the asset management industry,


GRAHAM BRIGHT

HEAD COMPLIANCE AND OPERATIONS Euro Exim Bank

Graham Bright is the Head of Compliance and Operations at Euro Exim Bank, a new financial institution specializing in Trade Finance Letters of Credit, Standby Letters of Credit and Bank Guarantees supporting global import and export markets. Formerly Director of FSI Solutions and Strategy at storage leader EMC, he was SME on banking and investment management covering ECM, paperless banking, compliance,

governance and risk solutions. Prior to that, he was the Principal Consultant with The Realization Group (SME on SWIFT and messaging to the UK financial markets), and Business Development Manager at Actuare, a FIX/ EMX/SWIFT/ISO messaging company to investment managers, corporates and the funds industry.  He is former Managing Director at Financial Tradeware plc, providing trading, portfolio

and fund management straight through processing (STP) solutions, leading integrated portfolio and trading system sales and consultancy requirements for discretionary funds managers and alternative investments markets (hedge and mutual funds). His career spans over 35 years (20 years at SWIFT) in sales and marketing through software applications, infrastructure projects ( CHAPS and Enquiry link), enterprise and managed

services, marketing (rebranding and launching new SAAS products) and partner/ channels experience in international financial markets. Operational expertise includes international payments and cash management, securities trading and funds implementations, pension/life company funds messaging, SWIFT connectivity and interface sales, clearing, securities (trading through to settlement) and investment management solutions.


LUCA BRAULIN

HEAD OF LEGAL ADVICE AND CORPORATE AFFAIRS SĂźdtiroler Sparkasse

Luca is a lawyer with over 15 years of experience in investment banking, asset management and financial services.

He provides legal advice on Mifid II, IDD and PRIIPs implementation as well as any other aspects concerning contractual matters to business.

Currently, he serves as Head of Legal Advice and Corporate Affairs at SĂźdtiroler Sparkasse AG, an Italian retail bank.

He served for 5 years as Head of Legal and Compliance at The Royal Bank of Scotland plc in Italy and he has covered a similar role at UniCredit S.p.A. and Pioneer Investments.

In his previous roles, Luca dealt with litigation aspects in selling financial services and managed complex transactions with customers as well as drafted and negotiated business agreements (distribution and rebates, mandates, portfolio management, depository bank etc.).

Provided legal advice on regulations applicable to new mutual funds products and cross-border transactions. Assisted with the structuring of new asset management products to minimize the chance of misinterpretation, devising multiple varied solutions suited to each individual situation. Conducted due diligence on potential M&A transactions.


KARA BROWN

PRESIDENT, NEBDIAA & COUNSEL Sidley Austin

Mr. Tom Conigliaro is Managing Director of Brokerage and Research Services at IHS Markit. With 25 years’ experience on Wall Street, excelling as a leader across sales and trading, sales management and securities services at both Goldman Sachs and Merrill Lynch, Tom is a proven business leader and current head of IHS Markit’s Brokerage and Research

Services group. In his current role, Mr. Conigliaro has global responsibility for IHS Markit’s Payments, Evaluation, Interactions and HUB offerings. His extensive domain expertise and regulatory knowledge is often cited by the press on research evaluation, commission management, 28(e) and MIFiD II.  

Prior to joining the firm in 2013, Mr. Conigliaro advised strategic clients at investment banking boutique Marlin & Associates on their M&A activities in financial technology, information services, healthcare and media. Tom is a current member of NOIP, and previously was the Chairman of Liberty Leads; a non-profit with a mandate to reduce dropout rates among

inner city High School students and prepare them for college or university. Mr. Conigliaro holds an MBA from the University of South Florida, a BS from Widener University where he was member of the Div. III NCAA National Championship Football Team and was awarded the CFA designation.


JIM CASELLA

CHAIRMAN & CHIEF EXECUTIVE OFFICER Compliance Solutions Strategies Mr. James A. Casella is Chairman and CEO of Compliance Solutions Strategies (CSS). Prior to his current role, Jim served as the Chairman and CEO at Asset International, Inc. until August 07, 2015. He was the Vice Chairman of the Board and CEO at Round 1 Private Capital Marketplace, Inc. He served as the Chairman and CEO at Case Interactive Media, Inc., until August 7, 2015. Mr. Casella was also the Founder of the firm. He served as the CEO-inResidence at Austin Ventures for their growth/private equity practice focusing on businessto-business media

opportunities. He served as the CEO at Reed Business Information U.S, Reed Business Information, Inc., and Reed Elsevier Group Plc, from January 2002 to December 15, 2005. Mr. Casella joined Reed Business Information in January 2002. He was responsible for the growth and development of Reed Business. At Reed Business, he established joint ventures with International Data Group Inc. and Infomedia India LTD. From 1999 to 2000, Mr. Casella served as the President and CEO at PennEnergy. From 1994 to 1999, he served as a COO

Officer and President of International Data Group Inc. He served as the President and COO at InfoWorld Publishing Inc., from 1992 to 1994. Mr. Casella Co-founded Signal Research Inc., and served as its President and COO, from 1988 to 1992. From 1982 to 1987, he served several positions at Capital Cities/ ABC Consumer Magazines Holding Company, Inc., where he served as the CEO and President, from 1985 to 1987 and as a Vice President of Operations, since 1984. From 1982 to 1984, he served as an Advertising Director of High Fidelity/Musical America. Mr. Casella spent

eight years in sales and marketing management at Harcourt Brace Jovanovich and served as a Vice President of Sales and Marketing for HBJ Media Systems, from 1978 to 1982. He started his publishing career in 1971 as a Sales Representative with college textbook publisher Appleton Century Crofts. Mr. Casella received the prestigious McAllister Fellowship, recognizing his unique contributions to the industry. In 2003, he was recognized as one of the 21 Most Intriguing People in Publishing by min magazine. Mr. Casella received a B.A., cum laude, from Boston College in 1970.


JENNIFER CASSEDY

CHIEF COMPLIANCE OFFICER The Boston Company Asset Management Jennifer is the chief compliance officer and chief administrative officer of The Boston Company Asset Management, LLC. She is a shareholder of the firm and serves as a member of The Boston Company's Management, Brokerage and Compliance and Risk committees, among others. With over 20 years of industry experience at The Boston Company, Jennifer started at the firm as a compliance

analyst. She was promoted to head of compliance in 2000 and then chief compliance officer in 2004. As the chief compliance officer, she oversees a team of compliance personnel responsible for ethics, regulatory compliance, negotiation of agreements, portfolio guideline compliance, operational risk and monitoring and testing, among others.

In addition to her role as chief compliance officer, Jennifer was named chief administrative officer in 2017. As chief administrative officer her responsibilities include oversight of vendor management, administration and product development. Jennifer participates in industry associations such as the Boston Roundtable and the New England Broker Dealer and Investment Adviser Association (NEBDIA).

Jennifer earned her B.A. in economics and political science from Merrimack College and Juris Doctorate from Suffolk University Law School. She is a member of the Massachusetts Bar.


TOM CONIGLIARO

MANAGING DIRECTOR, BROKERAGE AND RESEARCH SERVICES IHS Markit

Mr. Tom Conigliaro is Managing Director of Brokerage and Research Services at IHS Markit. With 25 years’ experience on Wall Street, excelling as a leader across sales and trading, sales management and securities services at both Goldman Sachs and Merrill Lynch, Tom is a proven business leader and current head of IHS Markit’s Brokerage and Research

Services group. In his current role, Mr. Conigliaro has global responsibility for IHS Markit’s Payments, Evaluation, Interactions and HUB offerings. His extensive domain expertise and regulatory knowledge is often cited by the press on research evaluation, commission management, 28(e) and MIFiD II.  

Prior to joining the firm in 2013, Mr. Conigliaro advised strategic clients at investment banking boutique Marlin & Associates on their M&A activities in financial technology, information services, healthcare and media. Tom is a current member of NOIP, and previously was the Chairman of Liberty Leads; a non-profit with a mandate to reduce dropout rates among

inner city High School students and prepare them for college or university. Mr. Conigliaro holds an MBA from the University of South Florida, a BS from Widener University where he was member of the Div. III NCAA National Championship Football Team and was awarded the CFA designation.


JACOB COMER

SENIOR LEGAL AND CHIEF COMPLIANCE OFFICER Starr Investment Holdings

Mr. Comer is the Senior Legal and Chief Compliance Officer at Starr Investment Holdings. Mr. Comer is a member of the SIH Valuation Committee and Secretary of the SIH Investment Committee.

Prior to joining Starr, Mr. Comer worked as an Associate at Ropes & Gray LLP, where he advised registered investment advisers and registered investment companies.

Mr. Comer received a B.B.A. in Accounting, summa cum laude, from Marshall University, and a J.D., magna cum laude, from Washington & Lee University School of Law.


PETER CURLEY MANAGING DIRECTOR Promontory Financial Group

Peter is a leader in Promontory’s securities practice group and advises clients on all aspects of their activities in securities and derivatives markets. Peter joined Promontory from the Securities and Exchange Commission, where he served as associate director and head of the commission’s office of clearance and settlement. In that position, he

led the review of SECregistered clearing agencies for systemic importance by the Financial Stability Oversight Council and the establishment of new financial and risk management supervisory practices for such firms.

Peter also led the expansion of the office’s responsibilities to include oversight of the data repositories and clearing firms that handle securitybased swaps, and supervised the review of proposals for the introduction of new market infrastructures related to clearance and settlement.

Prior to joining the Commission, Peter was head of corporate strategy for Hong Kong Exchanges and Clearing Ltd., and a partner with Allen & Overy in Hong Kong.


DR. MICHAEL DAEMGEN PARTNER Arendt Regulatory & Consulting

Dr. Michael Daemgen is a Partner at Arendt Regulatory & Consulting. He started his career in 2000 as an attorney in a German Law firm specialized in company and business law.

Following this, he worked for more than a decade in the regulatory practice of a Big Four company in Luxembourg, before joining Arendt Regulatory & Consulting in 2012. He specializes in consultancy on financial sector regulation and its implementation.

Michael assists selected international clients in structuring and licensing regulated financial sector activities in Luxembourg and on a cross border basis.

Furthermore, he supports his clients in defining and implementing their internal organization, governance and corporate compliance. Michael holds a doctor’s degree in Law from the University of Trier (Germany) and is author and co-author of a number of professional publications and textbooks


JEAN-CHARLES DELCROIX CHIEF COMPLIANCE OFFICER Amundi London Branch and UK Ltd

Jean-Charles Delcroix has been serving as Chief Compliance Officer of Amundi Asset Management UK entities since 2015. He is also a member of the Executive Committee (UK) and the Board of Directors of Amundi UK.

Previously he was based in Paris serving as Chief Risk Officer of Amundi Subsidiaries since 2011, in charge of risk control and the implementation and maintenance of risk policies.

Jean-Charles joined Amundi in 2010 as Chief Risk Officer Asia in Hong Kong. Prior to this Jean-Charles held positions serving as Chief Executive Officer and Chief Investment Officer at IBKSGAM in Seoul (2007 to 2009), at Etoile Gestion (2003 to 2007) and Director at Credit du Nord (1994 to 2007).

A graduate of the Ecole Nationale Superieure des Mines de Saint-Etienne, Jean Charles has a Bachelor’s in Mathematiques and Finances.


ANTHONY DELL

FORMER CHIEF COMPLIANCE & ETHICS OFFICER Ares Management Anthony S. Dell is an independent consultant, attorney, and industry-leading regulatory strategist. He is also an Advisory Board Member and Chair of the Chief Compliance Officer Roundtable for Integra Ledger, a blockchain-based technology platform for legal professionals and services. He applies strategic business principles and tech-forward thinking to design, build, and execute scalable, efficient, integrated risk-intelligent functions and programs that are “run like a business” to enhance enterprise value. Mr. Dell’s most recent position was Partner and Global Chief Compliance & Ethics Officer

for Ares Management, a leading global alternative asset manager. At Ares, Mr. Dell was responsible for the all regulatory risk management and compliance functions across the global organization, including U.S. and Non-U.S. businesses. Mr. Dell was a member of the firm’s Operating Management Group and Enterprise Risk Committee, and served as an independent advisor to the firm’s Management Committee and Board. He was the firm’s Global AntiMoney Laundering Officer, Global Privacy Officer and Global Anti-Corruption Officer. Mr. Dell was

designated Chief Compliance Officer for various regulated entities within the Ares Management organization, including registered investment advisers in the U.S. and U.K., registered investment companies, and a broker-dealer. Before joining Ares in 2011, Mr. Dell served as Chief Compliance Officer of Russell Investments and prior to his tenure at Russell Investments, he served in various roles at Fidelity Investments and other financial services organizations, with multidisciplinary leadership experience in legal, compliance, institutional relationship management, and product development.

Mr. Dell holds a B.A. in English and Philosophy from Boston College, a J.D. cum laude from Suffolk University School of Law, and an LL.M. in Banking and Financial Law from Boston University Law School. He also earned a Certificate in Fintech from the Massachusetts Institute of Technology. He is an attorney admitted to practice law in Massachusetts and holds Series 7, 24, 63, and 99 licenses. He is a member of the American Bar Association, the National Society of Compliance Professionals, the Society of Corporate Compliance & Ethics, and the Open Compliance & Ethics Group Organization.


DONNA DANIELS EXECUTIVE DIRECTOR Ernst & Young Donna is an Executive Director in EY’s New York office within the Fraud Investigation & Dispute Services practice. A certified International Compliance and Ethics Professional and licensed attorney who worked as a litigator, she has over 25 years of experience assisting clients with assurance and advisory services, particularly in Financial Services. Donna has an extensive global background in banking, US dollar and securities clearing, BSA/AML transaction monitoring/ Sanctions, payment and check processing, and brokerage and commodities issues.

Donna has established and overseen complex multicountry and entity compliance processes as well as numerous fraud analyses. Prior to EY, Donna served in multiple senior regional and sector leadership positions, including General Counsel, Head of Compliance, and Head of Financial Crime compliance roles at Standard Chartered Bank, Citigroup and Prudential Securities. Her experience, in consumer and wholesale businesses, includes deep involvement in government and prosecutorial inquiries, and compliance with resulting orders and agreements.

Donna has led regulatorydriven investigations, remediation programs, lookbacks and discovery reviews. She has been involved in negotiating consent orders with enforcement authorities and worked with regulatory appointed monitors on resulting remediation programs. All required risk-focused analyses, determinations of scope, and frequent communication and coordination with global regulators and governmental agencies including the FRBNY, NYDFS, OCC, SEC, CFTC, US Department of

Justice, the District Attorney of New York, the UK PRA and FCA, Hong Kong HKMA and Singapore MAS. Donna co-authored a chapter with a Sullivan & Cromwell senior partner on “White Collar Crime and Regulatory Enforcement” for Thomson Reuters/Westlaw. She has spoken at the World Bank, and the Association of Certified Fraud Examiners, Institute of International Banks and Association of Certified Anti-Money Laundering Specialists conferences. She is a former FINRA and NFA arbitrator.


GERBEN DE JONG PRINCIPAL SUPERVISOR European Central Bank

Mr. Gerben de Jong has been a principal supervisor at the European Central Bank (ECB) dealing with prudential bank regulation and compliance since 2015.

Prior to his current role at the ECB, Mr. de Jong spent over ten years with the Netherlands Authority for Financial Markets in a variety of senior roles.


DARREN DUFFY

HEAD OF WEALTH MANAGMENT BUSINESS SOLUTIONS Thomson Reuters

Darren Duffy is the Head of Wealth Management Business Solutions at Thomson Reuters. He is a subject matter expert in wealth management, mutual funds and fixed income.

His prior roles include Head of Strategy and Business Development, Wealth Management at Thomson Reuters; Chief Content Officer and Global Head of Operations at Lipper, a Thomson Reuters company; and Executive Vice President and Board Member at Capital Access International.

Darren has served on the Investment Company Institute’s End of Day Pricing Committee and has spoken at numerous industry events including the U.S. Securities and Exchange Commission Roundtable, the World Financial Information Congress and the Hubbis Asia Wealth Management Conference.

Darren holds an MBA from NYU’s Stern School of Business and completed the Securities Industry Institute at the University of Pennsylvania’s Wharton School.


TAMMY EISENBERG

DIRECTOR INVESTMENT MANAGEMENT COMPLIANCE & RISK BNY Mellon

Tammy Eisenberg, Esq. is a senior compliance management professional with over 20 years of experience spanning bank, broker-dealer, investment adviser, alternative investments and commodity trading advisor/commodity pools.

She is a Director of Investment Management Compliance & Risk at BNY Mellon and has held senior level roles with CLS Bank International (Head of Corporate Compliance), Mizuho Corporate Bank (Chief Compliance Officer of two investment adviser subsidiaries), served as a regulator with FINRA and as outside counsel.

Tammy’s thought leadership has made her a highly soughtafter speaker and industry conference participant. She has been a featured speaker for the American Bar Association, the Association of Internal Bank Auditors, National Regulatory Services and IA Watch.

In addition, Tammy has been published in the Journal of Securities Law, Regulation and Compliance. Tammy is licensed attorney admitted to practice in New York State.


DANIEL ENSKAT

PRESIDENT & CHIEF EXECUTIVE OFFICER Compliance Strategy Institute

Daniel Enskat serves as President and CEO of the Compliance Strategy Institute (CSI). He also is founding partner of Warren Enskat Holding in NY. Prior to CSI, Daniel was Senior Managing Director and Head of Global Consulting at Asset International, Inc., Senior Advisor at Asset International, Inc and Head of Global Asset Management for Institutional Investor.

For fifteen years, Mr. Enskat has led the development of Strategic Insight’s Global fund research and consulting effort, and is widely sought after for presentations, discussions, and his perspective on the global asset management industry by associations, academia, regulators, the media and management boards over 250 clients worldwide. He regularly conducts product and

distribution master classes for Chief Executive Officer's and heads of asset management worldwide. Prior to Strategic Insight, worked as a Consultant to the World Bank, Chief Financial Correspondent for a European publishing house and in academia. He has written extensively on the fund industry, including various books on Asia, the Middle East and Global Fund

Distribution. Mr. Enskat has Master's Degrees in Politics, History and Law and serves on the board of Peridance Contemporary Dance Company and as faculty of Alvin Ailey Extension. He speaks seven languages and co-founded BAILA Society Dance Company in NY and Centro de Movimiento in Medellin, Colombia.


OLIVER ESSLINGER CHIEF OPERATING OFFICER Deutsche Bank

Senior Executive in Chief Operating Officer area with more than 20 years of industry experience and corresponding coverage across entire value chain of Investment Management universe for institutional Asset Management as well as Private Wealth clientele.

Proven franchise leader with deep commitment and ownership of short-term business and strategic growth objectives and simultaneous adherence to cost, risk related constraints.

Profound expertise in governance and surveillance requirements with exceptional regulatory and operational excellence track record.


MARK HANSEN

PRESIDENT & CHIEF COMPLIANCE OFFICER Pinnacle Investments

Mark Hansen is the Chief Legal and Compliance Officer and a Board member of Pinnacle Holding Company, LLC and the President and Chief Compliance Officer of Pinnacle Investments, LLC., a registered broker-dealer and investment adviser. Prior to this he was a Senior Vice President and Chief Compliance Officer for State Street Global Markets, a division of State Street Bank

and Trust Company. In addition, Mr. Hansen was previously a Managing Partner and Chief Legal and Compliance Officer at Alta Capital Group, LLC., the Chief Compliance Officer for State Street Global Markets, LLC. and a Senior Compliance Examiner with FINRA.

Mr. Hansen obtained his Juris Doctorate at the New England School of Law and has a Bachelor of Arts in Economics from University of Massachusetts at Dartmouth. Mr. Hansen has been actively involved with FINRA and has been a member of the following Committees: NASD District Committee, 2003– 2006, Chairman, 2005, Member NASD National Advisory Council, 2005,

Member NASD Membership Committee, 2006–2009, Member NASD Consultative Committee, 2006–2009. In addition Mr. Hansen holds the series 4,7,24,27,53,55 and 63 licences.


ED HARLEY

FORMER HEAD OF ASSET MANAGEMENT SUPERVISION Financial Conduct Authority (FCA), UK

Ed Harley held a range of senior positions in the Financial Services Authority and Financial Conduct Authority.   These included running departments setting conduct policy, and leading on supervision of the asset management sector.

He was also responsible for implementing the AIFMD in the UK. After leaving the regulator, Ed worked within Compliance at Goldman Sachs Asset Management in London.  

His early career was as an economist in the Civil Service. He was educated at Oxford University and the London School of Economics.


CINDY HARRO

SECURITY, COMPLIANCE AND RISK PROGRAM DIRECTOR IBM In Cindy’s current role as IBM Security, Compliance and Risk Management Director, she is responsible for ensuring that IBM’s “Watson Platform for Health” cloud http:// watsonhealth.ibm.com/ Watson-Health-Core.html is secure and handles protected health information in accordance with global regulatory requirements, including HIPAA. She provides guidance to 400 software developers by defining and verifying security and compliance controls in software designs, managing security vulnerability and penetration testing and risk management. Cindy is

responsible for ensuring that the software environment is ready to pass all regulatory audits. In previous roles, Cindy was responsible for the global deployment of security compliance and risk management tools, for managing the 2-tier role based access controls for 2500 financial services employees and for the global compliance governance of hundreds of client accounts. Cindy’s success in leading the development of secure and regulatory compliant systems comes from her early beginnings as a software developer. She graduated from the Pennsylvania State

University with a B.S. in Computer Science and worked as a software developer, DBA and eventually manager of large scale custom SW development and vendor SW configuration deployment projects. This hands-on SW practitioner experience has given her the unique ability to “speak the language” of software developers, making compliance requirements understandable and easily executable, reducing compliance cost and timelines. Cindy studied the field of IT Auditing and earned the distinction of Certified Information Systems Auditor (CISA) after demonstrating

years of experience in the profession and mastering the competency exam. She applies her ability to “think like an auditor” when defining, requesting and reviewing compliance evidence from IT teams, contributing to her success in passing IT audits. Cindy has become a trusted advisor to senior executives on security and regulatory compliance topics, with the ability to make requirements and risks clear to nontechnical business executives as well as technical executives. She earned the distinction of Certified Information Systems Security Professional (CISSP) in 2016.


MARTIN HERMANN HEAD OF LEGAL Warburg Invest

Martin is heading the legal department of Warburg Invest Luxembourg (WIL). As such he is in charge of all legal and regulatory matters for the various Luxembourg and German investment funds managed or administered by WIL.

In addition, he is in charge of the corporate governance of the investment fund structures including their general partners and special purpose vehicles.

Prior to joining Warburg Martin has worked as a legal expert for the Luxembourg investment fund association ALFI, as a lawyer in the investment fund industry and as head of legal for another management company.


JENNIFER HOOPES

GENERAL COUNSEL AND HEAD OF GLOBAL Foreside Financial Group

Jennifer Hoopes serves as General Counsel and Head of Global for Foreside Financial Group. Jennifer has been with Foreside for 10 years and is responsible for oversight of all legal, risk and compliance matters as well as Foreside’s global services and outreach. Jennifer has particular expertise in broker-dealer regulatory compliance and the intersection of fund

marketing and broker-dealer obligations and has worked with numerous U.S. and nonU.S. investment managers to both registered and unregistered funds as they navigate the U.S. market. She has most recently relocated to London to open Foreside’s first European office.

Ms. Hoopes has served on multiple FINRA committees as both an elected and appointed member and presents regularly at conferences and on webinars on US fund and asset manager matters. She is also a member of the Investment Company Institute’s Principal Underwriter Advisory Group.

Prior to joining Foreside, Ms. Hoopes worked at a large law firm in Maine where she practiced general corporate and securities law.


RUSSELL HORNSBY-CLIFTON HEAD OF COMPLIANCE EFG Private Bank

Russell has over 20 years experience of managing conduct risk in various arenas, starting out as a criminal barrister before joining the Army as a lawyer, where conduct was literally a matter of life and death. He managed conduct risk in training, policy, advisory and prosecutorial roles in the UK, Kosovo and Iraq.

During his time in the Army Russell advised on and was subject to the military doctrine of ‘Command Responsibility’, the equivalent of the SMR ‘Duty of Responsibility’. After the Army Russell joined the FSA where he managed the TCF and Market Conduct teams, and led retail and wholesale enforcement cases (including prosecutions and

plea bargains for insider dealing). He then moved to RBS in a Senior Assurance role before finishing up as Global Head of Conduct Policy, and Conduct lead for SMR implementation, where he used his understanding of behavioural economics to improve the RBS risk and control framework.

Russell is now Head of Compliance (SMF16) for EFG Private Bank in London, with prescribed responsibility for financial crime.


RALF HUBER CO-FOUNDER Apiax

Ralf Huber is Co-Founder of Apiax, a Swiss RegTech startup, transforming complex financial regulations into easyto-use digital compliance rules. Ralf has over 16 years of legal and compliance experience within the financial industry and holds a Master in Law from the University of Zurich.

Starting his compliance career at ZĂźrcher Kantonalbank, Ralf went on to perform a variety of different legal and compliance roles at Credit Suisse between 2005 and 2016, both in Switzerland and abroad.

Ralf Huber covered with his lawyer team all legal and compliance tasks for the investment services and products, asset management and mutual funds business.

Ralf has always been passionate about standardization and leveraging technology to simplify the demands of modern legal and compliance work. Ralf is also President of the Swiss Chapter of the International RegTech Association.


DR. EVGUENI IVANTSOV CHAIRMAN European Risk Management Council

Dr Evgueni Ivantsov is Chairman of the European Risk Management Council and the author of Heads or Tails: Financial Disaster, Risk Management and Survival Strategy in the World of Extreme Risk. He is a member of the Advisory Group on Global Risks of the World Economic Forum and an external

Advisor to the European Investment Bank. Evgueni has a more than 20year career in the banking sector working in global and large banks. His most recent role was Head of Portfolio Management & Strategy at Lloyds Banking Group. Prior to this role, he worked at HSBC as a Head of Global Analytics and a Head of Portfolio Risk. Evgueni also

worked in senior risk management roles at ING Group and Banque Bruxelles Lambert. In his risk management career, he was responsible for areas like stress testing including regulatory stress tests, risk appetite, capital management, portfolio risk optimisation and risk modelling and analytics.

Dr Ivantsov is also a visiting Professor of Cass Business School (City University, London) and before was a visiting Professor of International Economics at the Boston University and a visiting Professor of Money, Banking and Credit at the United Business Institutes in Brussels.


LIBAN JAMA

PRINCIPAL Ernst & Young (former Senior SEC Counsel) Liban is a principal in Ernst and Young’s (EY) Fraud Investigation and Dispute Services (FIDS) practice. Liban is a former U.S. federal investigator with over 17 years of investigative, regulatory, and advisory experience with matters involving investment advisers, investment companies, mutual funds, hedge funds, private equity funds and other investment vehicles managed by investment advisers. He has extensive experience in

investigating complex civil matters, performing compliance risk assessments, and assisting companies in designing, building and evaluating compliance programs, including policies, controls, training and monitoring mechanisms. Prior to joining EY, Liban was a Senior Advisor – Legal, Policy & Strategy in the Division of Enforcement and Investigations at the Public Company Accounting Oversight Board (PCAOB). Before the PCAOB, Liban

spent ten years at the Securities and Exchange Commission (SEC) starting in the Enforcement Division where he was responsible for handling a broad range of the SEC’s domestic and international enforcement matters, including investigations involving accounting and disclosure fraud, insider trading, and illicit payments under the FCPA.

While at the SEC, Liban served as legal counsel and a senior advisor to SEC Commissioner Luis Aguilar and SEC Chair Mary Jo White, respectively. Liban began his career as a corporate and securities attorney at Arnold & Porter Kaye Scholer (formerly Arnold & Porter) in Washington DC. Liban has spoken extensively on topics including financial fraud, anti-corruption, FCPA, as well as on a wide range of compliance related issues.


STEPHANE JANIN

HEAD OF GLOBAL REGULATORY DEVELOPMENT AXA Investment Managers Stéphane, 51, has 28 years of experience in the areas of asset management and financial markets. Stéphane currently heads up Axa Investment Managers’ Global Regulatory Development directorate and internal network at worldwide level. Stéphane is a member of Axa Financial Regulation Steering Committee as well as a member of various internal topical regulatory Steering Committees. Before joining AXA Investment Managers, Stephane was Head of the International Affairs division at the AFG, the French Asset

Management Association, responsible for international regulatory strategy and promotion. Prior to that, at the Autorité des Marchés Financiers (AMF), Stéphane was Advisor in charge of Strategy and Risks to the Managing Director after being the Head of Market Surveillance at the Commission des Opérations de Bourse (COB). At EU level, Stéphane has been a Board Member of the European Fund and Asset Management Association (EFAMA) since June 2017 and the Vice-Chairman of the ICMA Asset Management and

Investor Council since March 2017. He is currently chairing the EFAMA Task Force on European Long Term Investment Funds (ELTIFs) as well as the ICMA Asset Management and Investor Council Working Group on fund liquidity.

At international level, Stéphane is a member of the stakeholders’ panel of the International Organization of Securities Commissions (IOSCO). He was a Member of the Board at the International Investment Funds Association (IIFA) from 2012 to 2014.

His first commitment at EU level started at the European Commission, where he was seconded as an official National Expert from 2000 to 2004 – being responsible for four regulatory topics: the UCITS Directive, the hedge fund file, the credit rating agency file and the Market Abuse Directive.

Stéphane graduated from the Institut d’Etudes Politiques (IEP) – “Sciences Po” in Paris, with a major in Economics. He is married and has three children.


MICHEL JUVIN

GLOBAL CHIEF INFORMATION SECURITY OFFICER, ADVISOR CESIN Mr. Michel Juvin is advisor to the Club des experts de la securite de l‘information et du numerique and global chief information security officer (CISO) for Chanel. Michel is in charge of protecting intellectual capital and information knowledge. He defines the information security policies and standards, along with internal controls.

Michel is a speaker for CESIN internationally on information security. He provides information risk analysis to monitor the security of outsourced data.

Prior to his current roles, Michel was CISO for Lafarge for over a decade and and IS manager for Andersen Consulting for another decade before that.


BRENDAN KALB

MANAGING DIRECTOR & GENERAL COUNSEL AQR Capital Management Brendan is Managing Director and General Counsel at AQR Capital Management, LLC, a registered investment adviser based in Greenwich, CT where he is responsible for managing the full spectrum of the firm's legal affairs. Prior to joining AQR in 2004, Brendan worked at the New York law firm of Willkie Farr & Gallagher LLP as an Associate in their Investment Management Group where he regularly represented registered investment companies, investment advisers and broker-dealers. Brendan has extensive experience in issues relating

to the establishment and ongoing operation of hedge funds and funds of funds (U.S. and offshore) as well as private equity funds investing in the U.S. and abroad, including emerging markets. He also worked for the law firm of Seward & Kissel LLP as an Associate in the firm’s Financial Services & Investment Management Department. At Seward, Brendan dealt in related matters with respect to investment advisers, including commodity pool operation, management company structuring, fund marketing and advertising, employment

agreements, joint ventures and seed capital arrangements. Brendan received his JD from Cornell Law School in 2000 and graduated magna cum laude with a B.A. in International Relations & Economics from the University of Pennsylvania in 1997. Brendan has spoken at a number of industry conferences on regulatory matters affecting the financial services industry and currently serves as Chairman of the Managed Funds Association’s CTA, CPO and Futures Committee and as a member of MFA’s Investment Adviser

and Government Affairs Committees. In addition, Brendan serves on the National Futures Association’s Board of Directors and is an active member of the Investment Company Institute’s Equity Markets and Derivatives Markets Advisory Committees. Brendan also serves on the Board of Advisors of the Institute for Law and Economics, a joint research center between the Law School, the Wharton School and the Department of Economics at the University of Pennsylvania.


GARY KAMINSKY CEO, FOUNDER GSK Consulting LLC Gary brings over 30 years of experience in the securities industry with particular focus on issues relating to the legal/ compliance and operational infrastructure of asset management companies and broker-dealers.

Gary’s distinguished career in the financial services sector began as a senior attorney with the Enforcement Division of the US Securities and Exchange Commission. Most recently, Gary has been advising clients in the development, implementation and maintenance of regulatory enterprise risk management infrastructure. He is a frequent speaker on industry panels relating to Dodd, Frank (Form PF, CPO-PQR) AIFMD (Annex IV), MIFID II and other current regulatory issues.

Gary has held positions as Managing Director, Global Head of Regulatory/ Compliance for ConceptONE and as a Principal at Rothstein Kass. Gary has also served as a co-founder, COO, CCO and General Counsel for two hedge fund management companies.

Prior to launching those funds, Gary was CCO and Counsel for Susquehanna Investment Group, preceded by a position as a securities and regulatory attorney with Dechert, LLP. Gary received a Bachelor of Arts degree from the University of North Carolina at Chapel Hill, and his Juris Doctor from the State University of New York at Buffalo.


THOMAS KENNEDY

PRINCIPAL, DIRECTOR OF INVESTMENT MANAGEMENT COMPLIANCE, Bessemer Trust Mr. Kennedy is a senior compliance officer with more than 20 years of experience with corporate and fund governance, federal and state securities and banking laws and regulations, ERISA, antimoney laundering and U.S. sanctions programs, and fiduciary and investment risk management oversight. Mr. Kennedy is a Principal, and the Director of Investment Management Compliance with Bessemer Trust, an institution with approximately $100 Billion in assets under supervision. Previously, for just under eight years, Mr. Kennedy was a Managing Director and the

Chief Compliance Officer at Arden Asset Management, an RIA/CTA/CPO and FCA approved firm whose primary business was to specialize in alternative investments. Prior to Arden, Mr. Kennedy was with Citigroup. Over another eight year period he held a number of positions including Director of Citi Private Bank’s Asset Management and Trust Compliance, Director of Compliance for Citi Private Bank’s U.S. Region, Chief Compliance Officer of Global Hedge Strategies, and Senior Vice President and Head of Securities and Fund Services

Compliance for Citigroup’s Global Transaction Services. Prior to joining Citigroup, Mr. Kennedy held entry to midlevel compliance positions with JP Morgan Chase and Morgan Stanley and worked for the law firm Dewey Ballantine. In these roles, he has served as CCO, supervising compliance teams supporting all manner of asset management and private banking activities for registered investment advisers, commodity pool operators, banks and trust companies, and handled

compliance and risk management for U.S. and UCITS registered mutual fund complexes, common trust funds and offshore fund complexes, as well as hedge funds, private equity and other alternative assets classes. He has also helped manage each of the firm’s broker dealer compliance efforts. He has a BA, with honors, in Criminal Justice from Iona College, and a law degree, cum laude, from St. John’s University School of Law. Mr. Kennedy, his wife Natale, and their two sons Shane and Christian, live in Rockville Centre, New York.


DR. DROR KENETT

ECONOMIST Financial Industry Regulatory Authority (FINRA) Dror Y. Kenett is a multidisciplinary financial economist, expert on financial networks, financial stability, and systemic risk. He is currently an Economist at the Office of Chief Economist of the Financial Industry Regulatory Authority (FINRA), where he conducts economic impact analysis on proposed FINRA rules and conducts market structure research.

He is a consultant to the World Bank and a visiting researcher at Boston University and the Israel Securities Authority (ISA).

Prior to that, Kenett held a researcher position at the U.S. Department of the Treasury, Office of Financial Research (OFR). Kenett applies his scientific background to financial stability questions, focusing on network-based models, financial contagion and spillovers, and correlation-based models.

He has written OFR working papers, contributed to the OFR Financial Stability Report, and participated in the development of OFR monitoring tools.


HUBERT KRATTINGER GROUP GENERAL COUNSEL Pythagoras Hubert Krattinger has more than 25 years of experience as leader, manager and professional in the legal, compliance, regulatory and risk management environment of the financial industry (from 1991 to 2016 within Credit Suisse, Berne and Zurich). He has extensive experience in leadership and change management. He implemented new organizational set-ups, designed and implemented compliance and risk functions as well as management tools and reporting platforms cross

regions, countries and functions. Hubert is subject-matter expert in compliance and risk management topics, e.g. AntiMoney Laundering, Know Your Client, Politically Exposed Persons, Client Relationship Opening, Client Due Diligence, Cross-border Activities, Financial Intermediaries, Independent Asset Managers, Correspondent Banking, Trade Finance, Credit Card Businesses. Beyond these topics, he covered functions for the entire range of Corporate Banking, Wealth

Management and Private Banking, Bank Operations, Credit Risk, Operational and Business Risk Management. He has held management positions for more than 15 years in General Counsel and in Private Banking at Credit Suisse. Since 2016 he acts as Group General Counsel at Pythagoras Group and since 2017 additionally as General Manager of Pythagoras Switzerland. Pythagoras Group is a solutions provider in Compliance and Risk environment with several hundred clients in more than 50 countries.

Hubert has been chairman and member of the board of Swiss Association of Compliance Officers (SACO). He currently acts as Co-Chair of the recently founded Regtech / Fintech Working Group of Ethics & Compliance Switzerland. He is also a regular speaker and lecturer for compliance and risk topics. Furthermore, he coaches senior managers and executives with regard to such topics.


LARRY LAFER

CHIEF COMPLIANCE OFFICER, ASSET MANAGEMENT BNY Mellon Larry Lafer is Managing Director in BNY Mellon’s Global Compliance Division and serves as the Head of Compliance for BNY Mellon’s Asset Management Division in North America. BNY Mellon Asset Management is a global group of seventeen investment boutiques with over $1.5 trillion assets under management.

Prior to coming to BNY Mellon in 2007, Larry had served in various legal, compliance and business functions for asset managers, including as Assistant General Counsel of Morgan Stanley Investment Management (Dean Witter InterCapital), Director of Compliance of the Global Investment Management Division of Deutsche Asset Management (Bankers Trust Company),

Head of Portfolio Compliance at BlackRock Investment Management and Managing Director for Asset Management Compliance for The Bear Stearns Companies Inc.

He earned his undergraduate degree at State University of New York at Stony Brook and his law degree at the Fordham University School of Law.


JOHN LEE

MANAGING DIRECTOR, EUROPE Compliance Solutions Strategies John Lee is the Managing Director for Europe for Compliance Solutions Strategies (CSS). Prior to CSS, John has been an Advisor to Global Custodian at Asset International, Inc. since November 2015. Mr. Lee served as Managing Director of Europe at Asset International, Inc. from February 7, 2012 to November 2015 and as its Publisher of The Trade until November 2015. Mr. Lee was the Founder, Publisher and Editor of The TRADE Limited.

Mr. Lee was responsible for the strategic direction of TRADE Ltd., maintaining its market leadership in the coverage of global equities trading, as well as driving new product development. He is also co-founder of writing and research consultancy Information Partners, a wholly owned subsidiary of The TRADE, which produces Dialogue magazine and Sibos Issues on behalf of the Society for Worldwide Interbank Financial Telecommunication (SWIFT).

Prior to this, he was a Cofounder and Publisher of GSCS Benchmarks, the leading European global custody title, and was also a co-founder and Director of Financial-i, Global Transactions magazine and Capital Horizons, which focused on emerging markets investment. He serves as a Member of the advisory board of TradeTech. He chairs and speaks at industry conferences throughout Europe and Asia. He has written for The FT and The Sunday Times, amongst others, and has authored and

edited books on global custody and the UK financial services market. He has lectured in international economy at the London School of Economics. Mr. Lee has an MSc. in International relations.


ROSA LICEA-MAILLOUX

FUND CHIEF COMPLIANCE OFFICER, SVP & GENERAL COUNSEL Natixis Global Asset Management Rosa Licea-Mailloux currently serves as the Chief Compliance Officer (“CCO”) to the Natixis and Loomis Sayles Funds (the “Funds”) and as Senior Vice President and Deputy General Counsel of Natixis Global Asset Management – U.S. Distribution (“Natixis”). In this role, Ms. Licea-Mailloux is responsible for proactively identifying, evaluating, mitigating and reporting on compliance, regulatory and risks matters impacting the Funds.

Additionally, she oversees the legal administration group and also provides legal advice to all departments of Natixis’ U.S. registered investment adviser, U.S. limited purpose broker/dealer, and Canadian international dealer/adviser business units. Ms. LiceaMailloux has been with Natixis since 2004.

Prior to joining Natixis, Ms. Licea-Mailloux spent three years at Putnam Investments as a Compliance Specialist.

Ms. Licea-Mailloux earned her J.D. from Northeastern University School of Law in 2001 and a B.A. in both Biology and Economics from Boston University in 1998.


JOHN MAHONEY CHIEF COMPLIANCE OFFICER PfP Capital John Mahony is the Chief Compliance Officer for PfP Capital Limited. Mr Mahony has a BA (Hons) Law from Institute of Technology Carlow and an LLM European Law and Public Affairs specializing in European Banking Regulation. His experience includes Competent Authorities for Listing, Investment Service Providers, Hedge Fund and Real Estate Fund Asset Managers spanning, front, middle and back office functions.

As a Compliance generalist with a Legal specialism, Mr Mahony has had exposure to numerous investment strategies, entity structures and product types as well as document generation, review and negotiation of PPM’s, Incorporation documents, management agreements and counterparty trading agreements. Including writing the negotiation playbooks.

He has gained exposure to multiple regulators and selfregulatory organizations, including the FCA, FINMA, CIMA, JFSC, SEC, CFTC and FINRA


EPHRAÏM MARQUER GLOBAL HEAD OF COMPLIANCE BNP Paribas Asset Management Ephraim joined BNP Asset Management in November 2008 as Global Head of Compliance. Ephraim’s responsibilities include advising the BNP Paribas Asset Management business line in order to avoid the risk of non-compliance by overseeing the coherence and ensuring efficiency of ongoing controls aimed at mitigating these risks.

Before joining BNP Paribas Asset Management, Ephraïm Marquer held managerial positions for three years at AFG (Association Française de la Gestion Financière), first, as Director of Employee Savings and Retirement Schemes and Private Equity, then as Deputy Director for the “Asset Management” and “Asset Management Company Development” divisions.

In 2004, he was a Special Advisor at AMF (Autorité des Marchés Financiers), the French financial markets authority, where he was an Officer in the “Management and Marketing Techniques” division, after having spent six years at the COB (Commission des Operations de Bourse). There, he served as a Special Advisor-Officer for the “Employee Savings and Venture Capital Investment” department.

Ephraïm began his professional career in 1998 at Crédit Agricole Indosuez as Junior Portfolio Manager in the Private Banking division. With a Specialized Master’s Degree in Property and Wealth Management from the Bordeaux Business School’s Institute of Property and Wealth Management, Ephraïm Marquer has nearly 20 years’ experience in the area of negotiating and enforcing statutory and regulatory standards applicable to third-party asset management.


DAVID MACINNIS

exVP & GLOBAL COMPLIANCE HEAD, FX & SWAP DEALER State Street Bank David MacInnis was the former Chief Compliance Officer of State Street Bank's CFTC registered Swap Dealer and the Global FX Compliance Head of State Street Global Markets, which included both principal and agency FX business lines. Primary responsibilities included implementing and overseeing multiple compliance oversight programs to address regulatory priorities, including relevant changes prompted by the Dodd-Frank Act and other G-20 regulatory reforms.

Prior to this role, David was a broker-dealer Compliance Officer for State Street Global Markets, LLC., where he focused on fixed income trading, private placements, research distribution, and the annual report. Previously, David worked for School House Capital, LLC. in a variety of roles supporting the growth of assets from zero to 1 billion over three years. At School House, he implemented and managed day to day compliance efforts for multiple IRC 529 college savings plans, including the

implementation of USA Patriot Act requirements. He began his career in the Retirement Investor Services group of State Street Global Advisors where he serviced 401K clients and traded equities.

David has passed the series 7, 24, 53, and 63 exams. David received his Bachelor of Arts degree from Lynchburg College, and his Juris Doctorate from New England School of Law.


DEREK MEISNER

GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER Quantopian Derek Meisner is the General Counsel and Chief Compliance Officer at Quantopian, Inc., a FinTechoriented investment advisor in Boston. He advises the company on legal, regulatory and compliance issues. 

Prior to his current position, Derek served in the same roles at two prominent Boston-based investment advisers focusing on fixed income and life sciences, respectively. Derek is a former Partner at the law firm of K&L Gates LLP, where he counseled financial services clients on various compliance and securities enforcement matters.

He also served as a Branch Chief in the Division of Enforcement of the U.S. Securities and Exchange Commission.

Derek received a BA in Psychology from The University of Michigan and a JD from The American University, Washington College of Law.


EVAN MINSKOFF

HEAD OF BRAND AND GLOBAL GROWTH STRATEGY Tumblr Evan Minskoff is the Head of Brand + Global Growth Strategy at Tumblr, where he oversees the development of audience and revenue amplification strategies for the brand. Evan is a seasoned strategy and digital marketing executive with 17 years experience transforming business insight into revenue, audience and brand equity growth for leading global organizations.

Prior to Tumblr, Evan served as SVP, Head of Marketing & Brand Strategy at OvationTV, where he ran the art network's integrated marketing, advertising and communications efforts. He was honored among the “Top 40 Under 40� executives by Multichannel News, recognized in part for his marketing and creative leadership for the CFDA/ Vogue The Fashion Fund docuseries.

Evan has also held senior marketing roles at Gilt Groupe, About.com, The Walt Disney Company, and Citigroup.

He received his MBA from Columbia Business School and lives in Brooklyn, NY.


BERTRAND MOHR CHIEF RISK OFFICER Anoa Capital Bertrand has over 10 years of experience in Risk Management in the financial sector in Europe and has successfully set up and headed Risk Departments in the insurance and financial services industry.

He is currently Chief Risk Officer at Anoa Capital, an investment advisory based in Luxembourg and London.

Prior to this, Bertrand held various roles as Risk Manager and was also Portfolio Manager for the factoring subsidiary of a Paris-based banking group. Bertrand started his career as an auditor in Luxembourg.

In parallel, he is the founder and manager of the Risk Management consulting firm Risques et OpportunitĂŠs (www.risquesetopportunites.c om).


SHAHIN NABAVIAN

HEAD OF DIGITAL, INTERIM CHIEF DIGITAL OFFICER The Economist Intelligence Unit Shahin is a Senior Executive who leads Digital Transformation. He is also the founder of Centric Mind, a Business Design and Innovation company. 

Shahin has spent the last 15 years in the agency, corporate and academic worlds creating paths that help navigate through these types of opaque problem spaces. 

In his experience, ‘innovation’ and ‘transformation’ is challenging for many organizations since the 'Board' often need to commit to outcomes before they take action. Yet, this goes against how true innovation and transformation emerge.

For The Economist Group, he has been defining and leading a digital transformation program aimed at creating growth for one of its major businesses. In his short tenure at Accenture, he contextualized how a customer centered proposition would look like in the next few years within the financial services industry.

Previous to that, he was a partner at a User Experience and Digital Service Design agency where he helped to establish a thriving business from scratch; the agency helped FTSE 100 clients to deliver mission-critical usercentered digital services.

Finally, his PhD looked at the way people distribute their collective cognition when they engage in creative collaborative work in a collocated environment. By studying human to human interaction, Shahin was able to describe the cognitive properties of a session of work, leading to an understanding of how technology can influence product outcomes.


AVI NACHMANY

CONSULTANT & STRATEGIST, ADVISORY BOARD MEMBER CSI

Avi Nachmany is an independent mutual fund industry consultant and strategist.

Three decades ago Avi cofounded Strategic Insight (SI), a thought leadership and business intelligence firm for mutual fund industry leaders which today is widely used in the U.S. and globally.

As SI’s Director of Research, Avi pioneered its fact-based research approach, served as the firm’s leading voice for our industry’s key developments, and initiated many areas of research focusing on topics of interest for compliance officers and fund’s independent trustees. Avi presents often in fund industry conference and panels, and at times educates U.S. and global regulators on industry trends.

Avi is an advisory board member of Compliance Solutions Strategies’ (CSS) and a Senior Advisor to Strategic Insight.


STEPHEN PLATT

CHAIRMAN & CHIEF EXECUTIVE OFFICER KYC Global Technologies Stephen Platt is Chairman and Chief Executive of KYC Global Technologies the operating company of RiskScreen a highly cost-effective customer screening tool used by businesses worldwide to fulfill their KYC obligations.

Stephen is a barrister and an Adjunct Professor of Law at Georgetown University in Washington D.C.

He is the author of the awardwinning #1 bestselling book 'Criminal Capital'. He consults to Stephen Platt & Associates LLP on large-scale regulatory investigations and is regarded internationally as a leading authority on the criminal abuse of financial services.


SANDRA QUINN EXECUTIVE DIRECTOR The Compliance Foundation Sandra is a co-founder and Director of The Compliance Foundation which provides compliance, business effectiveness and change support to a wide range of businesses.

Sandra and TCF work extensively with start ups and Tech firms as well as more traditional firms, mainly but not only in financial services and where she has acted as Head of Compliance for several digital businesses.

A lawyer by training who then moved into investment banking, prior to co-founding The Compliance Foundation, she was a senior regulator in the UK with the Financial Services Authority as well as a Risk and Compliance Director for a major banking and insurance group where she established a leading approach to people risk management.

Sandra has worked in regulation, business and government where she was Interim CEO of the UK’s National Fraud Authority and has worked on a range of government fraud and public interest projects.


ALAIN ROBERT-DAUTUN CHIEF RISK OFFICER Sycomore Asset Management Alain Robert-Dautun, has over 20 years of experience in the financial markets and asset management, including in hedge funds investment and risk management. Before joining Sycomore AM in 2006 as head of Risk Management, Alain was senior investment analyst and member of the investment team for Allianz Alternative AM.

Prior to that, he was portfolio manager for a long short equity fund for CPR AM. Previously, Alain served as head of new products development for JP Morgan, head of Asset Allocation for State Street Global Advisors and quantitative Analyst of Sinopia AM (now part of HSBC Group).

Alain holds a Master's Degree in Statistics from the Institute of Statistic from Paris (ISUP), he is a CFAÂŽ charterholder and member of the Institute of Actuaries (France). Alain is also member of the Risk Commission for the French Asset Management Association (AFG).


JEFF SHORTIS

DATA GOVERNANCE SOLUTIONS MANAGERS Infogix Jeff Shortis is the Data Governance Solutions manager at Infogix. Prior to joining Infogix, Jeff was the founder and CEO of Data3Sixty, Inc., a leading data governance SaaS solution provider.

Jeff has served as Chief Data Officer for Pioneer Investments where he led the global data strategy and evangelized the importance of data governance. Prior to Pioneer Investments, Jeff was product manager for the Eagle PACE, an industry leading investment management data warehouse.

Jeff has also advised several financial services organizations in consulting capacities defining data strategies and standing up data governance teams. Jeff is recognized as one of the thought leaders and is a regular guest speaker in the data management industry.


AMANDA WAGNER

BRANCH CHIEF, INVESTMENT MANAGEMENT Securities and Exchange Commission (SEC) Amanda Hollander Wagner serves as Branch Chief in the Investment Company Regulation Office, a unit of the SEC’s Division of Investment Management.

Prior to joining the SEC, she was an associate in the investment management practice groups of two Washington, DC-area law firms, where she advised investment companies, investment company independent directors, and investment advisers on issues arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, and other federal and state securities laws.

Amanda is a graduate of the Georgetown University Law Center and Princeton University.


ROBERT WARREN PARTNER AND CO-FOUNDER Compliance Strategy Institute Robert Warren is partner and treasurer of the Compliance Strategy Institute and cofounder of Warren Enskat Holding.

He pioneered investment management executive search in 1969, founding Warren International to specialize in financial services executive search. Robert has undertaken senior level assignments on a global basis and frequently acts as an advisor to CEOs, domestic and global, on their global expansion plans.

Warren International in the 1990s evolved further and primarily serves the investment management community on a global basis as an M&A and lift-out specialist.

Robert has the longest tenure as an active search professional globally. He started his career at the Irving Trust Company. He has BS & MBA degrees.


TERRY YODAIKEN HEAD OF OPERATIONS, EMEA First State Investments Terry Yodaiken is Head of Operations, EMEA at First State Investments (FSI). In his role, Terry is responsible for business leadership as it relates to Operations and ultimately for ensuring that core insourced and outsourced operational services are delivered to our internal stakeholders and external customers. Specifically Terry has oversight of EMEA Investment Operations, Third Party Supplier Management & Operational change, Performance & Client

Reporting and Fund Operations & Control teams. Prior to this Terry was Head of Product, EMEA at FSI, a position he held since February 2012. Terry joined the First State Investments UK Management and Operations and Risk Committees in June 2014.

Terry has overseen a number of strategic reviews since joining FSI as well as leading a number of new product developments. Terry is currently focused on driving forward the delivery of a number of regulatory initiatives as well as continuous improvement of our operational infrastructure, processes and systems to ensure the business is able to deliver against its strategic objectives.

Prior to joining FSI, Terry was Director of Product Management at Legg Mason. He previously held Senior Product Development Manager roles at Henderson Global Investors and Barclays Wealth Management. Terry received a Bachelor of Business Science (Special Field Law) Business Finance Honours from the University of Cape Town, South Africa.


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CSI Overview Firms Speakers Themes  

Compliance Strategy Institute Executive Roundtables NY - Boston - London - Paris From Afterthought to Growth Driver: The (R)Evolution of Co...