Practical LawConferences

Antony Whitehouse is the UK Head of Compliance for the BNP Paribas Group, one of the largest banking groups in the world, and Global Head of Fixed Income Compliance.  Prior to this he was in a similar role at Crédit Agricole.  He is Chairman of the Compliance Board of the Association for Financial Markets in Europe, as well as Deputy Chairman of the Securities Houses Compliance Officer’s Group.  In previous roles, he set up and was in charge of the UK Money Laundering Prevention Department at WestLB and was the Head of Compliance for WestLB London.  He previously worked at both the SFA, and the FSA, dealing with the larger and more complex institutions.

Sharon is a Director in the CMA’s Sector Regulation Unit where she has responsibility for promoting competition in the regulated sectors and liaising with the sector regulators on the concurrent application of competition law. Before joining the CMA in 2014, she worked in the legal team at Ofcom. She joined Ofcom from Postcomm following a brief period at the OFT in the Cartels and Criminal Enforcement Group. Prior to that Sharon was a counsel in the Competition/Antitrust group at Linklaters, having spent 14 years at the firm.

Tom Spender was appointed the Director of Director of Retail and Regulatory Investigations at the Financial Conduct Authority in October 2014. Prior to this, Tom was a Head of Large Complex Retail Groups in the FCA Supervision department. In this role he was responsible for the conduct supervision of four of the largest retail groups headquartered in the UK. Tom joined the FSA in 2002 and has held senior Enforcement and Supervision roles at the FSA and then the FCA. He has led enforcement investigations across the full spectrum of regulatory activity including insider dealing, financial crime and retail mis-selling. Tom is a qualified solicitor and has worked in international law firms in Australia and in London.

David Sheldon joined Crédit Agricole Corporate & Investment Bank as General Counsel EMEA (ex France) in 2009 and is based in London. Mr Sheldon is a member of the Bank’s Global Management Committee and London Management Committee as well as being a member of a number of risk, compliance and business oversight committees. He has spent more than 20 years as an international lawyer in which time he has lived and worked in New York, Hong Kong, London and Australia.

Anna Berdinner was appointed Regulatory Analyst, Asset Management Regulation for AIMA in February 2012. Prior to joining AIMA, she worked for Freshfields Bruckhaus Deringer, where she worked in the financial institutions disputes group, the structured asset finance group and the corporate financial services regulation group.

Anna is qualified as a solicitor and has a degree in Law and German from Southampton University.

Simon leads the BBA team working on prudential regulation, liquidity management and bank funding instruments.

He was previously a Director in the Debt Capital Markets Origination team at BZW and has experience of energy and aerospace project finance, gained at First Chicago. Simon is also a Simon is a liveryman of the Worshipful Company of International Bankers.

Christiana Norman is a Managing Director and Head of EMEA Regulatory Reform in the legal team at Bank of America Merrill Lynch.  As part of her role, Christiana has primary responsibility for, and helps to lead, the bank’s legal response to both European and third country legislation impacting European business.

Before working at Bank of America Merrill Lynch, Christiana was Head of European Fixed Income Credit, Structured Products and OTC Clearing in the legal team at Morgan Stanley.  As part of her role, she sat on a number of external committees relating to credit derivatives and structured products, including the International Swaps and Derivatives Association’s Credit Steering Committee and Credit Default Swaps Determinations Committee.

Vicky Marissen is Managing Director of PACT European Affairs, a training/consultancy form specializing on delegated and implementing acts. She has a legal background and has been active in EU Public Affairs for 12 years. Over this period she has built up expertise and experience with regard to comitology and delegated acts and EU decision-making procedures in general. She has delivered strategic advice and analysis for clients on comitology strategies. Besides her expertise on the subject, Vicky is recognized as a good pedagogue and trainer, able to communicate clearly and transfer know-how on complex topics.

As a Partner at Kinetic Partners, Monique Melis is the Global Service Line Head of Regulatory Consulting. Monique specialises in regulatory advice and, over the last 20 years, has worked with investment firms and asset managers.  She has strong regulatory knowledge, particularly in the areas of SYSC, CASS, market conduct, transaction reporting and regulatory investigations such as skilled person’s reports.  She also works extensively with PE firms and investors undertaking due diligence on target companies.

Monique’s areas of expertise include senior management systems and controls, market monitoring issues, global procedure manuals for banks, large investment firms, regulatory investigations, transaction reporting, expert witness reports and regulatory due diligence.  Monique is also involved in the resolution of regulatory investigations issues and has on numerous occasions spoken at industry seminars and written articles on regulatory change and transaction reporting.

Monique joined Kinetic Partners from the Cayman Stock Exchange where she was Head of Market Regulation and Business Development.  Monique previously managed the Transaction Monitoring Unit in the Markets and Exchanges Division of the FSA. She transferred to the FSA from the Securities and Futures Authority where she worked in the Surveillance Department.

Mr Greenwold manages the Legal and Compliance teams at Aspect Capital Limited.  Aspect is a UK-based investment manager with offices in London, Stamford (Connecticut) and Hong Kong. Aspect applies a systematic and quantitative approach to investment management, with the aim of generating high-quality and diversifying alpha for its clients’ portfolios. The company currently manages USD4.7bio, which is invested in the Aspect Diversified Programme (and a range of modified implementations) via a series of fund and client-specific managed account vehicles.  Mr Greenwold joined Aspect in June 2008, prior to which he worked as a solicitor at the law firm Slaughter and May.

Alistair Wellmann joined Scotiabank as Managing Director and Head of Compliance for the UK, Middle East and Europe in 2012.  Scotiabank is Canada’s third largest and most international bank with over 86,000 employees in over 55 countries.  Alistair oversees Compliance across Scotiabank’s businesses in the UK, Ireland, France, the UAE and Turkey which include corporate, investment and transaction banking, equities and fixed income sales and trading, prime brokerage, foreign exchange, money markets as well as the ScotiaMocatta precious and base metals business.

Alistair has 16 years of banking, regulatory and compliance experience gained in the UK, the US and the Middle East.  From 2006 until 2008 he was the FSA’s lead on implementation of best execution and client categorisation under MiFID and he spoke at a number of industry roundtables and conferences on those topics.  He has also presented at the European Compliance Conference.

Alistair holds an M.A. (Hons) in Philosophy, Politics and Economics from Christ Church, Oxford and completed his graduate legal studies at the College of Law in London.  He was called to the bar in 2005.

Andrew Shrimpton joined Kinetic Partners as a Partner in the risk and regulatory practice. Andrew was previously responsible for putting in place the FSA risk based regime for supervising hedge fund managers and day to day supervision of the largest alternative asset managers including private equity firms.

He has more than 20 years’ experience in the investment management sector. He was an Executive Director at Goldman Sachs Asset Management before joining the FSA in 1999 to supervise asset managers (including unit trust and private client investment managers) and was appointed the FSA’s first Asset Management Sector Manager in April 2004.

Andrew regularly speaks at industry events and is often interviewed in trade press; he has been interviewed on BBC Newsnight, CNBC and the Today Programme.

Nick du Cros joined HarbourVest in 2012 as U.K. Legal and Compliance Officer, with responsibility for the Firm’s U.K. compliance program and assisting with legal and compliance matters relating to the firm’s global operations and products.

Nick joined HarbourVest from Pyramis Global Advisors (UK) Limited, the London affiliate of Fidelity Investments’ institutional asset management group, where he oversaw regulatory compliance and governance matters in the U.K. and Ireland.  His prior positions include Head of Institutional Legal EMEA with Fidelity Worldwide, Legal Counsel for Mercers Global Investments, and Head of European Legal at Barclays Global Investors.

Nick received a Bachelor of Law from University of Western Australia in 1991, a Masters in Taxation from University of Sydney in 1995, and a Masters in Applied Finance from Macquarie University in 1996.

Kimon is currently the Chief Compliance & Regulatory Officer of GE Working Capital Solutions (WCS), a division of GE Capital. WCS is responsible for factoring the receivables of all of the GE Industrial businesses, and purchases ~$63 billion receivables / year and has ~600,000 debtors located in over 160 countries.

Prior to his current role, Kimon was the Chief Compliance Officer for GE Capital’s mortgage business in the UK, regulated by the FCA. He joined GE over 8 years’ ago as a senior M&A lawyer and was responsible for a number of acquisitions, joint ventures and disposals in the Global Banking portfolio.  He has over 15 years’ experience in a range of industries, including financial services and telecoms, both in-house and in private practice.

Kimon holds a Doctorate of Laws and is based in London.

Nick Dutton is Head of Compliance for BATS Chi-X Europe and manages BATS’ compliance with it regulatory obligations and its day-to-day relationship with its primary regulator, the FCA. In the last year Nick has been responsible for co-ordinating BATS’ successful application to achieve Recognised Investment Exchange status. Prior to joining BATS, Nick was Compliance and Operations Manager at Ronin Trading, the proprietary trading firm. He has also worked for PricewaterhouseCoopers, Nomura International and the London Stock Exchange Nick has a degree in Government from the London School of Economics.

Joanna serves as Chief Executive of the Financial Markets Law Committee (“FMLC”). She is currently a Non-Executive Director of ICE Benchmark Administration Ltd and Chair Person for the Oversight Committee of ICE LIBOR.

Before joining the FMLC, 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 is also an occasional guest lecturer at the London School of Economics and Political Science and University College, Dublin and has published articles on, inter alia, financial law 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.”

Hugh has been with the PRA and the Bank of England for three years. Prior to joining the Bank, Hugh spent most of his career at HM Treasury, where he held a number of roles in the area of supervision and financial services since the failure of BCCI in 1991.

As Chief Compliance Officer, Lisa Rosen is responsible for ensuring that the highest standards of integrity are applied throughout all activities of the EBRD.

The Office of the Chief Compliance Officer, which is also the anti-money laundering office of the Bank, provides a range of advice and assistance to all Bank departments in assessing and evaluating integrity and reputational risks relating to proposed, as well as on-going, Bank transactions.

Ms Rosen’s office conducts Bank-wide integrity and anti-money laundering training courses, advises on actual or potential conflicts of interest in respect to the Bank’s handling of operations and investments, and investigates instances of staff misconduct as well as allegations of fraud and corruption in Bank financed projects. The Bank’s Project Complaint Mechanism which provides redress for complaints by local groups adversely affected by EBRD financed projects, is also managed by the Office of the Chief Compliance Officer.

Ms Rosen represents the EBRD in the Financial Action Task Force, the OECD Anti-Corruption Network for Transition Economies, MoneyVal, Transparency International’s Steering Committee on the Business Principles for Countering Corruption, and numerous other international fora.

Prior to joining the EBRD, Ms Rosen was Group Head of Compliance, Public Affairs and Regulatory Change Management at the global clearing house LCH.Clearnet. She has 20 years of legal and compliance experience in the USA and the UK. Previous positions include Global Head of Regulatory Affairs at Barclays Capital and Head of Litigation and Contentious Regulatory Affairs for Europe, the Middle East and Africa with Merrill Lynch.

A United States national, Ms Rosen is a graduate of Vanderbilt University and the London School of Economics. She received her Juris Doctor from Fordham University School of Law.

Cameron Craig is deputy general counsel and group head of data privacy at HSBC, a role which he took on in September last year. In this new role he has responsibility for advising the Bank on global data privacy risks and appropriate measures to address these risks. Before joining HSBC Cameron was a partner in DLA Piper’s IP & Technology Team where he built and was the co-chair of DLA Piper’s EU Data Protection and Privacy Team. He worked as an engineer before turning to the law and his practice retains a strong technology focus. He has extensive experience in advising on outsourcing transactions and in managing and implementing global data protection solutions for international businesses. Cameron has managed many multi-jurisdictional projects, co-ordinating advice on compliance with data protection legislation across the world and advising clients on strategies for cloud adoption. Cameron is recognised as a data protection expert in Chambers for both UK and international data protection law which in 2010 stated that “he is well respected by market observers, who recommend him for his client-friendly and commercial approach” and in 2011 states that he is “technically second to none,” while clients value his “approachable manner and commercial advice.” The 2012 edition of Legal 500 recommends Cameron for “co-ordinating privacy projects for blue-chip clients” and the UK data protection team for providing ‘top-notch commercial advice’ on regulatory compliance matters, including for online products, international data transfers and security breach issues. He is also a regular contributor to journals and is the author of the data protection chapter for the Communications Law Handbook published recently by Bloomsbury Professional.

Martin Parkes is a member of BlackRock’s Global Public Policy team based in London. Prior to moving to this role, Mr. Parkes was a director in BlackRock’s legal team specialising in the regulation of BlackRock’s European-managed investment funds. Mr. Parkes’ service with the firm dates back to 2004, including his years with Merrill Lynch Investment Managers (MLIM), which merged with BlackRock in 2006. Prior to joining BlackRock, from 1999 Mr. Parkes was an associate in the financial services team of law firm of Eversheds specialising in the regulation of investment funds. Earlier Mr. Parkes worked in the financial services team of the law firm of Garretts from 1997 to 1999. He began his career in 1994, training at the law firm of Frere Cholmeley Bischoff.

Richard is a partner in Simmons & Simmons’ financial markets litigation department and is a member of the firm’s crime, fraud and investigations group. Richard specialises in contentious financial services work, both domestic and international and has extensive experience of regulatory investigations, enforcement and disputes, in particular those involving the FCA. Richard previously worked in the Enforcement Division of the FSA.

Andrea is a partner in the Simmons & Simmons international employment practice.  She has a particular expertise in relation to the employment related aspects of financial services regulation, including remuneration issues, and speaks regularly at conferences on these topics. Working closely with colleagues  in the financial services regulatory group, she has developed and on behalf of clients co-ordinated responses to recent consultation papers on remuneration and regulatory matters as they impact on people.  She advises major financial institutions on the their remuneration strategies and policies in the light of the evolving European developments. She has advised clients on the successful clawback of remuneration from former employees.  As well as day to day human resources issues, Andrea advises on employment tribunal and High Court claims including complex group claims and claims for race and sex discrimination, equal pay, whistleblowing, unfair dismissal and breach of contract.

Penny is a partner in the Simmons & Simmons financial services regulation practice in London. Penny specialises in a wide range of UK and EU regulatory matters focussing on advising financial institutions on product regulation and the impact of current and future regulation on transactions relating to derivatives, structured finance and retail structured products. Penny also advises clients on the ongoing global regulatory reforms. Penny is involved in navigator – the Simmons & Simmons online regulatory subscription service which provides information in relation to over 90 jurisdictions – her key focus is on ‘navigator: securities’ and ‘navigator: derivatives’. Penny regularly presents to clients on key aspects of current regulatory change and is closely involved in trade association discussions and responses to EU and other regulatory bodies. Penny also regularly participates in a number of ISDA and ICMA committees on regulatory issues.

Ian initially trained and qualified as a chartered tax adviser at a “big four” accounting firm before becoming a solicitor. He has advised on employee incentives and employment taxes for 15 years. Ian speaks regularly at conferences on employee incentives issues and leads seminars, workshops and other training programmes for clients and other lawyers.

Ian has significant experience advising businesses on all aspects of employee incentives. This work includes advising on the design and drafting of share incentive plans, manager equity arrangements and cash bonus plans and on the tax, legal and regulatory implications of operating them in the UK and internationally. Ian advises on HM Revenue & Customs approved share plans and “unapproved” arrangements and on structuring equity arrangements for new hire and severance packages.

Ian also regularly advises on managing employee equity rights in the course of corporate transactions, including maximising value through the efficient use of tax reliefs.

Richard Frase advises on all aspects of financial services law. He has extensive experience of the legal and regulatory aspects of the UK financial services industry, gained in private practice, in-house and with the regulators, covering both wholesale and retail markets and including regulation and compliance, derivatives and trading documentations.

Mr. Frase was head of litigation at the Personal Investment Authority (later the Financial Services Authority and now the Financial Conduct Authority) from 1995-1998, where he dealt with a range of compliance and enforcement matters involving life companies and financial advisers. He was seconded to the Securities and Futures Authority during 1989-1991, where he advised on policy and legal matters, and carried out extensive work on the conduct of business rules. He was a member of the London Metal Exchange and SFA arbitration panels for 10 years, sitting as an arbitrator in more than 30 arbitrations.

Mr. Frase is recommended in Chambers UK 2014 where he is noted as being “extremely knowledgeable and practical” and praised for the way he “marries knowledge of the statute with what a client wants.”

Chris joined HSBC Securities Services in 2006 and is a Senior Product Manager with responsibility for Market Data.  Chris was previously at Threadneedle Investments where he was Head of Investment Information Services.  Before then he was a Director at UBS.  Chris started work in the city with Laurie, Milbank stockbrokers, in their futures and options operations team, continuing with Chase Manhattan for a further ten years, culminating in three years as head of the equity derivatives middle office.  He also headed OTC derivative client valuations at Bankers Trust.  Chris is a member of the Chartered Institute for Securities & Investment

Andrew Douglas, Head of Government Relations for DTCC in Europe and Asia, plays a key role in developing DTCC’s public policy strategy and positions, and interfaces with policy, regulatory and industry audiences. Mr. Douglas has been responsible for European Government Relations for DTCC since 2010. Early 2013, he was promoted to Managing Director and his responsibilities were extended to cover Asia. Over the past years Mr. Douglas has worked to generate greater understanding of financial market infrastructure and its critical importance to both the marketplace and to policy makers. He has also worked to address trans-Atlantic policy challenges and has focused on issues around extraterritoriality, equivalence and mutual recognition.  In 2014, he was appointed to the Board of the Collateral Management joint venture established between DTCC and Euroclear.

Mr. Douglas joined DTCC from SWIFT where he was Head of the Securities Research and Development Team. During his ten-year tenure at SWIFT, he was instrumental in developing the “Giovannini protocol” which harmonized communication standards among equity post-trade infrastructures in Europe. He was also responsible for the research and development of new business ideas for diverse industry sectors, including insurance, Islamic banking, and carbon trading.

Prior to joining SWIFT in 1999, Mr. Douglas spent two years as Head of the middle office and client service teams for fixed income and money market products at Deutsche Bank’s investment bank, where he led initiatives aimed at eliminating the traditional investment banking vertical product focus.

He started his career in 1988 at Citibank.

Damian Bisseker is a Managing Director of Credit Suisse in the General Counsel division, based in London. He is the Head of Litigation for Europe, the Middle East and Africa. He has responsibility for all litigation, contentious regulatory, employment and regulatory enquiries work in the region.

Declan O’Sullivan advises domestic and international clients in the establishment and authorisation of all types of investment funds including UCITS, hedge funds, property funds and private equity funds. He also represents many leading fund service providers in Ireland, including investment managers, administrators and custodians. Mr. O’Sullivan has advised clients on the rollout of many innovative new products.

Mr. O’Sullivan previously led the alternative investment practice at Dublin firm William Fry. He has been (since its inception) a member and is a former Chairperson of the Alternative Investments Committee of the Irish Funds Industry Association, sits on the Irish industry’s task force on the Alternative Investment Funds Managers Directive and was formerly a member of the European Commission Expert Group on Open Ended Real Estate Funds. He is also a notary public.

Mr. O’Sullivan is ranked as a leading lawyer in his field by the independent legal directory Chambers Europe 2014 and by Chambers Global 2014, which states that he is known for his “brilliant knowledge and contacts” and described as having “his finger on the pulse”.

Vivienne Artz is a Managing Director and Head of International for the IP and O&T Law Group in the General Counsel’s Office in London.

The International team, with lawyers in London, Hong Kong, Singapore and Japan, is responsible for all intellectual property, technology, e-commerce, general commercial/procurement/outsourcin, data privacy, banking secrecy and data security, electronic trading and order routing, and market data legal issues, across all business areas in the EMEA and APAC regions.

Prior to joining Citigroup in 2000, Vivienne worked in private practice in London.

Vivienne chairs the AFME Data Protection Working Group and is an active participant on the E-Commerce Group and the Data Protection Groups at the BBA and CBI, as well as a Steering Committee member for the Technology Discussion Group. Vivienne is co-chair of the Citi Women Network in the UK, and leads the Legal Diversity Committee for EMEA.

Catriona has a wide-ranging competition practice with particular expertise in cartels and contentious competition proceedings. She has led the defence team on a number of European Commission and UK cartel cases. Catriona has acted for both claimants and defendants in actions for damages arising from cartels, both in the Competition Appeal Tribunal and the ordinary courts. She acted for the defendant in an action where access to the leniency application was sought by claimants, successfully resisting that application.  Catriona has acted for a number of clients in the financial services sector, advising on compliance, dawn raids preparation and on the application of competition law to a variety of complex agreements.  Recently, Catriona acted for Skyscanner in its successful challenge to the OFT’s hotel online bookings Decision.

Philip joined Egerton in 2013. He is General Counsel and Chief Compliance Officer, responsible for all legal, regulatory and compliance matters, and is a member of the Management Committee. Prior to joining Egerton, Philip was General Counsel and Head of Compliance at Fauchier Partners, a London-based fund of hedge fund manager which was acquired by Permal in 2013. He previously held the same role at FIM Advisers (2006 to 2010), before which he worked at Citi Private Bank and Barclays Wealth as Legal Counsel. Philip started his career at Linklaters, where he trained and qualified as a lawyer. Philip graduated from the University of Nottingham in 1997 with a B.A. (Hons) in History and subsequently attended the College of Law in Guildford and London.