Practical LawConferences

Fiona Robb is a senior management professional and MBA with 15+ years’ experience of designing and delivering organisational change and service excellence in the professional services sector. Most recently her projects have involved evaluating technologies such as machine learning, robotics and smart contracts to introduce efficiencies into compliance and legal processes.  She is currently leading the project team working on implementing communications surveillance technology within Schroders.

Joseph is an innovator and early adopter of all things computer related. His primary bent is around the future of technology. He also focuses and speaks on several fields including Cryptocurrency, Blockchain, Artificial Intelligence, Cybersecurity, and Robotics (drone technology).

Joseph founded wapUcom, LLP, consulting with companies in web and wireless development. As a side project DC WiFi was created to help create a web of open wireless WiFi access points across cities and educate people about wireless security.

Currently he is with Thomson Reuters Legal managing a team of Technical Client Managers for both the Large Law and Government divisions. Joseph serves the top law firms in the world consulting on legal trends and customizing Thomson Reuters legal technology solutions for enhanced workflows. He graduated from Providence College with a BA in Economics and Sociology and holds a Masters in eCommerce and MBA from the University of Maryland, University College.

You can connect with Joseph at JoeTechnologist.com or JosephRaczynski.com or @joerazz

Julian leads the cross-product MiFID/MiFIR Steering Committee at AFME. Julian has a broad product background in both fixed income and equities. Before joining AFME, Julian worked for Market Axess/TRAX in a senior sales and relationship management role responsible for market participants utilizing MiFID/MiFIR regulatory reporting and trade matching services. Prior to that, he was in senior relationship management in the prime services teams at JP Morgan and Bank of America Merrill Lynch, and prior to that as Head of Membership at the London Stock Exchange. Julian read Economics at The University of Reading and has an MBA from Henley Business School.

Matt advises investment managers, institutional investors, banks and other financial institutions on the regulatory and commercial issues that arise within their businesses.

He advises clients on a wide range of matters including: the interpretation and implementation of UK and EU rules and regulatory requirements (including MiFID II, AIFMD, MAR and PRIIPs); compliance; custody and asset servicing; fund and fund management; and on corporate transactions involving regulated financial institutions.

Matt is a member of the City of London Law Society’s Regulatory Committee, as well as a member of the Financial Markets Law Committee’s Asset Management Scoping Forum.

Carole is the General Counsel and a Director of the Payment Systems Regulator (PSR). Carole has extensive knowledge and expertise in competition, regulatory law, public law in advisory, policy development and litigation contexts. In addition to her General Counsel role she sponsors work relating to Enforcement, Competition, Interchange Fee Regulation and Brexit.

Prior to joining the PSR, Carole was Senior Legal Director, Mergers, Markets and Regulatory Appeals at the Competition and Markets Authority (CMA) where she reported to the General Counsel and to the CMA Board on legal issues arising in mergers, markets and regulation.

Between March 2000 and March 2014 Carole was Deputy Chief Legal Adviser and Head of International at the Competition Commission (CC). She led the successful defence of CC decisions, including appeals by BAA, Ryanair and BSkyB to Court of Appeal. Carole’s earlier experience includes secondment to the Department for Transport in 2009 as Head of Railway Infrastructure and Safety Legal Division; and legal and policy roles at OFWAT and ORR.

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.

Daniela joined Santander UK in October 2015 as its first in-house competition counsel, and has responsibility for managing and overseeing competition law matters across the bank.  Prior to joining Santander, Daniela was an associate at Slaughter and May (London and Brussels) and Shearman & Sterling (London).  Daniela has extensive experience advising and leading projects across all pillars of UK and EU competition law, including merger and market inquiries, antitrust, enforcement, compliance and policy matters.

Kirstina joined the LME in February 2015 as Head of Regulatory Strategy and Government Affairs. In 2017 she moved into her current role as Head of Regulation and Compliance for the LME Group with responsibility for the both the Exchange and Clearing House. In addition to running Compliance, Kirstina is responsible for creating messaging and developing and executing advocacy plans on domestic, European and global legislative files which have the potential to impact the group.

She joined the LME from Bank of America Merrill Lynch where she worked for more than 11 years as Head of UK Government Affairs.

Kirstina has an honours degree in Politics and Economics from Stellenbosch University and a PGDL degree from the BPP Law School in London.

Stuart Corrigall, BlackRock, Director and Head of Product Structuring in EMEA. Product Structuring is responsible for providing regulatory and strategic advice in relation to the structuring and range management of all BlackRock and iShares funds in EMEA, across the UK, Ireland, Luxembourg and Switzerland.

Stuart is a qualified solicitor. He spent a decade in private practice before joining BlackRock from international law firm Eversheds. Stuart has also worked at KPMG and spent secondments with M&G Investments and offshore law firm Mourant Ozannes. Stuart is a UCITS and AIF product structuring and regulatory expert and has advised industry groups, regulators, ESMA and the European Commission on various asset management matters and is a regular speaker at industry conferences.

Stuart holds a Law LLB (Hons) degree from the University of Reading and a LPC Diploma from The College of Law. He qualified as a solicitor in 2003 and is a member of the Law Society of England and Wales.

Andrew joined Hunstwood in 2017 as a Principal Consultant, with particular expertise in payments, fraud and financial crime.

Working at the Payments Council and Lloyds Banking Group Andrew has held programme director roles for two high profile industry-wide strategic initiatives, including leading the Financial Crime Working Group for the Payments Systems Regulator’s Payments Strategy Forum. This role involved working with stakeholders across the payments industry and customer groups and engaging closely with the Payments Systems Regulator to develop high-profile initiatives for the industry, to collaborate in tackling fraud and financial crime.

In his previous role with the UK’s Payments Council (subsequently Payments UK and now in UK Finance) Andrew led a strategic industry ‘Payments Roadmap’ programme setting out a programme for significant renewal of the UK’s interbank payments infrastructure to better meet users’ needs.

Across his career, Andrew is highly experienced in business strategy, product management and regulatory engagement in regulated markets experiencing rapid change driven by technology and digital service innovation.

Pinar Emirdag leads the digital product development and innovation team at State Street. Pinar has worked on a number of industry changing initiatives, building new marketplaces and capital markets offerings throughout her career at London Stock Exchange, ICAP, Liquidnet, Citigroup and Lava Trading which was a successful financial technology firm which was acquired by Citigroup. In the recent years, she has been working on emerging business models and technologies such as peer to peer financial services. She has worked on entrepreneurial initiatives as an executive, founder, advisor and board member. These include Clearmatics, Senahill Partners, R3, Hyperledger, Quantave, UK Digital Currency Association, Complymatic and Mathmoneyfx (now Symbiont). Pinar started her business career at management consultancy, Oliver Wyman. Pinar holds Ph.D and M.Sc. degrees in Physics and a M. Sc. degree in Electrical Engineering from Brown University. Pinar’s research field was development of new numerical techniques in theoretical particle physics. She continues to have academic collaborations and regularly presents at events, conferences, workshops on regulation, technologies and market structures. Most recently, she has been expanding her interest in quantum computing.

As the Global Head, Financial Services RegTech, Risk & Regulatory Compliance Affairs, for Hitachi, Nirvana is the business owner and strategic leader for Hitachi’s Financial Services RegTech business. A thought leader and pioneer in the Financial Services RegTech sector, she is a global compliance, operations and risk expert across multiple FS sector Regs and jurisdictions.

Senior counsel specialising in data protection, digital and mobile customer technologies, cloud applications and infrastructure; Co-managing GDPR implementation in the EU/EEA, Switzerland and Jersey and key advisor on extra-territorial implementation for the retail bank and Citi Private Bank in NAM/LATAM and APAC; Support on vendor agreements for the a wide range of business, technology and data services and products including indices and data licensing
FinTech and Citi Labs R&D regional legal SME. Support in commercial agreement issues (including advice and strategy for service termination). Legal lead on change delivery and global implementation of electronic signatures and documents. Advice on compliance and transaction reporting, assessing risks and safeguarding the institution’s adherence to the regulatory framework. Assisting index licensing and market data negotiations and agreements for the securities bank globally.
Contributor to AFME, UK Finance (Blockchain) and other industry forums and supporting global government affairs in relation to legislative and policy content and impact.

Jonathan joined Aspect Capital in 2008 and in March 2015 was appointed to Aspect’s Executive Board as General Counsel.  He takes responsibility for Aspect’s Legal and Compliance teams and has been Aspect’s Company Secretary since May 2011. Previously Jonathan worked at Slaughter and May. He holds an M.A. in law from City University, London and an M.A. in history from St Hugh’s College, Oxford University.  Aspect Capital is a pioneering systematic investment manager founded in 1997 by Anthony Todd and Martin Lueck who together have over 55 years’ experience of quantitative investing. The company manages over USD7.5bn in a range of systematic investment solutions spanning managed futures, alternative risk premia, currency solutions and multi-strategy.

Flora has responsibility for leading the CBI’s lobbying on issues related to Financial Services and for the CBI’s overall relationship management with the key UK and global players in the financial services sector covering:  asset managers; general insurance; life insurance; retail, corporate & investment banks; market service providers; and ratings agencies.

Prior to joining the CBI in 2014, Flora has worked for the ATM Industry Association and Public Relations Consultants Association.

Flora has degrees in Business from the University of Limerick and in German from the University of London.

Susannah has over 25 years’ wide-ranging experience in international and UK financial services.  A qualified chartered accountant, Susannah began her compliance career at SG Warburg where she became head of European compliance. She was the global head of compliance and a founding employee of Caspian Securities before joining PricewaterhouseCoopers as a consultant. Susannah was also head of international regulatory risk for the Halifax Group and became head of retail regulatory risk for HBOS plc upon Halifax’s merger with Bank of Scotland. Before joining Thomson Reuters, she was head of compliance at GE Capital Bank.

In her role as a senior regulatory intelligence expert Susannah shares her extensive experience with TRRI customers writing some of the most read articles on the site. In particular ’10 Things a Compliance Officer must do’ and ‘5 Key Risks’, articles which have become annual to-do lists and check lists for compliance and risk practitioners. Susannah regularly attracts large audiences at events and webinars and is a much sort after ambassador for TRRI at external events. Susannah was entrusted with presenting at the inaugural Risky Women breakfasts in both Toronto and New York and received great feedback.

Well known and highly respected throughout the industry, Susannah brings a deep understanding of the unique challenges facing today’s risk and compliance professional and articulates the value and benefits that TRRI can bring to them in order to manage and mitigate the daily challenges they face.

Simon Horner is Head of Policy and Innovation at the City of London Corporation. Prior to that he has worked in financial services public affairs, was policy advisor to Mark Hoban MP and worked on education policy at think-tank Policy Exchange.

Sharon Horwitz 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.”

Katy is the Senior Regulatory Counsel at the London Metal Exchange where she focuses on domestic, European and international financial services legislation.  Katy plays an instrumental role in ensuring internal awareness of regulatory change and of managing compliant implementation of new regulation.  Katy is regularly involved in advancing principal advocacy strategies and in projects requiring major business change including MiFID II, the European Benchmark Regulation and Brexit contingency planning.

Prior to joining the LME, Katy was at Travers Smith for 8 years, where she was a senior associate in the Financial Services and Markets Department advising a wide client base on the full spectrum of regulatory and perimeter matters.  Katy focused in particular on the fund management sector and latterly on the introduction and implementation of the AIFMD.

Ashley Kovas has been involved in financial services regulation since the implementation of the Financial Services Act 1986, at which time he was at the Department of Trade and Industry. Subsequently he worked for several fund management companies before joining the FSA in 2000 where he worked on both wholesale and retail policy issues. His last role at the FSA was as Manager of the Collective Investment Schemes Policy Team where he was responsible for almost all aspects of the COLL Sourcebook. He also took an active role as a member of the CESR (now ESMA) Investment Management Expert Group, as well as representing the FSA at IOSCO Standing Committee 5 (Investment Management).

After eight years at the FSA, Ashley became Head of Group Compliance (Funds) in the Prudential PLC Group Compliance Department. After a period as Director of Strategy for the Solicitors Regulation Authority, Ashley was Head of Group Compliance Policy at the Royal Bank of Scotland where he introduced a suite of Conduct Risk Policies effective across the RBS Group.

Ashley is now a Senior Regulatory Intelligence Expert at Thomson Reuters where he analyses and writes on topical regulatory matters.  He also works as an independent regulatory consultant.

Ashley holds Bachelors and Masters degrees in Law from the University of London.  He is a Chartered Fellow of the Chartered Institute of Securities and Investment (CISI) and a Fellow of the Chartered Management Institute.  He is the author of Understanding the Financial Conduct Authority: a guide for senior managers.

Ida Levine is Senior Vice President and Director of European Public Affairs for Capital Group. She is part of CG’s Global Public Policy effort, reporting into its Los Angeles office. In her role, Ida engages with European policymakers on regulatory and other policy issues impacting CG, in coordination with CG’s US Government Relations function.

Ida also serves on the Board of Capital International Limited (CIL), Capital Group’s UK asset manager, and chairs its Audit Committee as a NED.

Before Capital, Ida was European Counsel for JP Morgan Investment Management covering Legal and Compliance, and a Partner at international law firm Jones Day (London and New York) specializing in M&A and Securities Law. She was previously Senior Counsel and Compliance Officer for CG in Europe.

Ida helped organize and sits on the Board of Directors of the Investor Forum – set up by the UK investment industry to facilitate stewardship and a dialogue between UK corporates and their shareholders on corporate governance and other matters. She is Chair of its Operations Oversight Committee (covering Audit/Risk/Regulation). She is also a Trustee and on the Finance Committee of the Royal Academy of Dance (RAD), and chairs RAD’s Development Panel. Ida is Co-Chair of the International Securities Regulation Committee and Chair of the Responsible Investment Study Group of the International Law Association (ILA), and has authored articles for ILA reports on international securities and financial services law and governance matters.

Ida is passionate about the Arts, and is on the Executive Committee of the Benjamin West Patrons of the Royal Academy of Art and a Patron of the Royal Ballet, English National Ballet and the Whitechapel Gallery.

Yukiko Lorenzo is Senior Counsel, Privacy and Data Protection at Mastercard. She is responsible for privacy matters related to Mastercard’s Processing Business in all regions and other business lines. Prior to joining Mastercard, Yukiko worked as privacy counsel for a global bank in London, director for international business planning at an international credit reference agency in Chicago and policy analyst for law firms in Washington, D.C. Yukiko is qualified as a solicitor in England and Wales.

Ian is Head of the UK Financial Services Regulation Team and has more than 20 years’ experience as a financial services regulatory lawyer providing advice on a broad range of matters, including FCA/PRA authorisation, supervision and enforcement. He is a former Head of Department in the Enforcement Division at the financial services regulator, as well as having worked in-house, and advising firms and individuals in private practice.

Ian advises on a broad range of financial services regulatory issues, both contentious and non-contentious. He has significant experience in regulatory investigations, both in enforcement and on the defence side, representing firms and individuals.

Ian’s clients have included banks, asset and fund managers, interdealer brokers, listed companies, senior bankers, traders and Board members. Ian has also provided Skilled Person reports to the regulator.

Ian has significant expertise in advising on market abuse and financial crime issues, both in an enforcement and compliance context. He has also advised on client asset and client money issues.

Ian’s non-contentious practice includes advising on the regulatory aspects of corporate and finance transactions, financial promotions and regulatory perimeter issues, MAR, AIFMD, MiFID II, EMIR, suitability, client money and custody, FinTech/RegTech, senior management responsibility, and advising on cross-border regulatory issues.

Catherine McGuinness is Chairman of the Policy and Resources Committee of the City of London Corporation. As Chairman of the Policy Committee, Catherine is Deputy Chairman of TheCityUK, the promotional body for the UK financial services industry, and the International Regulatory Strategy Group.

She is Chairman of the City’s Courts Sub Committee, the body responsible for the management of the Old Bailey and the City of London Magistrates’ Court, which benefits from her substantive background in the legal sector

She has led the City’s work on education, chairing its Education Board and the City of London Academies Trust. Catherine has also been closely involved with the City’s cultural offer, having chaired the boards of the Barbican Arts Centre and Guildhall School of Music & Drama, and with the City’s relationship with Northern Ireland.

She is on the board of London & Partners, the Mayor of London’s official promotional agency, and a commissioner on the IPPR Commission on Economic Justice.

A solicitor by training, she practised in financial services law for several years.

Catherine studied PPE at St Anne’s College, Oxford.

Alexander Metcalfe is the Head of Public Sector Policy in the Professional Insights team at ACCA. He leads on developing thought leadership for the public sector and represents ACCA at senior global member forums.

Alexander has previous experience in the UK and Canadian Civil Service, including working as a Senior Economist – specialising in tax policy – at the Ontario Ministry of Finance in Canada.  He has frequently given evidence to UK committees and ministerial roundtables, and was a member of the Home Office Employers’ Representative Group on EU Exit. His published research includes work on the labour and skills needs of small firms after Brexit, as well as economic analysis on the cumulative cost of government policy on small firms.

He studied at Oxford, Cambridge and Queen’s universities.

Richard Middleton is Managing Director, Co-Head of Policy Division.

The Policy Division covers key areas of Regulatory Compliance, in particular Data Protection, Conduct (including Financial Crime), Operational Tax Compliance, and Financial and Tax Reporting and Disclosure.

Prior to joining AFME, Richard held leadership positions at EY, Bear Stearns and GE.

Richard has an MA and a DPhil in Mathematics from Oxford University.

Nicola Northway is a partner in Baker McKenzie’s London office. An experienced competition lawyer, she was named among Global Competition Review’s Women in Antitrust in 2017.

Before joining the Firm, Nicola was managing director of the global competition team at Barclays Bank, coordinating advice and strategy for all competition matters in 50 jurisdictions. She was also general counsel at the UK Office of Gas and Electricity Markets (Ofgem) for three years. Prior to that, she was in private practice. Nicola was called to the bar in 1989 and during her training worked in the legal service of the European Commission and in the Chambers of the British Advocate General at the European Court of Justice in Luxembourg.

Joanna Perkins serves as Chief Executive of the Financial Markets Law Committee (“FMLC”) and is also self-employed as a barrister in independent legal practice at South Square.

Before joining the FMLC in 2004, Joanna worked for the Law Commission and managed a project on unfair contract terms.  She has held lectureships at Durham University, Paris II (Panthéon-Assas), Université de Paris and Birkbeck College, University of London.  She has published articles on, inter alia, financial law, financial markets regulation and the conflict of laws.  After completing a Doctorate in Law at Oxford University, where she worked as a college lecturer, Joanna was called to the Bar in July 2001.  She recently served as a Non-Executive Director of ICE Benchmark Administration Ltd and Chair Person for the Oversight Committee of ICE LIBOR.

Johanna Pimentel is currently an Executive Director and the EMEA privacy counsel for J. P. Morgan. Prior to joining J.P Morgan in 2013 she has held similar roles at Ericcson, Western Union and Orange. She has been focusing on Privacy for over 10 years, with broad experience concerning large multinationals in the areas of IT and Telecoms, E-commerce, Mobile, Mobile payments and financial sector on both B2C and B2B offerings. Johanna is participant on Data Protection Groups at AFME, BBA and CBI, as well as a Data Protection and London Committees of the Society for Computers and the Law.

Louise joined AFME in July 2017, as Director, Compliance. Previously, Louise spent six years at the Financial Conduct Authority, most recently engaged in their implementation of the Markets in Financial Instruments Directive II. Louise has also worked in legal and regulatory policy roles at the Electoral Commission, the Crown Prosecution Service and Ofcom.

In her current role she is focused on issues of interest and relevance to Compliance functions at Member firms’.  Topics include: Conduct & Culture, Governance,  MiFID II, MAR, the Short Selling Review, Surveillance and Monitoring, and other ad hoc issues.

Penny Sanders has been supporting clients in the financial services industry since 2001: from initial considerations of whether a business needs authorisation to operate, through the authorisation process to acting as trusted adviser on regulatory matters as the firm gets down to the business of building profits and a sound reputation.

Penny’s clients include investment and retail banks, insurers, exchanges, platforms, fund managers and intermediaries, challenger banks, blockchain startups, ICO issuers and retail credit providers.

An active Member of the Chartered Institute of Securities and Investment and industry working parties, Penny remains immersed in the financial services sector as it evolves under the impact of European, UK and global regulation.

Penny was recognised in 2017’s prestigious Acritas Stars database as a ‘star lawyer’.

One of the most interesting opportunities I have had was to work with the authorities in Mongolia to set up the legal framework to govern their developing stock market. We started from scratch and developed the law to govern the buying and selling of securities and the rules for the stock exchange to run by. Similarly the new world of ICOs and cryptocurrencies is pushing the regulatory boundries for our team and our clients.

John has defended and prosecuted complex casework, including serious economic crime, since 1997. In 2006, after working in private practice, John joined HM Crown Prosecution Service Inspectorate (HMCPSI). He led inspections of the CPS and the Serious Fraud Office, which he subsequently joined in 2014 as Head of Policy.

In January 2017, John joined the CPS Specialist Fraud Division as a Unit Head in the London Office, and in October 2017 he was formally appointed Deputy Head of Division, responsible for the Birmingham and Leeds offices.

Mr. Sholem is counsel in Davis Polk’s Corporate Department, practicing in the London office. His practice focuses on the supervision and regulation of banks, investment firms, insurance companies and asset managers, including in connection with new authorizations, changes of control, corporate governance and regulatory investigations. His practice has also included advising non-financial groups on the impact of new regulation, with a particular focus on market infrastructure.

Mr. Sholem also has extensive experience advising clients on developments in European Union laws, rules and policies affecting financial institutions.

Ioana Surpateanu is Director for Government Affairs in Citi’s government affairs team for Europe, Middle East and Africa. She follows several policy and regulatory issues, with main focus on FinTech, data privacy, data economy and digital trade. She is based in Brussels. She is also Vice-Chair of the European Parliament Outreach Taskforce within AmCham EU.

Ioana joined Citi in 2017, from the European Parliament.

Prior to joining Citi, she was Senior Political Adviser responsible for the Working Group on Budget and Structural Policies in the Cabinet of the Vice-Chairman of the European People’s Party (EPP) Group in the European Parliament. She was in charge of coordinating the legislative and parliamentary work of over five Parliamentary Committees as well as liaising with EU Institutions and media on issues related to the EU budget and Investment, Digital Agenda and Economy, Research & Innovation and EU Structural and Cohesion policies.

Ioana was formerly in charge of the EPP’s European Neighbourhood policy (Eastern Europe and South Caucasus) and the Foreign Affairs Committee in the European Parliament.

Before joining the European Parliament, she was a Communications specialist in the political department of the Israeli Embassy in Bucharest. Her professional portfolio includes collaborations with various companies from Europe and the Middle East.

Ioana received two MA degrees from the University of Bucharest and the University of Tel Aviv and a BA in Political Science and History.

She speaks five languages (RO, EN, FR, ES, Hebrew).

Malcolm Wright was Chief Compliance Officer at Revolut, a leading UK FinTech offering a pre-paid debit card, currency exchange, cryptocurrency exchange and peer-to-peer payments. He previously worked as Global Head of AML and Fraud Transaction Monitoring at Thomson Reuters, and holds the ICA International Diploma in AML. Malcolm sits on Research Advisory Board of the Future of Financial Intelligence Sharing programme as well as the UK RegTech Council.