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Editorial board
- Gareth Adams
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Gareth Adams is currently chairman of the general regulations committee of the UK Investment Management Association and a board member of ALFI, the Luxembourg fund association. A regular speaker and commentator of regulatory affairs, Gareth has acted as an expert witness for the authorities and is a member of various EU working groups in the asset management arena.
In 1987 he joined Investment Management Regulatory Organization, the then fund management regulator, where he worked on a variety of inspection and policy matters as well as more high profile investigations such as Barlow Clowes. In 1990 he moved to the HSBC as compliance co-ordinator for its European businesses. With the acquisition of Midland Bank plc, he became group compliance co-ordinator for the HSBC Group. After a spell heading up Midland Bank's group compliance he moved to Fidelity International in summer 1996.
Gareth joined initially as director of the European compliance function, adding the Far East and Japan portfolios a few years later. In 2002 he was asked to set up a new global oversight function combining compliance, internal audit, risk and investigations. An executive director since 2000, Gareth now advises Fidelity International's global operating committee and other senior managers on strategic and policy issues in the face of an unremitting stream of new regulation.
- John Ahern
John Ahern has extensive experience of financial services regulation in the UK and Europe. He advises banks, investment firms and other industry participants on a broad range of regulatory issues including the establishment of new businesses, applications for FSA authorization, development of products and services, and compliance with regulatory obligations. John is admitted in Ireland and England and prior to joining DLA Piper, was in-house counsel to Merrill Lynch for a number of years.
- Daren Allen
Daren Allen is a Partner and Head of DLA Piper's Financial Services team.
Daren has a great deal of experience in acting for financial institutions and corporations in relation to complex regulatory investigations and enforcement proceedings.
Daren regularly advises on matters relating to fraud, corruption, and money laundering. He advised the Joint Money Laundering Steering Group on the 2006 revised Guidance Notes for the financial sector and acted in the reported case of Squirrel Ltd v National Westminster Bank [2005] CWMC 664 (ch) and K Limited v National Westminster Bank [2006] CWCA Civ 1039.
- Paul Anning
Paul Anning is a partner and head of Osborne Clarke's financial services practice. After six years as a partner in Lovells' financial institutions group, Paul joined Osborne Clarke in November 2005 to head up its financial services practice. Paul is a specialist financial services lawyer and advises on the full range of legal and regulatory issues affecting businesses providing or promoting financial services within the UK, with a particular focus on securities regulation and financial services market infrastructure. He has a broad range of experience, including experience of transactions and establishing private equity and property funds. He also has considerable knowledge of the payments industry and pension fund investment work.
- Anthony Belchambers
Anthony Belchambers is a barrister and currently chief executive of the Futures and Options Association. Previously he served as General Counsel for the UK Joint Exchanges Committee (JEC) where his responsibilities included co-ordinating exchange activities and lobbying on behalf of the London-based derivatives markets in relation to international, EU and UK regulation and taxation issues. Prior to joining the JEC, he held the position of company secretary and general counsel to the Association of Futures Brokers and Dealers (AFBD), where he played a major role in securing the licensing of the first UK regulatory authority to cover derivatives and drafting the UK regulations for derivatives.
He is a member of the court of the Guild of International Bankers (GIB) and a co-founder of both the Alternative Investment Management Association (AIMA) and, in its original form as an intergroup of the EU Parliament, the European Parliamentary Financial Services Forum (EPFSF). He initiated the establishment of the UK Parliament's associate parliamentary group on wholesale financial markets and services and sits on a number of financial service groups and committees.
- Peter Beales
Peter Beales is the secretary for the London Investment Banking Association (LIBA) and is also the director responsible for legal and compliance issues. He has led the association's work on many aspects of the Financial Services and Markets Act and related legislation, and has acted as secretary to the FSMA Legislation City Liaison Group which represents leading trade associations and City law firms. Previously he worked for the Unit Trust Association (now Investment Management Association), the British Bankers Association and the Bank of England. From 1985-1987 he was seconded to the office of the Permanent Representation of the United Kingdom to the European Union in Brussels as first secretary economics and finance. Since June 2002 he has been a member of the Financial Markets Law Committee.
- Peter Bibby
Peter Bibby is a partner in Bingham McCutchen's broker-dealer group. He leads the firm's financial regulatory practice in its London office. He focuses his practice on advising clients on all aspects of the UK financial regulatory regime. Over the past fifteen years he has advised on most of the major UK financial regulatory enforcement actions. Clients include major financial institutions, such as banks, brokerages, insurance companies, investment advisers and regulatory bodies. He is also a member of the firm's financial services and insolvency litigation, securities litigation and white collar crime and business regulation practices.
- Nick Bugler
Nick Bugler is a partner at LeBoeuf Lamb, Greene & MacRae. Nick advises on a wide range of issues affecting the insurance and reinsurance industries. In recent years he has advised on major corporate transactions, including complex reinsurance arrangements between seller and buyer; the restructuring of an insurance group's run-off business, including the cross-border transfer of a reinsurance portfolio into the UK; transfers under Part VII of the Financial Services and Markets Act 2000; loss portfolio transfers and security arrangements offered by reinsurers; the provision and drafting of "qualifying quota share" arrangements for syndicates in the Lloyd's market; investment management agreements; and claims outsourcing agreements.
From 1987 to 1997, Nick worked for the Corporation of Lloyd's. He spent five years in the solvency and reporting department, where he was responsible for policy development on matters of security affecting Lloyd's, and five years in the legal services department, where his work included assisting on the Lloyd's reconstruction and renewal project.
- Linda Busby
Linda Busby joined Raymond James in 1995 and was appointed the Compliance Anti-Money Laundering Officer in 2002. Prior to her AML efforts, she supervised the firm's Treasury Department where she developed internal controls and AML training. A 1995 graduate of Bentley College, Waltham, MA with a Masters of Science in Accountancy, she is a Certified Public Accountant. She also holds an undergraduate degree in biology and chemistry from Rhode Island College, and did graduate study in the sciences at Vanderbilt University. Linda is a member of the Securities Industry Association (SIA) AML Committee, actively participates in other industry AML groups, and served as President and Chief Information Officer of the Tampa Bay Association for Financial Professionals.
- Andrew Clark
Andrew Clark specializes in the investigation of fraud and financial crime and is the head of the PricewaterhouseCoopers Investigations practice in the UK. He is one of the global leaders of PwC's anti-money laundering services. He has acted for various financial institutions and regulatory authorities and his team is regularly instructed by the Financial Services Authority. He has extensive experience in the banking and financial services sector and regularly gives presentations to the industry on anti-money laundering techniques.
- Siän Dalrymple
Siän Dalrymple is head of equity capital markets compliance at Deutsche Bank. Siän left Bank of America in summer 2006 where she was responsible for investment banking and the control room in EMEA and the continental offices. Prior to that Siän was globally responsible for corporate finance, ECM, client coverage and control room compliance at ABN AMRO Bank, having joined the firm in May 2000. During this time she was also the Global Head of Compliance for ABN AMRO Rothschild, the equity capital markets joint venture between the Rothschild and ABN AMRO groups. Previously she held compliance positions with Schroders, Société Générale and Guinness Mahon (now Investec) covering corporate finance, research, banking, private equity and capital markets.
- Cynthia Dowling
Cynthia Dowling is currently the General Counsel and Chief Compliance Officer of SEB Enskilda, Inc, a firm specializing in Scandinavian securities for US institutional investors. She was a Compliance Manager at GE Asset Management from January 2005 and was named Chief Compliance Officer of GE Investment Distributors in August 2005. From April 2004 through December 2004, she worked on special projects related to Sarbanes Oxley for Deloitte & Touche. Between October 2001 and April 2004, she was a Field Compliance Supervisor of the New Jersey Market Group of American Express Financial Advisors. She has also worked in private practice as an attorney specializing in Financial Services and Banking from July 1998 to October 2001. Dowling also worked as a Compliance Officer with Citibank N.A., between 1995 and 1998, specializing in Anti-Money Laundering measures and surveillance in their Trade Services Division for African Financial Institutions.
- Nick Gibson
Nick Gibson is director of compliance solutions at Chase Cooper, an operational and enterprise risk management firm. Nick heads a business-oriented compliance practice centred on compliance function development, integration and change management, principles-based compliance and governance, risk and compliance. His team deal with conduct issues and problem resolution, regulatory relationship management, practical compliance technology selection and implementation. His team are also responsible for example-based compliance training up to board level using multiple delivery mechanisms, and the development of dynamic, commercial compliance monitoring solutions.
Nick has over 20 years of regulatory compliance and training experience, initially as a regulator with the Securities and Futures Authority and its predecessors, and subsequently with ABN AMRO compliance functions. He is responsible for UK, European, global wholesale, global equity and group compliance activities and is widely acknowledged as a European expert on principles-based compliance, and on the practical implementation and impact of the Markets in Financial Instruments Directive.
- Simon Gleeson
Simon Gleeson is a partner with Clifford Chance. Simon is a former stockbroker who has particular expertise in the regulation of the securities and financial markets and also specializes in prime brokerage, investment vehicles and bank capital regulation. Simon was on secondment to the FSA in 1999 and early 2000, assisting with the preparation of the new market abuse regime in the UK. Among his many publications is "Financial Services Regulation: the New Regime."
- Tim Goggin
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Tim Goggin is a partner in Lovells' financial institutions group. He specializes in corporate and regulatory advice to insurance industry clients including mergers and acquisitions, re-organizations, joint ventures and authorizations. The 2004 and 2005 editions of the Legal 500 refer to Tim as being recommended for non-life insurance corporate and regulatory work. Tim joined Lovells in 1994 and became a partner in 2003.
- Jonathan Herbst
Jonathan Herbst is a partner at Norton Rose. He is an expert in UK and EU financial services law and regulation and provides specialist advice relating to hedge and other funds, investment management and custody and the regulatory aspects of acquisitions and disposals. Jonathan joined the London practice as a partner in the financial services group in October 2002 and was previously head of European law at the Financial Services Authority.
Jonathan also has experience of advising on contractual and regulatory structures for hedge and other funds, limited partnerships, investment managers, automated trading systems and other financial services businesses.
- Ben Hur
Ben Hur joined the financial services industry in 1977 moving into compliance in 1988. Ben has worked for several major companies including: Abbey Life (11 years), as group compliance officers at Royal Bank of Scotland (two years) and as ombudsman's assistant at the Insurance Ombudsman Bureau as well as a compliance manager for a large IFA network.
Ben has spoken at many conferences, including: The British Bankers' Association annual fraud conference, the Securities Institute anti-money laundering conference, the Financial Times business financial crime conference, the Annual MLRO convention and many more. Ben is currently the MLRO and compliance officer for NIB Investments where he has been for over four years. Ben was voted: "Best MLRO of the year 2004" at the Annual Compliance Register Awards evening.
- Andrew D. Kaizer
Andrew D. Kaizer has focused on securities and commodities enforcement, white collar investigations and criminal defense, and complex commercial litigation for well over twenty years. He is a member of McDermott, Will & Emery's Trial Department and Head of its SEC Defense Group in the firm's New York office, concentrating on securities and commodities enforcement, white-collar criminal defense, internal and governmental investigations in the U.S. and abroad, and complex commercial (including RICO and class action) civil litigation. His practice has included counseling and trial representation of institutions and individuals in connection with the regulation of: private, investment, and commercial banks; investment companies and their advisors; broker-dealers and their associated persons; accountants' independence and professional responsibilities; antitrust investigations of a variety of industries; and a wide variety of commercial disputes involving, for example, computer crimes and theft of trade secrets, and complex real estate financings.
- Anthony Leitner
Anthony Leitner's expertise is in securities and futures regulation, with a particular focus on broker-dealer regulation including market structure and risk management. Tony is currently a Securities Regulatory Consultant and Attorney at his own firm, but previously he worked at Goldman Sachs for 24 years as counsel where he reached MD status, advising the Equities Division and the Derivatives Practice Group.
- Nancy Lininger
Nancy Lininger is the founder of The Consortium (Camarillo, CA), providing compliance and marketing consulting to Investment Advisors and Broker/Dealers, and publisher of the CompliancE-News. Nancy calls herself a "Professional Weightlifter" as she lifts the burden of compliance and marketing off your shoulders (www.liftburden.com). She has worked in the Financial Services Industry since 1978, beginning her career as a stockbroker, doing marketing and sales. Starting in 1983, she began to focus on compliance, and played a key role advising the day-to-day operations of a Broker/Dealer and Registered Investment Advisor. She started The Consortium in 1989, working with multiple firms on registrations, on-going compliance, and marketing. She has held the NASD (now FINRA) license for General Securities Principal, and completed the Paraplanner program through the College for Financial Planning. Membership is maintained in the Financial Services Institute, National Society of Compliance Professionals, and she is Past President for the Ventura County Chapter FPA.
- Michael Littenberg
Michael Littenberg is a Partner at Schulte Roth & Zabel in New York. His practice areas include: Securities Law and Capital Markets; Venture Capital/Minority Investments; Mergers and Acquisitions. He also does general corporate work, including: Representation of U.S. and non-U.S. issuers, investment banks, investors and boards of directors in connection with U.S. and global capital markets transactions and ongoing U.S. securities law and securities exchange compliance matters. Representation of issuers and investors in structuring, negotiating and documenting venture capital transactions and other minority investments, including transactions involving common stock, preferred stock, LLC interests and convertible debt, and including "PIPES". Representation of acquirers (including leveraged buy-out funds), sellers, special committees and financial advisors in connection with U.S. and cross-border mergers and acquisitions of private and public companies. Representation of clients in day-to-day general corporate and securities law matters and compliance. Counseling U.S. and non-U.S. emerging companies in developing and implementing capital raising strategies. Joint ventures, licensing arrangements and other corporate collaborations.
- Tim O'Neal Lorah
Tim O'Neal Lorah is an Executive Director and the Global Head of Morgan Stanley's Anti-Money Laundering (AML) Compliance Group, where he oversees development and implementation of the Firm's global AML Program. Prior to joining Morgan Stanley, Tim was a senior litigation associate at Schulte Roth & Zabel LLP in New York, where he practiced primarily in the area of regulatory enforcement litigation. Also he advised financial institutions on various matters relating to Bank Secrecy Act/USA PATRIOT Act compliance. In addition, he practiced in other AML, suspicious activity, OFAC and corporate compliance issues. He graduated magna cum laude from New York Law School, receiving the Alfred L. Rose Award for overall excellence. Upon graduation, he clerked for the Honorable Howard A. Levine, Associate Judge, New York Court of Appeals. Tim also served as a member of the U.S. Delegation to the U.S. - Dutch Pilot Project Joint Working Group on Terrorist Financing, Financial Crimes and the Implementation of Blocking Orders, hosted by the U.S. Department of the Treasury. He is currently a Securities Industry Representative to the U.S. Treasury Department's Bank Secrecy Act Advisory Group (BSAAG), and co-chairs the BSAAG Subcommittee on Suspicious Activity Reporting.
- Paul Martin
Paul Martin is a chartered accountant whose career spans some 35 years in the City of London. He has been a director of the London Investment Banking Association for four years. His career has included 14 years in compliance covering stockbroking, investment management and private banking, four years in his own financial consultancy and retail business, and 11 years in administration and corporate finance with a major UK stockbroking firm.
- Helen Marshall
Helen Marshall is a financial regulatory partner in Bingham McCutchen's London office. Helen spent nine years at the Securities and Investments Board/Financial Services Authority, including roles as head of enforcement law & policy and head of forensic investigation. She was responsible for major investigations and was involved in developing the FSA's own procedures implementing FSMA . On leaving the FSA in 2003 she became a partner at DLA Piper, and joined Bingham McCutchen in 2005.
She has acted in a wide range of regulatory investigations and enforcement proceedings, and advises on all aspects of the financial services regulatory framework.
- Ian Mason
Ian Mason joined BLG as a partner in the Financial Services and Regulatory team in 2006. He now heads the team. He was previously Head of the Wholesale Group in the FSA's Enforcement Division. Ian has extensive experience of managing complex FSA investigation and litigation relating to insurance, financial crime, banking, market abuse and other contraventions requiring enforcement action. Ian led the team that produced the original Enforcement manual part of the FSA Handbook, as well as developing the internal processes and procedures used by FSA staff in investigations. Ian's practice focuses on advising and representing firms and individuals facing FSA enforcement action, as well as also providing general compliance advice on FSA issues. He advises a broad range of financial institutions including hedge funds, stockbroking firms, banks and insurance and reinsurance companies. Ian has also advised the regulator and firms on AIM investigations and enforcement. Ian has led major corporate investigations for clients (often in the context of potential action by the regulator). Ian is identified as a leading individual in his field in Chambers & Partners, 2008, being described as a "quality practitioner with extensive experience" and is recommended in the Legal 500, 2008-9 for FSA Enforcement work.
- Joseph McGill
Joseph McGill is Chief Compliance Officer at UBS Global Asset Management and is responsible for all U.S. and Canadian Compliance matters. Prior to this he was Vice President and Assistant General Counsel for J.P. Morgan Fleming Asset Management where he was responsible for U.S. legal and compliance advisory issues. Prior to joining JPMIM, he was a Vice President with Goldman Sachs Asset Management where he was responsible for U. S. institutional compliance. He also served as Vice President, Chief Compliance Officer and Counsel to J. & W. Seligman & Co. Incorporated. While at Seligman, he had overall compliance responsibility for several affiliated companies including a mutual fund family, two limited purpose broker-dealers and three registered advisory firms. Prior to that, he was the Assistant General Counsel at Prudential Securities Incorporated. At Prudential, he represented the firm and its representatives in commodities arbitrations as well as investigations and proceedings initiated by the SEC, CFTC and other regulatory organizations. He also has experience as a Securities Examiner at the NASD (now FINRA) and a Compliance Analyst at E.F. Hutton & Co.
- Katie Morrison
Katie Morrison is head of equity capital markets and mergers & acquisitions compliance at ABN AMRO. Previously she was director in the compliance department at Deutsche Bank AG, responsible for global corporate finance. Prior to this, Katie spent four years covering the bank's equity department.
- Richard M. Nummi
Richard M. Nummi is the Chief Executive Officer of Nummi & Associates, P.A. ("NAPA"), a financial services consulting practice. Nummi and his partners established NAPA as a result of numerous requests from prospective clients who wished to engage a financial services consulting firm that had built in attorney-client privileges. Prior to NAPA, he was GunnAllen's CCO, Executive Vice President and Corporate Counsel. Preceding GunnAllen, Nummi served as a Senior Attorney at the United States Securities Exchange Commission, where he was instrumental in the development of numerous examinations and sweeps. His earlier career included increasingly senior roles in compliance, legal and corporate governance within such prominent financial services firms as Jefferson Pilot Financial (VP, CCO), Zurich-Kemper (IFC, CCO, VP), Dean Witter Reynolds, the Legal PC and West Publishing.
- Denis O'Connor
Denis O'Connor is a fellow of both the Institute of Chartered Accountants and the Securities & Investment Institute who has spent most of his professional career in the investment banking sector. After performing a variety of finance roles, Denis moved to this field, where he now specializes in AML issues. Denis is a member of the British Bankers' Association's money laundering committee.
- Andrew Palfrey
Andrew Palfrey is Director of Risk & Regulatory Services at Enterprise Learning, a firm specialising in risk and change management within clients in financial services. Prior to joining Enterprise Learning in 2007 Andrew worked for 17 years at KPMG, the last 12 of which were spent in KPMG's Risk Advisory Services business advising and assisting financial sector clients on a wide range of regulatory and compliance matters. This includes: assessing and implementing effective and sustainable compliance solutions, conducting regulatory investigations and reviews as well as broader enterprise risk management techniques. Andrew has also advised clients on TCF, ARROW preparation, suitability of advice and T&C. His experience primarily covers the retail financial sector (life, pensions, life / general insurance and retail banking) with secondary wholesale markets experience (investment management, investment banking and securities) in both the UK and Australia.
- Mike Parker
Mike Parker is director of regulatory affairs at Deutsche Bank in London. Mike is responsible for identifying and analyzing regulatory initiatives that will affect Deutsche Bank and its UK and Western European operations. This involves liaison with senior management and the relevant business areas and also ensuring that the bank's interests are represented and communicated to trade associations, government and other external parties. Formerly with the Financial Services Authority as a manager of EU and international policy, Mike represented the FSA in negotiations on European Directives on financial services. Responsibilities included the Markets in Financial Instruments Directive (as UK member of the Committee of European Securities Regulators expert group on intermediaries and previously Forum of European Securities Commissions).
- Alex Peterkin
Alex Peterkin is a director and founder of FSA Solutions. She has extensive experience of regulatory consulting, which she gained through her work with Mazars, Deloitte & Touche, FSA Solutions and the RWA Group. Since 2001, this has involved helping clients to respond to the challenges posed by the consolidation of several regulatory regimes into a single regulator for the UK. Peterkin has also assisted clients with the cultural differences that these changes have created. Having had direct experience of working with the Financial Services Authority, including a short secondment to the policy team, she regularly writes, edits and contributes articles on insurance regulatory matters.
- Tim Plews
Tim Plews is the joint head of Clifford Chance's London finance and capital markets practice. He specializes in financial markets law and regulation, financial institution mergers and acquisitions, and the development of new products.
- Andrew Podd
Andrew Podd is the European regulatory counsel and regulatory affairs director at GE Capital Europe. He works with both the GE Consumer Finance and Commercial Finance businesses and has responsibility for coordinating and managing GE Capital's relationships with its main financial supervisors across Europe. He was previously the regulatory compliance director for group compliance at Barclays, a post he took up in 2002. Prior to joining Barclays, Podd was at PricewaterhouseCoopers, where he worked in both London and New York in a variety of audit and consulting roles, most recently as a director in its regulatory consulting practice.
- Susan Puddephatt
Susan Puddephatt is Risk & Compliance Director at Cattles Plc. Susan joined Cattles in mid-2008 and is responsible for regulatory compliance within the newly established Savings Division and for group governance and operational risk management arrangements. She is a former banking regulator, having worked for the Reserve Bank of New Zealand and the Bank of England. Prior to joining Cattles, Susan was Group Director Enterprise Risk Management at RSA Group and before that she worked as a regulatory consultant for KPMG where she advised on a range of regulatory compliance and risk management issues.
- Viv Pyne
Viv Pyne is an independent compliance consultant with over 17 years' experience in the financial services industry, including working for the regulator and for the regulatory consulting unit at PricewaterhouseCoopers. He now runs his own consultancy providing support and advice for a number of leading firms, primarily in the insurance sector. Viv specializes in risk-based compliance policies and procedures at group level, together with training and competence practices for a wide variety of firms across the financial services sector.
- Harriet Quiney
Harriet Quiney is a solicitor at Fishburns. Harriet has considerable experience dealing with professional negligence cases involving financial advisers, trustees, pension benefit consultants, accountants and solicitors. In particular, she specializes in claims against firms regulated by the Financial Services Authority, including defending firms and individuals in FSA enforcement proceedings and advising on skilled persons' reports. Harriet is also an expert in Financial Ombudsman Service procedure and practice and has drafted policy wordings for regulated firms.
- Barnabas Reynolds
Barnabas Reynolds is head of the European financial institutions advisory group at Shearman & Sterling LLP. He advises banks, investment banks, fund managers, custodians, exchanges, clearing and settlement systems, insurers and reinsurers on the most complex and innovative aspects of their business in the London and continental European markets.
- David A. Rich
David A. Rich spent his first fifteen years in the Securities Industry at various market surveillance and regulatory posts at the Pacific, Philadelphia, and, New York Stock Exchanges. He thereafter spent 12 years at Jefferies & Co., Inc. from which he departed as Co-Director of Compliance in 2005 before working as the surveillance director for the US capital markets area at Merrill Lynch. He is currently working as a special project associate in Compliance at Susquehanna International Group. David has served on various industry committees and is the founder of the MidTown Regulatory Group, an ad hoc compliance group now entering its 12th year.
- Lisa Roth
Lisa Roth is President of ComplianceMAX Financial Corporation, a San Diego based regulatory compliance company that provides consulting services and compliance technologies to more than 300 firms in the financial services industry. She presides over the ComplianceMAX Financial Institute, the company's primary strategic and regulatory content resource. She has been in the securities industry since 1990, serving in various executive capacities with firms including First Allied Securities, Corporate Securities Group and Royal Alliance Associates. Currently, she is President of the National Association of Independent Broker Dealers (NAIBD), and has served on the board of directors since 1996. She has also been a member of the NASD (now FINRA) Board of Arbitrators for over 10 years.
- Nigel Rudkin
Nigel Rudkin is the Head of Anti-Money Laundering, Area Europe, Intesa Sanpaolo and the Chairman and founder of the MLRO Focus Group. The MLRO Focus Group is an independent group of MLROs and those working in anti-money laundering in the UK. He has been involved in anti-money laundering since 2000 and has been the MLRO in three different banks since then. He has spoken at a number of AML events for various AML Compliance training companies and is also the author of the Retail banking chapter of "A Practitioner's Guide to International Money Laundering Law and Regulation."
- Deborah Sabalot
Deborah Sabalot is a qualified English solicitor and US lawyer with over 18 years of experience in advising a wide range of financial sector clients on UK and international banking and financial services regulatory and compliance issues. She is the principal in her own law firm providing legal and regulatory advice to clients on a wide range of banking and securities topics and works with them on various regulatory projects. She has recently been working as a consultant to the FSA on MiFID implementation matters.
Deborah is the consultant editor of the Butterworth's Financial Services Law Handbook, the eighth edition of which was published in 2007, and she has contributed to a number of books and many articles including a chapter to Blair and Walker, Financial Services Law recently published by Oxford University Press. Deborah has also served as a member of the FSA's Working Party on Client Money and Assets and she has contributed to working groups of the Financial Markets Law Committee and its predecessor, the Financial Law Panel.
- Bharat Samani
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Bharat Samani is director, compliance at Dresdner Kleinwort Wasserstein with responsibilities for regulatory developments, risk assessment, registrations and various group compliance activities. Bharat was the director responsible for the N2 implementation at DrKW.
Bharat's career in compliance has spanned over 17 years with the following institutions: Citicorp Scrimgeour Vickers, UBS and CIBC World Markets, where Bharat was managing director and head of European compliance.
- Betty Santangelo
Betty Santangelo is a Partner at Schulte Roth & Zabel LLP where she specializes in white collar criminal defense and securities enforcement, and has nationally recognized expertise in corporate compliance issues, including anti-money laundering, OFAC and FCPA. Her practice includes representing financial institutions and individuals in various matters before the U.S. Attorney's Office and various regulatory agencies, including the SEC, the CFTC, the NYSE and the NASD (now FINRA). She advises financial institutions on their anti-money laundering/OFAC procedures; and conducting internal investigations. Santangelo has also served as an Independent Consultant in SEC enforcement matters. She previously served as First Vice President and Assistant General Counsel for Merrill Lynch, where she had responsibility for representation of the firm and its employees in regulatory litigation before federal and state regulatory agencies. This included criminal matters before the U.S. Attorney's Office and state prosecutors, and in foreign jurisdictions. Prior to Merrill Lynch, she served as an Assistant U.S. Attorney for the Southern District of New York, specializing in securities and commodities fraud prosecutions. She has published numerous articles and book chapters on anti-money laundering compliance and securities enforcement issues.
- Kathleen Scott
Kathleen Scott brings a combination of state and federal government experience to her position as Counsel with the New York office of White & Case LLP, where she concentrates on bank advisory matters. She provides legal advice to foreign and domestic banks on a broad range of regulatory issues. Scott also counsels banking organizations and other financial institutions on their compliance with both federal privacy and federal anti-money laundering legislation and regulations. In addition, she provides U.S. bank regulatory assistance to the Firm's transactional practice groups around the world. She previously worked for the New York State Banking Department, where she was the senior staff attorney focusing on international banking matters. Her career began at the United States Department of the Treasury, in the legal division of a Treasury bureau and then in the Office of the Assistant General Counsel for Enforcement, where she concentrated on financial enforcement matters such as anti-money laundering statutes and regulations. She is also admitted to the New York State and District of Columbia bars.
- Katharine Seal
Katharine Seal is a director at the London Investment Banking Association, the principal trade association in the United Kingdom for firms in the investment banking and securities industry which base their European activities in London. Katharine's particular focus of attention is on risk management and regulatory issues in the prudential field. She has extensive supervisory and policy experience ranging from the Bank of England and the Financial Services Authority to the European Commission, where she was a national expert in banking. Katharine joined LIBA in 2001.
- Andrew Sowter
Andrew Sowter has worked at Deutsche Bank since April 2004. As the acting head of UK region compliance he is responsible for coordinating the bank's compliance coverage throughout the UK. He is also responsible for its ongoing regulatory relationship with the Financial Services Authority on all aspects of risk assessment, specific risks, special enquiries and policy initiatives. In addition to this role, Andrew is also the head of equities and ECM compliance for Deutsche Bank AG London. Andrew joined Deutsche Bank from Bear, Stearns International Ltd, where he was head of compliance for a number of years. Prior to this Andrew worked for 13 years for the Financial Services Authority and some of its predecessor bodies, in various supervision and, particularly, enforcement roles. Latterly he was head of Securities and Futures Authority investigations and responsible for the oversight of various corporate and individual enforcement enquiries.
- Stephen Sussman
Stephen Sussman has been President of Regulatory Compliance (f/k/a Broker Dealer Compliance) and Brace & Sussman, CPA of Londonderry, NH, since 1989. Regulatory Compliance is a full-service broker/dealer compliance consulting firm with clients worldwide. He holds the Series 7, 24, 27 and 63 designations and has extensive knowledge and expertise in the securities industry. Brace & Sussman, CPA is a full-service accounting practice specializing in the needs of broker/dealers. With a particular emphasis on broker/dealer auditing, Sussman is well-versed in SEC regulated accounting procedures. Sussman supervises a staff of 20 industry professionals most of whom are securities-licensed (Series 24 and/or 27) or CPAs. Prior to 1989, for one year, he was a Senior Accountant for Peat, Marwick, Main & Co. (now KPMG) of Boston, MA where he performed audits of SEC registered investment companies. From 1984-1988 he was a Senior Examiner with the National Association of Securities Dealers in the New York and Boston district offices. He conducted on-site financial and operation reviews of securities broker/dealers and investment bankers to ensure compliance with regulatory guidelines of the SEC, Federal Reserve Board, SIPC and NASD (now FINRA).
- Lauren Teigland-Hunt
Lauren Teigland-Hunt is the Managing Partner of Teigland-Hunt & Associates, and specializes in commodity and derivative transactions, related trading and regulatory matters. She has extensive experience representing hedge funds, financial institutions and commodity trading firms in a wide range of derivative and physical commodity transactions. She also advises on regulatory issues related to derivative transactions and has been actively involved in several ISDA drafting committees and the contract drafting committee of the Edison Electric Institute. Prior to founding Teigland-Hunt & Associates in 2002, she was an attorney at Sullivan & Cromwell LLP in the firm's Commodities, Futures and Derivatives Group (1996-2002) and worked as a futures trader and banker in New York and Paris (1986-1993). She is a graduate of Stanford Law School (J.D. 1996) and Georgetown University (A.B. 1986).
- Val Thomas
Val Thomas is the head of regulatory policy, training and European coordination in the corporate markets division of The Royal Bank of Scotland.
After qualifying as a chartered accountant, Val joined the London Stock Exchange and spent eight years as a regulator working in the surveillance division of both the Securities Association and the Securities and Futures Authority.
Val then moved over to the regulated community and had senior compliance positions in ING Barings and SEB, before spending a short time in consultancy prior to joining RBS in 2003.
- Roger Tym
Roger Tym is Of Counsel at Lovells specializing in retail financial services law, including retail banking, consumer credit, data protection and e-commerce matters. He advises on all related legal and regulatory matters, principally covering: products; advertising; marketing and business development and operations; commercial contracts; business start-ups, business and loan portfolio sales and acquisitions; and cross-border and industry issues.
Roger joined Lovells in early 2002, following many years as an in-house counsel. This in-house experience included nine years at Lloyds TSB and then three years at RBS/NatWest, where he was head of the retail and services legal team, responsible for retail and corporate banking products, mortgages, insurance, card services and e-commerce, as well as group wide contracts and data protection advice.
- Carol R. Van Cleef
Carol R. Van Cleef is a Partner in the Washington office of Bryan Cave LLP, a law firm with a diversified international practice. She represents financial services and other companies in federal and state regulatory, compliance and enforcement matters, including those involving anti-money laundering, electronic payments, federal deposit insurance and other banking issues. Among other things, she counsels clients on compliance with the USA Patriot Act, Bank Secrecy Act and OFAC regulations, as well as related privacy and data security issues. She speaks and writes frequently on these subjects. In addition, she created and regularly teaches at the Boot Camp for BSA/AML Professionals, jointly sponsored by the Conference of State Bank Supervisors and Bryan Cave. Prior to practicing law, she was a consultant with Golembe Associates, Inc. a bank consulting firm. She is a graduate of Georgetown University, School of Foreign Service, and she received her law degree from American University.
- Antony Whitehouse
Antony Whitehouse is the recently appointed head of compliance at Calyon/Credit Agricole, one of the largest French banks. In his last role, he was the executive director who set up and ran the UK money laundering prevention department at WestLB, one of Germany's largest public sector banks. During this time he was nominated for an award as compliance officer of the year by a US/UK journal, and won the Complinet Compliance Award for best MLRO. Prior to this he was the head of compliance for WestLB London, and previously Antony was at both the Securities & Futures Association and the Financial Services Authority, in the forerunner of the major financial groups division.
- Cheryl Young
Cheryl Young, CRCP, CPA, is President and Founder of Securities Compliance Advisors, LLC.(SCA), a regulatory consulting firm providing compliance and registration products and services to broker-dealers, traditional investment advisers and hedge fund managers. SCA is known for its ability to design practical compliance solutions that meet specific client needs rather than taking a "one size fits all" approach. SCA has been offering compliance consulting services and products since 1996. For more information see www.secadvisors.com or contact Ms. Young at cyoung@secadvisors.com
