Speakers

Pamela Armstrong

Director and Head of Regulatory Review, Policies and Training (Americas) Credit Suisse

Pamela Armstrong is Director and head of Regulatory Review, Policies and Training for the Americas at Credit Suisse. At Credit Suisse, she designed and implemented a regulatory review system and designed standards and practices for policies and training. Formerly, she was Compliance Counsel at Lehman Brothers, where she helped to design and implement internal processes to establish, maintain, review, test and modify supervisory procedures and internal controls. She has also served as Advisory Chief Compliance Officer for Morgan Stanley. Her first job in the financial services industry was as Associate General Counsel at Kidder, Peabody, where she served as counsel to compliance and the retail business area. Pam started out her career at Cahill, Gordon and earned her J.D. from the University of Michigan.

A.J. Bosco

Director Deutsche Bank Securities Inc.

A.J. manages the Regulatory Exams and Investigations Unit in the Deutsche Bank Securities Compliance Department, where he supervises a staff that serves as the primary point of contact between the DBSI and the SEC, NYSE, FINRA and other examining authorities for all regulatory exams and inquiries. A.J. joined Deutsche Bank in 2003 as the manager of the Monitoring, Surveillance and Investigations Unit, which is responsible for conducting trading surveillance, desk reviews and branch office examinations.

Prior to joining the Bank, A.J. was First Vice President and Corporate Counsel in the Legal Department of Prudential Securities Inc. and a Branch Chief in the New York office of the Securities and Exchange Commission. A.J. started his career as an Assistant District Attorney in the Manhattan District Attorney’s Office.

A.J. earned a B.A. degree in history from Columbia University and a J.D. degree from Fordham University School of Law.

Paula A. Bosco

Senior Vice President Barclays Wealth

Ms. Bosco is a Senior Vice President with Barclays Wealth. Prior to Barclays’ acquisition of Lehman’s Private Investment Management group in September 2008, she served as the 206(4)-7 Chief Compliance Officer for Lehman Brothers Inc. Her responsibilities include implementing and overseeing the compliance program for all investment advisory activities within PIM.

Prior to joining Lehman in July 2007, Ms. Bosco was a Senior Vice President and Assistant Director of International & Investment Advisory Compliance at Citi Smith Barney. In her previous role at Citi, Ms. Bosco also served as a Senior Vice President and Senior Regulatory Counsel in the firm's Regulatory Unit. Other industry positions held by Ms. Bosco include Litigation Associate at Schulte, Roth & Zabel LLP, Assistant Chief Counsel of the Enforcement Division at the American Stock Exchange (a division of FINRA, formerly NASD) and Divisional Vice President and Counsel in the Litigation Department at UBS PaineWebber.

Prominent in industry activities, Ms. Bosco is an active member of the SIFMA Investment Advisers Committee, a former Co-Chair of the Securities & Exchanges Committee at the New York County Lawyers' Association (NYCLA), and a volunteer in the Baruch Mentoring Program sponsored by the Financial Women’s Association (FWA). Ms. Bosco also participates as a panel speaker at various industry conferences and events, speaking on a wide range of investment advisory, broker-dealer, regulatory and compliance issues. In 2007, she was named one of the top 20 Rising Stars of Compliance by Institutional Investor News magazine.

Ms. Bosco holds a B.A. in Political Science from the State University of New York, a J.D. from the City University of New York School of Law and an M.B.A. in Finance/Investment Management from Pace University.

Fred Curry

Principal Deloitte Financial Advisory Services LLP

Fred Curry, Principal, Deloitte Financial Advisory Services LLP. Mr. Curry is a core member of the Global Deloitte FAS AML practice, assisting clients worldwide in developing effective anti-money laundering programs. Mr. Curry has over 25 years of progressive and diverse bank and broker dealer management experience with an emphasis on operations, compliance, financial investigations, and risk management. Prior to joining Deloitte FAS, Mr. Curry was with the law firm KMZ Rosenman, where he was the senior director of AML services for banks, broker-dealers and money service businesses on anti-money laundering and terrorist financing compliance. Previously, he was an Examiner-in-Charge in the specialized Anti-money Laundering Unit of the Federal Reserve Bank of New York.

Mr. Curry planned, supervised, and conducted complex AML and OFAC examinations of domestic and foreign financial institutions and conducted targeted examinations of private, correspondent, broker-dealer and international activities.

Mr. Curry also oversaw and assessed the adequacy of corrective and remedial efforts pursuant to federal and state supervisory enforcement actions. Mr. Curry is a Certified Anti-Money Laundering Specialist.

John J. Davidson, Esq.

Global Head of Anti-Money Laundering E*TRADE Financial

John joined E*TRADE Financial in October 2007 as a Senior Director and in August 2008 was named Global Head of Anti-Money Laundering. He has AML compliance responsibility for E*Trade’s bank and brokerage operations.

Prior to joining E*TRADE, John spent 19 years as an Enforcement Attorney and AML Policy specialist at the OTS, the Board of Governors of the Federal Reserve and most recently, the SEC. As an Enforcement attorney, John assisted financial institution regulators in recovering over $50 million in ill gotten gains from individuals and financial institutions, which had violated federal banking laws, federal securities laws and the Bank Secrecy Act. As an AML Policy specialist, John represented first the OTS and then the Fed on interagency working groups, which drafted many of the regulations associated with the USA PATRIOT Act. At the SEC, John helped pilot the Enforcement division’s SAR review program. John’s efforts resulted in numerous awards and promotions from financial institution regulators. He also frequently serves as a speaker at industry sponsored AML forums and at FFIEC examiner training schools.

John received his BA from the George Washington University and his JD from the College of William and Mary.

Tom Deutsch

Deputy Executive Director American Securitization Forum

Tom Deutsch is the Deputy Executive Director of the American Securitization Forum (ASF). Mr. Deutsch works with ASF's broad membership to develop consensus and implement advocacy initiatives on legal, regulatory, accounting and legislative matters, such as industry-wide mortgage servicing standards, securities regulation implementation efforts, amicus briefs, and comment letters. He also develops and implements various aspects of member education initiatives, such as the annual ASF industry conference, ASF Weekly Reports, Sunset Seminars, Securitization Institute, and the American Securitization journal. He was named by Institutional Investor Magazine as a Rising Star of both Fixed Income and Securitization in 2008.

Mr. Deutsch previously served as an Associate in the Capital Markets Department of Cadwalader, Wickersham & Taft LLP, where he represented issuers and underwriters in various structured finance offerings, including residential mortgage-backed securitizations and asset-backed securitizations. He also served as an Associate at McKee Nelson LLP, where he focused on residential mortgage-backed securitizations. In addition, Mr. Deutsch was an Annenberg Legal Fellow at the Federal Communications Commission and worked in the offices of U.S. Senators Bob Dole, Nancy Landon Kassebaum and Trent Lott in Washington D.C.

Mr. Deutsch earned his Juris Doctoris from the University of Pennsylvania, where he was also enrolled in the Wharton School's Ph.D. program in Public Policy and Management. He has also earned a Master of Science in Regulation from the London School of Economics and Political Science in addition to a Bachelor of Science in Business Administration with Honors and a Bachelor of Arts magna cum laude from Washington University in St. Louis.

The American Securitization Forum is a broad-based professional forum of over 380 organizations that are active participants in the U.S. securitization market. Among other roles, ASF members act as investors, insurers, issuers, financial intermediaries, rating agencies and professional advisers working on securitization transactions. ASF’s mission includes building consensus, pursuing advocacy and delivering education on behalf of the securitization markets and its participants. Additional information about the ASF, its members and activities may be found on ASF’s internet website at www.americansecuritization.com.

Mark Egert

Managing Director and Chief Compliance Officer Cowen and Company, LLC

MARK A. EGERT is Managing Director and Chief Compliance Officer of Cowen and Company, LLC, an integrated, full-service securities and investment banking firm focused on select industries. Mr. Egert joined Cowen in January 2005 and currently manages a department of 15 compliance officers. He serves on numerous Cowen committees, including the Office of the Chief Executive (the Firm’s senior-most committee), Governance Committee, Supervisory Committee, Control & Compliance Committee and Equity Management Committee. Mr. Egert has been a member of a number of SIA/SIFMA groups, including the Federal Regulation, Capital Markets and Self-Regulation & Supervisory Practices Committees.

Prior to joining Cowen, Mr. Egert was Legal & Compliance Director of Equity Capital Markets at RBC Capital Markets. From 1997 to 2003, he was a member of the Legal Department of Dutch bank, ABN AMRO, and spent the last two years serving as Chief Legal Officer for the North American institutional businesses. From 1994 to 1996, he worked at the Securities Industry Association where he served as staff advisor to the Federal Regulation, Capital Markets and Technology Regulatory Committees, as well as managing Legal & Compliance and General Counsel Roundtables. He spent the first five years of his career as a corporate associate at the law firm of Shearman & Sterling and the next two years at the law firm of Kavanagh Peters Powell & Osnato, advising broker-dealers, banks and financial advisors. Mr. Egert graduated cum laude from George Washington University Law School in 1987, where he was notes editor on the Law Review, and magna cum laude from the University of Delaware in 1984, where he was invited into Phi Beta Kappa.

Eric L. Foster

Partner Patton Boggs LLP

Eric Foster counsels banks, broker-dealers, and other participants in the securities, foreign exchange, and derivatives markets on various types of corporate finance transactions as well as compliance, government policy risk assessment, and general legal risk management issues. He has considerable experience providing strategic advice to financial institutions on the legal, operational, and public policy implications of their activities around the globe.

Before joining Patton Boggs, Mr. Foster was a resident of Hong Kong, where he served as Executive Director of the Asia Securities Industry and Financial Markets Association (ASIFMA), an industry forum committed to promoting the development of Asia’s debt capital markets and their orderly integration into the global financial system. While in Hong Kong, Mr. Foster worked with the leading financial services firms in Asia in an effort to harmonize the region’s regulatory regimes and enhance the size, liquidity, integrity, and transparency of local markets for debt securities and other financial instruments.

Mr. Foster was seconded to ASIFMA by the Securities Industry and Financial Markets Association (SIFMA), where he had served as an Associate General Counsel for the organization and its predecessor, The Bond Market Association (TBMA). At TBMA, he was chief advisor to both its Government & Federal Agency Securities Division and its Funding Division. While later serving as Managing Staff Advisor for Global Rates & Funding at TBMA, he was also involved in the industry’s formation in London of the European Primary Dealers Association.

Previously, Mr. Foster was a counsel in the Legal Group at the Federal Reserve Bank of New York (FRBNY), where he served as Secretary to the Financial Markets Lawyers Group and focused on supervisory issues relating to foreign exchange trading, exchange traded financial futures, and the regulation of banks and their over-the-counter derivatives transactions. While at FRBNY, Mr. Foster also served as the Bank’s Chief Legislative Advisor from 1995-2000.

Mr. Foster is a frequent public speaker at international conferences on the debt capital markets and has contributed to various publications devoted to the regulatory treatment of securities, futures and OTC derivatives.

Ira Goldberg

Managing Director and the Head of Compliance of the Private Client Services Division Bear Stearns, a JP Morgan Company

Ira Goldberg is currently Managing Director and the Head of Compliance of the Private Client Services Division of Bear Stearns, a J.P. Morgan company. Prior to joining Bear Stearns, Mr. Goldberg worked at Goldman Sachs, Credit Suisse and was the Deputy Director of the NASD’s New York Office (District 10). Mr. Goldberg obtained his LL.M from Fordham University School of Law and a J.D. from Brooklyn Law School.

Chip Jones

Vice President of Member Relations FINRA

Chip Jones is Vice President of Member Relations for FINRA. In leading the Member Relations Department, Mr. Jones' responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Previously, he was State Liaison for NASD, supervising and coordinating major policy projects and initiatives between NASD, NASAA and state securities regulators. Additionally, he oversaw liaison initiatives for NASD Registration and Disclosure related to all external users of the Web CRD and IARD systems and oversaw management for NASD's Gateway Call Center.

Prior to joining NASD, Mr. Jones was Vice President of Regulatory and Industry Affairs at American Express Financial Advisors (AEFA). In this position, he worked on securities compliance, regulatory and legislative initiatives. Previous to AEFA, he spent two years as Advocacy Administrator for the Association for Investment Management and Research (AIMR). Mr. Jones was employed by the Virginia Securities Division as a Senior Examiner/Investigator for over six years prior to joining AIMR. He received an MBA and a B.S. in Business Management from Radford University in Radford, Virginia.