Situated at the forefront of the Investment & Securities Industry, this company is renowned for delivering integrated, end-to-end wealth management solutions that fuse cutting-edge technology with real-time data capabilities. They empower their clients with a comprehensive suite of tools designed to streamline workflows, enhance order management, and ensure regulatory compliance. Their innovative platforms, such as Maxit, offer fully automated and scalable tax information reporting and cost basis accounting, significantly reducing operational burdens for financial firms. Another pivotal offering, Mediant, strengthens client and shareholder engagement through advanced investor communications technology. By investing in platforms, products, and partnerships, they help financial advisors and their clients seize every growth opportunity within the evolving market landscape.

With a legacy spanning over four decades, the company has continually adapted to the rapidly changing financial environment, positioning itself as a leader in providing frictionless wealth management services. Their approach is built on the premise of "Connected Wealth," harnessing data integration and AI support to offer personalized client experiences that set a new standard in wealth management. The company’s leadership in the industry is further cemented by recognitions such as being named a Top 25 WealthTech Company for 2024. Committed to advancing their clients' core business activities, they offer a harmonious integration of workflow applications and managed data processes across all asset classes. This dedication to excellence and innovation ensures clients navigate market challenges effectively while capturing every growth potential, solidifying their role as a transformative force in the financial services sector.

Leading Financial Services Consulting Firm Specializing in Litigation and Compliance Solutions

Bates Group is a leading financial services consulting firm in the United States, offering services in litigation consultation and expert testimony.

With a team of 175 industry experts and consultants, the firm provides regulatory and internal investigations, compliance and AML solutions, state licensing support, PL reports, damages consulting, and big data analyses for financial institutions.

Bates Group serves established and start-up broker-dealers, investment advisers, and funds, understanding the intricacies of their needs and offering customized solutions delivered by a team of former industry practitioners. The firm's comprehensive services help clients navigate complex legal and regulatory challenges while optimizing their operations and growth strategies.

Partner, WilmerHale

Yoon-Young Lee is a partner in WilmerHale’s Securities Department and co-chair of its Securities and Financial Regulation Practice. Her practice has particular emphasis on broker-dealer regulation and securities compliance policies and procedures. Ms. Lee advises financial institutions on regulatory and compliance matters, including the handling of confidential information and conflicts of interests, information barriers, loan trading, research analyst independence, sales practices, trading issues, electronic communications, record retention, supervision, and surveillance measures. She has extensive experience with regulatory and compliance reviews, audits and examinations, as well as government and internal investigations. Ms. Lee is recognized as a national leader in financial services regulation: broker dealer regulation in the 2008-2021 editions of Chambers USA: America’s Leading Lawyers for Business. She received her JD from Harvard Law School and her BA from Johns Hopkins University.

Associate Partner, Risk, Regulatory and Compliance, Sia Partners

Zoya is an Associate Partner in the New York office of Sia Partners’ Financial Services Practice, leading the Risk, Regulatory and Compliance unit. As a former securities regulator, she has over 20 years of experience across capital markets and management consulting with deep expertise in risk and regulatory compliance functions, across the three lines of defense. Zoya advises clients on all aspects of risk and regulatory compliance frameworks, regulatory remediation and change management, and emerging regulatory issues. She has extensive experience in helping clients identify and mitigate risk, build and enhance control frameworks, and determine compliance strategy.

Prior to Sia Partners, Zoya managed a team of examiners in FINRA’s New York District office, conducting regulatory examinations of the largest, most complex, and most problematic broker-dealers in New York. During her almost 12 years at FINRA she made an impact across several units, including Member Supervision and Membership, where she was instrumental in bringing multiple enforcement actions against broker-dealers for failures across Supervision, Internal Controls, and Compliance functions. Prior to FINRA, Zoya spent several years underwriting mortgage loans at New York area financial institutions. She holds a BBA from Baruch College.

Global Professional Services Firm Delivering Comprehensive Solutions for Financial Institutions

Through consulting services, PwC helps broker-dealers and asset managers navigate complex regulatory landscapes and optimize operations, while its tax services focus on tax efficiency and compliance in a dynamic financial environment.

Global Professional Services Firm Providing Comprehensive Solutions for Financial Institutions

From globalization to technological innovation, businesses around the world are exploring new and different ways of succeeding. By investing in our Global Sector networks, EY gives you an industry-based perspective on your assurance, consulting, strategy, tax and transaction needs. We lead the debate on the most important issues you face, bringing original thinking to your sector and your business. Sector-focused insights and experience are embedded throughout EY, unifying our global network of professionals to give you highly responsive advice that helps you compete more effectively.
Over 84,000 EY professionals are dedicated to financial services, serving the banking and capital markets, insurance, and wealth and asset management sectors. We share a single focus — to build a better financial services industry, one that is stronger, fairer and more sustainable.

Specialized Due Diligence Services for Broker-Dealers and Registered Investment Advisors

The firm's principals have been actively engaged in providing due diligence services since 2001, employing cutting-edge tools and practices to effectively evaluate the evolving universe of alternative investment opportunities.

Elite Legal Expertise in Investment & Securities, Coupled with Unwavering Commitment to Social Justice

Renowned for its commitment to the Investment & Securities Industry, this New York-based boutique law firm excels in white collar defense, complex commercial disputes, and corporate compliance. The firm boasts a team of highly experienced partners, including former senior federal and state prosecutors, a former general counsel of a publicly traded multinational, and a former compliance officer. These experts bring a wealth of knowledge from both public and private sectors, enabling the firm to advise on the most pressing matters and handle sensitive engagements with exceptional proficiency. Their integrity and outstanding track record in both state and federal court have earned them high praise from clients and peers alike.

In addition to its professional endeavors, the firm is deeply committed to social justice through pro bono work and good government litigation. Its attorneys actively combat government abuses, advocate for civil rights, and offer crucial support to community groups and religious institutions in their interactions with government agencies. The firm's dedication to diversity and inclusion reflects its global client base and enhances the quality of its services. By fostering a collegial environment and rewarding professional excellence, the firm attracts and retains top talent, thereby ensuring continued success and growth in the fiercely competitive legal landscape.

Revolutionize Your Post-Trade Operations with Cutting-Edge AI Solutions

Specializing in the transformation of financial post-trade operations, this company operates at the forefront of investment and securities innovation. It offers an advanced AI-driven platform designed to streamline and enhance the efficiency of global post-trade processes. By integrating fragmented market infrastructure into a cohesive real-time operational framework, the company proactively predicts settlement risks and orchestrates resolutions, effectively reducing the risk of failures before they occur. Its cutting-edge solution not only improves operational coordination across market participants but also provides financial institutions with the tools needed for early risk visibility and cleaner management of trade settlements.

The company's AI settlement exception management tool is purpose-built for the entire financial ecosystem, from initial detection to resolution. By facilitating seamless interactions between AI agents and human operators, it enables swift and effective resolution of trade fails and cash breaks through intelligent root-cause analysis. With a strong emphasis on fast deployment, the company's no-code solutions deliver immediate value outcomes, allowing clients to focus on core operations. Comprising seasoned experts in finance and technology industries, the company's leadership is committed to advancing the future of post-trade operations, ensuring that their clients are well-prepared for significant shifts such as Europe's impending T+1 transition.

Transform Your Trading: Unleash the Full Potential of Cutting-Edge Technology Solutions

In the competitive realm of the Investment & Securities industry, this company stands as a distinguished provider of comprehensive trading technology solutions. They enable firms to control their entire trade lifecycle with cutting-edge technology that prioritizes scalability and performance. By offering advanced trading platforms, order management systems, and risk and margin tools, they effectively streamline client workflows while minimizing potential risks. Their robust multi-asset class technology solutions are complemented by flexible, configurable systems tailored to meet the specific needs of various firm types. The company acts as a true technology partner, helping firms integrate seamlessly with its API infrastructure for rapid market deployment and enhanced trading capabilities.

With a reputation for excellence and innovation, the company has cultivated strong partnerships and delivered unique client solutions through its deep industry knowledge and exceptional customer service. Their team comprises seasoned professionals with extensive experience in financial technology, dedicated to maintaining transparency and fostering robust client communication. The company's leadership drives innovation across capital markets, equipping clients with systems resilience and enabling them to offer inclusive, real-time trading experiences. Specialized in scalable infrastructure, risk management, and regulatory compliance, the company seeks to empower its clients to exceed their strategic goals in the ever-evolving digital finance landscape.

Leading the Future of Investments: Transformative Technology and Agile Solutions for the Securities Industry

As a key player in the Investment & Securities industry, this company is renowned for its innovative approach to business transformation and the integration of advanced technologies across sectors. The firm excels in developing digital core capabilities, enabling clients to navigate complex securities markets while maintaining robust cybersecurity measures to minimize risks. By harnessing the power of artificial intelligence, the company empowers organizations to automate complex tasks, innovate through enterprise-grade analytics, and revolutionize traditional business practices. Its focus on digital-first strategies and agile transformation positions it as a leader in providing comprehensive solutions that address both the dynamic needs of the financial services industry and the expectations of its diverse clientele.

The company has demonstrated a significant commitment to fostering innovation through strategic partnerships and continuous improvement initiatives. By exploring emerging technologies such as blockchain, digital field workforce management, and cloud transformations, it supports the modernization of capital markets firms and enhances customer experiences. Its collaborations with multinational enterprises like Pfizer and NN Life Insurance Company reflect a versatile approach that balances enhancement of productivity with pioneering advancements in digital trust and cybersecurity. Through its investment in talent development and design-led transformation, the firm continually empowers its workforce to adapt and thrive in the evolving landscape of the securities industry, ensuring sustainable growth and operational excellence.

Leading the Way in Philanthropy: Expert Management of Donor-Advised Funds and Charitable Contributions

Established in 1996, this organization has swiftly risen to become a foremost authority within the Investment & Securities Industry, focusing on donor-advised funds (DAFs). As a prominent public charity, it administrates a vast portfolio, with over $35.1 billion in charitable assets and having facilitated more than $57.3 billion in contributions. Their mission centers on augmenting philanthropy in society by providing expert guidance to donors, financial institutions, and foundations, enabling these entities to achieve their philanthropic aspirations. This institution's expert team, backed by a Board of Trustees comprising nationally recognized leaders in philanthropy and business, delivers outstanding service, ensuring the seamless management of DAFs and other philanthropic vehicles.

Through strategic partnerships and innovative solutions, this charity supports a wide range of philanthropic activities both domestically and internationally. By offering customizable DAF options, it empowers donors to navigate the complexities of charitable giving with ease, fostering impactful contributions to causes they cherish. Furthermore, its comprehensive Grants in Action series and research on philanthropic trends provide invaluable insights to donors and advisors, ensuring their charitable endeavors are both effective and informed. This commitment to excellence has positioned the organization as a trusted partner for some of the world's most generous and visionary philanthropists, underscoring its pivotal role in the advancement of global philanthropic initiatives.

Leading Global Law Firm Delivering Cross-Border Solutions for Complex Transactions and Disputes

The firm's attorneys are recognized for their deep industry knowledge and technical expertise, providing innovative and commercially pragmatic advice to clients across a wide range of sectors.

Global Law Firm with Deep Litigation Expertise and Transactional Strength

Winston & Strawn LLP is a global law firm with more than 900 attorneys across the United States, Europe, Asia, and South America.

The firm's 450 litigators handle high-value, high-risk cases, while its transactional teams have closed over 500 private equity deals and facilitated more than $100 billion in capital markets transactions since 2022.

Winston & Strawn recently strengthened its IP practice with the addition of Marlene J. Williams in San Francisco, demonstrating the firm's commitment to expanding its capabilities to meet the evolving needs of clients. With deep industry knowledge and a focus on delivering practical, business-oriented solutions, Winston & Strawn is well-positioned to support broker-dealers and asset managers in navigating an increasingly complex legal and regulatory landscape.

Empowering Business Transformation with Innovative Digital Workflows and AI-Powered Solutions

Operating within the Investment & Securities industry, this company specializes in transforming businesses through its innovative digital workflows, designed to enhance both employee and customer experiences. By allowing flexibility in work processes, it empowers employees to work efficiently and intuitively, diverging from traditional software constraints. With a strong commitment to technological advancement, it provides tailored solutions across various sectors, including telecommunications, media, technology, financial services, and the public sector. The organization's strategic partnerships and investments in AI-powered applications demonstrate its dedication to offering cutting-edge solutions that extend and complement its core offerings.

In addition to its focus on workflow optimization, the company plays a crucial role in the financial landscape, providing vital stock, financial, and earnings information for informed investment and trading decisions. It acts as an efficient hub for enterprise workflow apps, certified and continuously expanded through partner collaborations. The company's robust methodology is tailored to meet current industry needs, reinforcing its position as a leader in driving digital transformation and efficiency across diverse industries.

Broadridge Financial Solutions (NYSE: BR), is a global technology leader with the trusted expertise and transformative technology to help clients and the financial services industry operate, innovate, and grow. We power investing, governance, and communications for our clients – driving operational resiliency, elevating business performance, and transforming investor experiences.

Our technology and operations platforms process and generate over 7 billion communications annually and underpin the daily average trading of over $15 trillion in equities, fixed income, and other securities globally. A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 15,000 associates in 21 countries. For more information about us, please visit www.broadridge.com .

Expertly Engineered Solutions for Securities Investments Firms

The company's Asset Management and Servicing solutions help drive growth and optimize efficiency, while its Securities Finance and Processing offerings consolidate and automate for maximum efficiency.

Innovative Regulatory Reporting Technology Solutions for Financial Institutions

Regnology (formerly CG3-1 Regulatory Capital) provides regulatory reporting technology solutions that enable financial institutions to automate and streamline their compliance processes.

The company's software uses advanced data management and calculation engines to generate accurate and timely reports across multiple regulatory regimes, including Basel III, Dodd-Frank, and CCAR.

By eliminating manual processes and ensuring data consistency, CG3-1 Regulatory Capital helps firms reduce operational risk and improve the efficiency of their regulatory reporting functions. With a cloud-based architecture and a user-friendly interface, the software can be easily integrated with existing systems and scaled to meet the needs of organizations of all sizes.

Empowering Strategic Decisions with Advanced AI and Innovative Technology Solutions

Operating within the Investment & Securities Industry, this company stands out as a leading provider of advanced technological solutions tailored to enhance decision-making processes across diverse sectors. With a focus on transforming raw data into actionable insights, the company empowers organizations to harness the power of artificial intelligence and machine learning to drive strategic business decisions. Their expertise in scalable AI strategies enables clients to modernize operations, elevate customer experiences, and gain a competitive edge in the steadily evolving digital landscape. Recognized for its role in modernizing government operations and fortifying cyber resilience within financial services, the company offers comprehensive solutions designed to meet the intricate needs of their clientele, ensuring efficiency, reliability, and sustainability.

As a trusted partner in digital transformation, the company not only addresses the security challenges inherent within the financial sector but also supports a wide range of industries including retail, healthcare, and education. They provide an extensive portfolio of IT services, from cloud infrastructure advancements to deploying communication devices aimed at enhancing workplace productivity. Furthermore, the company collaborates with a network of global partners to deliver commercial-grade solutions and top-tier technology products such as printers, workstations, and collaboration systems. Their commitment to delivering exceptional value is underscored by a suite of lifecycle management and financial services, ensuring that client's technology investments are secure and yield significant operational returns.

Revolutionizing Tax Reclamation: Enhance Returns with AI-Driven Precision

In the fast-evolving Investment & Securities Industry, this company stands out by harnessing cutting-edge digital technology to enhance investment returns and streamline tax reclamation processes. By eliminating manual procedures, the company significantly reduces risk and maximizes efficiency, offering its clients improved investment strategies and forecasting capabilities. Led by award-winning industry experts, the company's AI-enabled full-service approach is designed to help institutional investors and their service providers reclaim more tax at a lower cost. With an unwavering commitment to client experience, the company ensures personalized attention, proactive engagement, and responsive support, setting a new standard in tax recovery services.

Established to address critical deficiencies in the tax recovery sector, the company leverages advanced technology to transform outdated processes into seamless and efficient systems. With compliance to ISO 27001 and DORA standards, its digital-first solutions offer a risk-free route for clients to reclaim up to $16 billion in unclaimed tax annually, enhancing operational efficiency without additional expenditure. The team behind these innovative solutions is composed of visionary leaders with profound expertise, pioneering a next-generation service model that not only meets but exceeds industry demands. By focusing on data protection and robust security measures, the company is dedicated to providing best-in-class service, revolutionizing tax reclamation for institutional investors worldwide.

n-Tier is an innovative financial technology company that couples deep industry expertise with a unique software platform to help institutions minimize the risks and costs associated with regulatory reporting. The Compliance Workbench is the only platform that has proven to programmatically unwind the complexity of trade flows across all front- and back-office environments globally to produce accurate regulatory reports while providing the independent monitoring and controls needed to manage critical reporting obligations.

Navigate Global Financial Complexities with Cutting-Edge Risk Intelligence Solutions

Specializing in the Investment and Securities Industry, this company provides unparalleled risk intelligence solutions designed to navigate the complexities of global finance and sanctions. It combines cutting-edge analytics, artificial intelligence, and human expertise to transform unstructured data into actionable insights. The firm's comprehensive research methodology sets it apart, focusing on active investments, with a particular emphasis on identifying and managing sanctioned securities and investment risks. By serving asset managers, government bodies, and compliance systems, the organization ensures that its clients are adept at detecting blocked issuers and navigating the challenges of the OFAC 50 Percent rule, thereby safeguarding their trading and investment operations.

The company's suite of sophisticated solutions includes electronic screening tools and intelligence databases for securities and investment management firms, providing a 360-degree view of business risk. It empowers its clients with valuable insights into sanctioned entities and high-risk operations, including those related to crypto and maritime activities, even in the absence of explicit government listings. Whether it's through their premier global risk analytics platform or bespoke datasets on control and beneficial ownership, the company stands as the leading authority in sanctions compliance and trade control. Constantly innovating, it hosts events and webinars to discuss the latest trends and challenges in global risk, maintaining its status as the cornerstone for policy architects and industry leaders in navigating increasingly intricate financial landscapes.

Ready to enable compliant productivity?

Smarsh enables companies to transform oversight into foresight by surfacing business-critical signals in more than 100 digital communications channels. Regulated organizations of all sizes rely upon the Smarsh portfolio of cloud-native digital communications capture, retention, and oversight solutions to help them identify regulatory and reputational risks within their communications data before those risks become fines or headlines. To discover more about the future of communications capture, archiving and oversight, visit www.smarsh.com.

Smarsh serves a global client base spanning the top banks in North America, Europe, and Asia, along with leading brokerage firms, insurers, and registered investment advisors and U.S. state and local government agencies.

Revolutionizing Financial Operations with Cutting-Edge Technology Solutions

This company is a prominent player in the Investment & Securities Industry, specializing in the development of cutting-edge technology solutions for financial firms. With over two decades of experience, it offers innovative, customizable, and extensible software designed to optimize financial operations and enhance user experiences. Their flagship product, a comprehensive end-to-end processing and self-clearing solution, is built on a cloud-based platform, ready to address the needs of Broker Dealers, IRA Custodians, Self-Clearing and Correspondent Clearing Brokers, as well as digital asset providers. Their technology solutions encompass an array of services, ranging from real-time trading platforms to secure mobile solutions for fund transfers, all of which are seamlessly integrated with next-generation AI capabilities and blockchain technologies.

The company is committed to helping its clients leave behind outdated technology, offering a universal core of composable technology that aligns with evolving business goals. This core, characterized by its API-driven, scalable design, facilitates seamless integration with the company's AI and blockchain technologies, providing clients with the tools they need for tokenization, trading, settlements, payments, and custody. Dedicated to meeting and exceeding industry compliance standards, the company actively engages in SOC2 compliance to ensure the delivery of secure and risk-free services. With a strong emphasis on application deployment, support, and maintenance, they provide high-quality documentation and customize support services to meet the unique needs of each client, ensuring an efficient and effective adoption of their advanced digital solutions.

Redefining Finance: Your Trusted Gateway to Seamless Digital Asset Integration

This company operates at the forefront of the Investment & Securities Industry, offering a comprehensive digital asset infrastructure that powers modern finance. It serves as a vital gateway for banks, brokerages, and fintechs aiming to incorporate cutting-edge digital asset products, including cryptocurrency trading, stablecoin payments, and tokenized financial products. The firm is a catalyst for innovation, enabling financial institutions to seamlessly integrate these services into their existing offerings, thereby catering to the evolving demands of younger and progressive investors seeking simplicity and efficiency in their investment platforms. It stands out not only for its technological prowess but also for its unwavering commitment to regulatory compliance, holding licenses across various U.S. jurisdictions and Canada to ensure secure and lawful operations.

The company distinguishes itself with its robust, developer-friendly API and SDK infrastructure, facilitating the integration of fiat, crypto, and stablecoins in a secure and scalable manner. This infrastructure empowers businesses to offer global payments, payouts, and creator earnings rapidly and in compliance with regulatory standards. Through strategic partnerships, it enhances the crypto offerings of its clients, ensuring they deliver an investing experience that mirrors traditional equities while extending to digital assets. The company's dedication to data privacy and security is intrinsic, underscored by certifications such as SOC 2 Type II and ISO 27001, bolstering its reputation as a trusted partner in the digital finance space.

Comprehensive Software for Managing Held-Away Retirement Accounts

By enabling advisors to efficiently manage their clients' retirement accounts alongside their other investments, Pontera helps advisors deliver more comprehensive and personalized advice, improve client outcomes, and grow their businesses.

Leading Global Law Firm Helping Clients Achieve Their Ambitions Worldwide

The firm's lawyers consistently deliver innovative approaches and results for clients, with recognized expertise in advising on construction-related needs, from the drafting of tender and project documentation to the resolution of disputes arising out of projects.

Leading Global Law Firm Advising on High-Stakes Corporate, Litigation, and Restructuring Matters

The firm is known for its expertise in private equity, M&A, finance, and restructuring transactions, as well as its prowess in handling sophisticated litigation and regulatory investigations.

World's Largest Equity Derivatives Clearing Organization

As the sole central counterparty for U.S. exchange-listed options, OCC provides clearing and settlement services for options, financial futures, security futures, and securities lending transactions.

Full-Service Global Law Firm with Extensive Securities Industry Experience

Proskauer Rose LLP is a full-service law firm with twelve offices worldwide and headquartered in New York City.

The firm provides comprehensive legal services to clients across various industries, including the securities industry, with a focus on corporate transactions, litigation, regulatory compliance, and labor and employment matters.

Proskauer Rose LLP's experienced attorneys have a deep understanding of the complex legal and regulatory landscape facing financial institutions, and they work closely with clients to develop strategic solutions that help them achieve their business objectives while minimizing risk.

Premier Law Firm Providing Superior Legal Services to Financial Institutions Globally

The firm offers comprehensive legal services to support the complex needs of investment banks and asset managers across various jurisdictions, delivering strategic advice tailored to the financial sector to ensure compliance and innovative solutions.

Protiviti is a global consulting firm that helps financial institutions navigate disruption with confidence. We deliver deep expertise across risk, compliance, technology, finance, legal, operations, data, and internal audit, supported by a global network of 90+ offices and a track record of serving more than 80 percent of Fortune 100 and nearly 80 percent of Fortune 500 companies.

Banking & Capital Markets
We help institutions manage rising regulatory complexity, modernize core platforms, strengthen governance, and deliver frictionless customer experiences - all while staying resilient, well‑controlled, and cost‑effective.

Asset & Wealth Management
Our advisors support modernization, risk management, regulatory compliance, and data‑driven transformation to help firms remain competitive and client‑centric in a rapidly evolving landscape.

Financial Crimes Consulting
We help leaders combat financial crime through advanced analytics, modernized controls, global regulatory insight, and technology‑enabled frameworks that protect institutions and enhance trust.

Risk Management & Legal Consulting
Protiviti brings deep risk advisory and legal consulting capabilities to help organizations strengthen governance, improve transparency, and stay ahead of supervisory expectations across jurisdictions.

Technology Modernization
We guide institutions through modernization of legacy systems, AI and data adoption, cybersecurity, cloud transformation, and operational resilience—making organizations more flexible, intelligent, and innovative.

Empowering Financial Institutions with Unrivaled Expertise and Strategic Solutions

As a premier entity within the Investment & Securities industry, this company excels in providing a wide array of professional services. The firm delivers top-notch audit and assurance services, catering to the intricate requirements of broker-dealers, thus guaranteeing compliance and operational superiority. Its extensive consulting services equip asset managers with the tools to navigate market complexities and seize emerging opportunities. The tax advisory services are meticulously tailored to help broker-dealers and asset managers optimize their fiscal positions, thereby minimizing tax burdens.

In addition to these core services, the firm offers cutting-edge advisory solutions that empower financial institutions to enhance their strategic decision-making and overall operational efficiency. Leveraging a global network replete with market insights and domain expertise, they support clients in reaching their business goals amidst a dynamically evolving landscape. Their commitment to quality, innovation, and strategic foresight makes them a trusted partner for financial entities striving to maintain competitive edges and achieve sustainable growth in a complex marketplace.

Wealth's Growth Platform

FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back.

We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution.

We partner with the world’s leading financial institutions, with over US$2.4 trillion in assets on platform (AoP).

Together with our clients, we empower nearly 30 million people across all wealth segments to invest in their future.

Transformative Workplace Investigations empowers organizations through expert workplace investigations, training, and resources to foster equitable, transparent, and accountable workplace cultures. Join us in transforming workplaces for inclusivity and respect.

Fully Integrated Global Law Firm Providing Connected Legal Advice

BCLP LLP is a fully integrated global law firm that provides clients with connected legal advice, wherever and whenever they need it.

The firm offers one of the most active M&A, real estate, financial services, litigation, and corporate risk practices in the world, with a relationship-driven, collaborative culture, diverse legal experience, and industry-shaping innovation.

BCLP's integrated team works with clients to deliver solutions for all of their corporate legal requirements globally, including M&A, capital markets, securities, corporate governance, commercial, data privacy and security, employee benefits, international trade, intellectual property, investment management, tax, and private client. The firm offers a truly integrated global service to handle and resolve complex disputes in a range of domestic courts, specialist tribunals, and in international arbitration.

Trusted Provider of Data-Driven Insights and Analytics for Financial Institutions

Executive management and front office executives at leading global asset managers and hedge funds rely on the firm to achieve growth and build long-term value, while portfolio managers, traders, and other investment professionals rely on Coalition Greenwich for peer-based data and market intelligence to help make better decisions about pricing and service quality from their broker-dealers.

Global Business Advisory Firm Driving Change and Delivering Results

With expertise across various disciplines, including corporate finance and restructuring, economic consulting, forensic and litigation consulting, strategic communications, and technology, FTI Consulting delivers comprehensive solutions and expert guidance to help clients make informed decisions and achieve their goals.

Donna Chabria is a Senior Advisor at ThoughtLinks, where she works with companies on some of the questions keeping leaders up at night: How do we build organizations that work well in an AI-driven world? What will it take for people to thrive in the years ahead?

She has held executive leadership roles at Viacom and has also built ventures of her own, giving her a perspective shaped by both large organizations and entrepreneurial settings. Her work focuses on talent strategy, the future of work, and startup operations. She is especially drawn to the connection between technology, human potential, and how people can live and work well.

Donna holds two master’s degrees from Columbia University and Stony Brook University, along with an Executive Certificate in Human Resources from Cornell University. She is guided by a simple belief: AI should expand what is possible for people, not diminish it.

She is a member of the Lewis Atterbury Stimson Society at Weill Cornell Medicine, the Heritage Society at the University of Miami, the Luminary Society at Liberty Science Center, and The Society of the Four Arts.

ThoughtLinks: Strategic AI Advisory for C-Suite Leaders in Banking and Capital Markets

ThoughtLinks, legally operating as ThoughtLinks Group LLC, is a strategic advisory firm specializing in AI, enterprise transformation, and innovation for banking and capital markets. Founded in 2022 by banking executive Sumeet Chabria, ThoughtLinks partners with Fortune 500 financial institutions to scale AI-driven transformations, modernize technology infrastructure, and strategically reinvent business models.

The ThoughtLinks team is composed exclusively of former global C-suite executives with deep experience inside the world’s most complex financial institutions. They bring lived leadership experience from decades of leading technology, operations, and transformation at enterprise scale across banking, capital markets, securities, wealth management, and payments.

ThoughtLinks advises on critical areas of enterprise modernization, integrating actionable insights such as our frameworks on Agentic AI and SaaS portfolio optimization for highly regulated environments. The firm focuses on responsibly leveraging AI to drive enterprise productivity and empower the emerging hybrid and digital workforce.

• AI Strategy & Business Model Reinvention: Navigating the shift from traditional processes to embedded intelligence.

• Cost Transformation & Operating Model Design: Modernizing technology infrastructure and enterprise architecture.

• Risk & AI Governance: Ensuring compliance, data security, and ethical AI deployment in banking and capital markets.

• Workforce Strategy & Global Capability Center Design: Building resilient operational hubs and top talent.

• Digital Ecosystem Navigation: Identifying actionable trends and securing best-in-class solutions.

The firm’s practitioner-led approach bridges strategic vision with operational execution, helping institutions define success, identify actionable trends, and connect strategic business needs with best-in-class solutions, next-generation technology, and top talent across the financial services ecosystem.

ThoughtLinks serves clients worldwide from its headquarters at 701 Brickell Ave, Suite 1550, Miami, Florida. The firm is a SIFMA Associate Member.

Empowering RIAs: Cultivating Legacy Through Partnership and Growth

In the heart of the Investment & Securities Industry, this company stands out as a dynamic holding firm dedicated to empowering Registered Investment Advisors (RIAs). The organization emphasizes the strength derived from interconnected relationships, drawing inspiration from the resilience of natural ecosystems. By positioning itself as both a steward and partner, the company provides RIAs with the necessary autonomy to maintain their unique cultures and operational independence while offering robust support and resources to fuel sustainable growth. This model ensures that each partner firm not only thrives in its individual capacity but also as part of a larger, mutually beneficial network that is committed to maintaining long-term, sustainable value.

The company prides itself on forming a collective of seasoned investment and business professionals who are passionate about unlocking growth potentials through partnership and people. By fostering a collaborative environment enriched with thought leadership, insights, and innovative strategies, it aims to deliver unmatched service to clients while enhancing career prospects for financial professionals. With its headquarters strategically located in prominent financial hubs, the company is dedicated to building a vibrant community of influential leaders, ensuring that its partners reach new heights while their legacies endure the test of time.

Strategic Expertise for Navigating the Investment & Securities Landscape

Established in 1995, this company operates at the forefront of the Investment & Securities Industry, offering unparalleled consulting expertise to financial services firms. With a robust history of delivering complex projects, the firm is recognized for its adept handling of business, technology, and process improvement initiatives, ensuring that clients receive high-value, customized solutions. The team consists of seasoned consultants with extensive experience in financial services, allowing them to not only understand but also strategically guide firms through evolving regulatory landscapes and technological advancements. These professionals bring valuable insights into requirement analysis and project management, securing repeat business and fostering long-term client relationships.

The company's services extend to include performance measurement systems, data management, and operational workflow enhancement, all crafted to maximize the return on investment for its clients. With leadership possessing decades of industry experience, the firm is a trusted partner for financial organizations looking to optimize operations and drive success. The focus on maintaining quality and consistency in client deliverables underscores a commitment to excellence, paired with a flexible approach tailored to the unique needs of each client. The company's dedication to service innovation and superior client engagement positions it as a vital ally in navigating the complex investment and securities marketplace.

Ensure Compliant Use Of LinkedIn By Execs & Staff

EveryoneSocial

provides a comprehensive compliance solution specifically engineered for highly regulated industries like banks, brokerages, and insurance firms. The platform mitigates social media risk by allowing organizations to capture, review, and remediate social events, ensuring that all employee advocacy stays within regulatory bounds. By offering pre-approved content for sharing and integrating seamlessly with major archiving solutions including Glolbal Relay, Proofpoint, and Smarsh. EveryoneSocial empowers staff at leading financial institutions to engage on social media safely and authentically without bypassing critical oversight workflows.

Revolutionizing Compliance in Investment & Securities with AI-Driven Solutions

In the dynamic Investment & Securities industry, this innovative company is pioneering a new age of regulatory compliance by integrating AI technology into compliance operations. Their cutting-edge platform leverages artificial intelligence to bolster regulatory compliance frameworks, equipping compliance teams with intelligent AI agents that function as autonomous programs to facilitate high-level decision-making processes. These AI agents are meticulously designed to support professionals in evaluating the compliance of proposed content and actions concerning relevant regulations, mitigating risks, and enhancing operational efficiency. The AI technology, deeply embedded with regulatory expertise, empowers teams to quickly navigate compliance determinations, offering insights into regulatory challenges, and identifying potential compliance risks proactively.

Built on a foundation of extensive research, this company's proprietary AI models harness large language networks to comprehend comprehensive regulatory frameworks, enabling seamless collaboration between human teams and AI. By incorporating AI agents into compliance teams, the firm enhances an organization’s capacity to manage compliance tasks automatically and at scale, ensuring regulatory conformity while alleviating the workload of compliance professionals. Moreover, this collaborative environment is inclusive and forward-thinking, valuing ideas, expertise, and diligent work, providing employees with a rewarding work atmosphere. Through vendor risk management frameworks, they manage third-party risks efficiently, further solidifying their role as a leader in legal standards-based reasoning and regulatory workflow automation in the sector.

Empowering Growth through Bespoke Compliance and Regulatory Excellence

As a distinguished entity within the Investment & Securities Industry, this company focuses on providing comprehensive compliance and regulatory solutions tailored to the unique needs of its clients. Their extensive experience in risk assessment, compliance enhancement, and stakeholder management equips businesses to navigate the complexities of modern regulatory environments. By offering independent reviews, they bolster clients' internal control frameworks, turning compliance into a strategic advantage that fosters innovative growth and market leadership. The organization is adept at anticipating regulatory scrutiny, positioning its clients for long-term success through efficient resource allocation and effective management of stakeholder interests.

The firm leverages the expertise of a team of highly qualified professionals with a deep understanding of both emerging and traditional financial service sectors. The leadership team, including seasoned regulatory advisors and experienced economists, brings decades of experience in the financial industry, particularly in derivatives trading and regulatory compliance. By providing bespoke solutions, the company empowers clients with customized strategies that consider their specific organizational culture and objectives. This commitment to supporting responsible innovation and growth makes it a trusted partner for businesses aiming to mitigate risks while seizing market opportunities.

Exemplary Global Legal Solutions in the Investment & Securities Industry

As a distinguished entity in the Investment & Securities Industry, this company leverages a unique blend of legal expertise and technology-driven strategies to provide exemplary services to a global clientele. Known for their professionalism, integrity, and cultural sensitivity, the firm extends its full-service capabilities across the US and UK, catering to both emerging enterprises and publicly traded corporations. The firm’s proficiency spans high-stakes litigation, mergers and acquisitions, regulatory compliance, employment law, and intellectual property management, ensuring comprehensive legal solutions for business-critical matters.

The firm’s corporate department offers specialized insight into US and English law, with a keen focus on regulatory, transactional, and tax issues. Their litigation team is renowned for adeptly representing clients in pivotal lawsuits, leveraging trial-readiness to secure favorable outcomes. Additionally, the firm's intellectual property experts provide extensive technical advice on litigation, transactions, and counseling, thereby safeguarding the interests of their clients. Emphasizing diversity, equity, and inclusion, the firm fosters a meritocratic and inclusive environment, underscoring their commitment to optimal client service and sustainable business practices.

Global Leaders in Innovative Investment & Securities Law

Established through the historic 2024 merger of Allen & Overy and Shearman & Sterling, this esteemed firm is a formidable player in the Investment & Securities Industry. With a global presence encompassing nearly 4,000 lawyers and consultants, the firm is uniquely positioned to handle the most intricate multijurisdictional matters. Their collective expertise extends across English law, U.S. law, and the legal frameworks of the world’s most dynamic markets. This unmatched breadth of knowledge enables them to offer innovative legal solutions and advisory services to many of the globe’s most influential organizations, including over a third of NYSE-listed companies and numerous other major stock exchanges worldwide.

This organization is renowned for its pioneering contributions to the field, consistently delivering groundbreaking legal strategies and precedent-setting innovations. Their adept teams provide seamless service and hold extensive experience in navigating complex legal landscapes, whether litigating, arbitrating, or resolving high-stakes disputes. Committed to sustainability and diversity, the firm fosters a collaborative environment where diverse individuals and perspectives can thrive. This dedication to excellence and inclusivity translates into comprehensive, forward-thinking counsel that shapes their clients' fortunes, ensuring they remain competitive and compliant amidst evolving regulatory challenges.

Redefining Investor Communications with Real-Time Transparency and Precision

This company stands at the forefront of the Investment & Securities industry as a leading digital investor communications platform, revolutionizing how issuers, intermediaries, and investors connect in real time. By leveraging a unique digital pathway, the company ensures transparency, efficiency, and accuracy in investor communications, enabling a seamless flow of information across the entire ecosystem. The platform provides a robust solution for public companies and institutional investors, offering real-time transmission of AGM/EGM agendas and digital confirmation of votes. It harnesses highly scalable technology compliant with the latest regulations, such as the Shareholder Rights Directive (SRD II), thereby establishing new benchmarks for the industry. This emphasis on transparency and efficiency caters to the complex needs of the securities servicing sector, earning the trust of some of the world's largest financial institutions.

Since its inception, this company has positioned itself as an independent business with strategic investments from global financial powerhouses, including BNY Mellon, BNP Paribas, Citi, Deutsche Bank, and HSBC, among others. Originally supported by Citi's D10XSM program, this innovative platform was spun off in April 2020 and has since expanded its reach and capabilities. The company’s solutions facilitate faster decision-making and direct connections, highlighting its commitment to enhancing market efficiency through technology. As a result, it has attracted significant industry collaborations and continues to provide invaluable insights through its resource-rich offerings such as guides, webinars, and whitepapers. This company is decisively shaping the future of investor communications in the financial services landscape.

Transforming Compliance Management into Strategic Advantage for Financial Services

Operating at the intersection of innovation and regulatory compliance, this company is a premier provider of Governance, Risk, and Compliance (GRC) software solutions tailored for the financial services sector. Trusted by leading banks, insurers, and asset managers, their platform facilitates comprehensive compliance monitoring, risk assessments, and control management. The software is ingeniously designed to integrate seamlessly with existing frameworks, rendering complex compliance tasks efficient and user-friendly. With features like detailed control mappings, granular risk analysis, and robust reporting capabilities, the company elevates compliance management from a burdensome obligation to a strategic advantage.

Committed to transforming the way financial institutions manage compliance, this company offers a bespoke service aimed at embedding a culture of accountability and resilience within their clients' operations. Their proactive approach encompasses training staff, monitoring conduct, and ensuring robust operational resilience practices are in place. By providing detailed insights and actionable strategies through white papers, webinars, and client support, they empower organizations to meet regulatory standards effortlessly while enhancing product governance and third-party risk management. With a century of combined experience in financial services and software development, the company addresses the unique needs of their clients, driving both compliance and growth.

Empowering Financial Services with Innovative Compliance Solutions

Offering a robust suite of governance, risk management, and compliance solutions, this esteemed company serves an array of clients in the financial services sector, including banks, investment advisors, and hedge funds. The team, composed of industry specialists with decades of experience, understands the complexities of today's compliance challenges. Their expertise in sophisticated business models allows them to effectively address the nuanced demands of trading, trade reporting, and control frameworks. Notably, the firm stands out by utilizing advanced technology to efficiently meet compliance requirements, providing scalable, secure, and cost-effective solutions for businesses navigating regulatory landscapes.

Recognized for innovation and collaboration, the company prioritizes working closely with clients to assess risk levels and offer tailored solutions. By simplifying recommendations and leveraging existing tools, they develop processes that are both sustainable and compliant with regulatory standards. Building long-term client relationships, the firm is committed to ensuring consistent and high-quality service delivery, with a focus on maintaining ethical standards across all operations. Their dedication to excellence is further evidenced by their provision of independent testing and assessment services, supporting clients regulated by prominent bodies such as FINRA, SEC, and FCA, among others.

Empowering Excellence in Investment & Securities: Navigate the Future with Confidence

Founded upon a commitment to delivering outstanding client service, this company excels within the Investment & Securities Industry, offering adept solutions to navigate the intricacies of the evolving economic and technological landscapes. With over three decades of experience, the firm has solidified its reputation as a trusted advisor to businesses, entrepreneurs, and C-suite executives. Their expert team combines a thorough understanding of the contemporary legal landscape with a client-centric approach, ensuring that each decision is strategically aligned with business objectives. By embracing the nuanced demands of the modern business world, the organization empowers clients to make informed decisions, navigating challenges with innovation and confidence.

The firm stands distinguished by its rigorous focus on tailored legal strategies and comprehensive services. Their profound expertise extends across a broad range of sectors, including real estate, business law, securities, and emerging technologies such as AI and blockchain. Known for fostering collaborative relationships, they partner with clients to achieve sustainable growth and long-term success. The dedication to being more than legal advisors is evident in their commitment to acting as strategic partners, safeguarding client interests while maximizing opportunities. As a testament to their excellence, the firm continuously adapts to serve its diverse clientele, ensuring that they consistently exceed expectations in a rapidly changing world.

Empowering Your Financial Future with Expert Legal Guidance

With a robust foundation in the investment and securities industry, the firm stands as a trusted powerhouse for navigating the dynamic world of capital markets. The company leverages its deep expertise to provide comprehensive legal services, specializing in securities compliance, secondary market transactions, and capital financing. Its practice areas are led by seasoned experts, with Allan Grauberd at the helm, ensuring each client receives insightful guidance tailored to their unique needs. The firm further distinguishes itself by taking an inter-disciplinary approach, integrating practices in corporate law, intellectual property, tax, and bankruptcy to deliver well-rounded solutions that cater to both domestic and international clients.

The firm's dedication to understanding and anticipating the evolving needs of its clients sets it apart as a leader in the financial legal sector. It offers strategic advice to a diverse clientele, ranging from start-ups and family-owned businesses to large public corporations. Clients benefit from the firm's proactive stance on industry-specific challenges, such as securities fraud litigation and compliance with key pieces of legislation, including the Securities Act of 1933 and the Investment Advisers Act. Embracing the complexities of the financial world, the company excels at guiding clients through competitive and precarious environments, helping them capitalize on market opportunities while ensuring adherence to regulatory frameworks.

Regional Powerhouse Law Firm Delivering Practical, Value-Added Counsel

The firm provides strategic guidance and exceptional service, positioning itself as a regional powerhouse.

At Maynard Nexsen, we provide a comprehensive range of legal services to a diverse and extensive client base, including numerous Fortune 500 companies. Our financial services practice boasts extensive experience across all facets of litigation and regulatory matters. While our primary base of operation is in the Southeast, our litigation and arbitration work spans across the entire United States, with successful outcomes in 49 states domestically as well as several countries internationally.

Our strength lies in our diverse and seasoned team of attorneys, who are dedicated to offering our clients the highest quality service on local, national, and international levels. We place a high value on diversity, ensuring that different perspectives and backgrounds are embraced and valued. This approach has earned our financial services practice significant recognition, including being named BTI Securities and Finance Litigation Powerhouse 2025, a Highly Recommended Firm by Benchmark Litigation and ranked in the top 50 of all law firms in BTI’s Litigation Outlook report.

Despite our widespread geographical reach, most of our legal work is efficiently managed from our Alabama offices. This unique cost structure allows us to provide clients with exceptional value without compromising on the quality of our work. We offer a cost-effective alternative to higher-priced legal markets, ensuring our clients benefit from our proven expertise.

Our firm represents individual and corporate defendants in complex securities litigation under various Acts, including the 1933 and 1934 Acts, the Private Securities Litigation Reform Act, and the Securities Litigation Uniform Standards Act (SLUSA).

Achieving significant outcomes in class action removals, dismissals, and resolutions, including the prestigious recognition of rare federal court trials for securities class actions.

For nearly 20 years, Maynard Nexsen has provided robust representation for broker-dealers in thousands of arbitrations before Financial Industry Regulatory Authority (FINRA) Dispute Resolution panels and in state and federal courts across the country. Our specialized team includes members licensed in jurisdictions with unique requirements, such as Florida and California. We tackle complex cases involving diverse financial products, including:

We are adept at defending against allegations of undisclosed conflicts of interest and can manage typical customer disputes including unsuitability, churning, unauthorized trading, and “selling away.”

Our employment group specializes in defending claims asserted by former advisors before FINRA arbitration panels. We have managed over 100 FINRA matters in the past five years alone. Our team handles pre-litigation threats, administrative agency filings, and complex single-claimant and class action employment disputes in arbitration, particularly for global financial services firms.

We also represent clients in expungement defense matters, offering ongoing consultation and guidance on regulatory issues. Our strong Financial Services team maintains longstanding relationships with large broker-dealers and independent firms. Our niche experience in employment disputes and expungement matters sets us apart, providing a strategic advantage for our clients in industry employment matters and customer-related litigation.

Our attorneys bring substantial experience in defending individuals and firms in regulatory investigations and proceedings initiated by the Securities and Exchange Commission (SEC), FINRA, various state Securities Commissions, and other federal regulators. Our valued relationships with key regulatory figures enhance our ability to effectively represent and defend our clients.

Our decades of focused experience representing financial services clients, combined with our ability to handle a diverse range of securities litigation and regulatory issues, positions Maynard Nexsen as a leading firm in this dynamic field. Our nuanced understanding of the FINRA arbitral forum, regulatory concerns, and trial experience allows us to provide exceptional legal representation and achieve successful outcomes for our clients.

Streamlined Online Estate Planning Services for Individuals and Families

By leveraging technology and expert guidance, the company enables users to create personalized estate plans tailored to their unique needs and circumstances.

Strategic Global Advisory Excellence in Investment & Securities

Operating at the forefront of the Investment & Securities Industry, global consulting firm J.S. Held provides an extensive array of specialized technical, scientific, financial, and advisory services. With a global team of seasoned financial services professionals, the firm offers strategic guidance tailored to the unique needs of clients both in the United States and internationally. This includes investment banking solutions primarily aimed at middle-market enterprises. Their expertise extends into the African continent, where they facilitate business transactions and investments, ensuring that their clients stay competitive and compliant with international standards and regulations.

The organization stands as a bridge between financial institutions and investors, offering securities brokerage services through key affiliations, including PM Securities, LLC d/b/a Phoenix IB or Ocean Tomo Investments, a part of J.S. Held, member FINRA/SIPC. They pride themselves on offering solutions that are effective, efficient, and compliant with complex regulatory requirements. While they do not provide legal or public accounting services, their comprehensive advisory capacity is critical in supporting banks, private equity firms, hedge funds, and investment banks. By merging technical proficiency with strategic insight, the firm ensures their clients can maximize value and seamlessly navigate the evolving landscape of the financial services industry.

The Global Post-trade Network

Launched in 2021 through the combination of four businesses that have been at the heart of post trade innovation for more than 20 years (MarkitServ, Traiana, TriOptima and Reset), the OSTTRA network connects thousands of market participants to process millions of trades each day, streamlining end to end workflows – from trade capture and confirmation, through portfolio optimisation, to clearing and settlement.

Empower Your Enterprise with Resilience-Driven Software Solutions

This company is a prominent player in the Investment & Securities Industry, offering innovative software solutions designed to enhance organizational resilience and continuity. Through its sophisticated platform, built on the robust Salesforce Lightning architecture, the company enables firms to gain a comprehensive understanding of their interconnected operations, effectively managing challenges and identifying potential vulnerabilities. By providing data-driven insights and intuitive analytics, the platform empowers businesses to recognize key risks and implement strategic actions to mitigate their impact, ensuring sustained operational resilience. This seamless integration with existing systems not only fortifies a company’s risk management capabilities but also helps navigate the complexities of modern regulatory landscapes such as the Digital Operational Resilience Act (DORA).

Committed to delivering unparalleled value, the company caters to diverse sectors, particularly those in heavily regulated environments, through comprehensive risk management solution packages. Its offerings encompass third-party risk management, IT risk, and crisis and incident management, creating a cohesive framework for businesses to respond and adapt to various threats. Clients benefit from an interactive, single-dashboard interface that aggregates critical data, facilitating informed decision-making. The company is renowned for fostering a collaborative environment that emphasizes diversity and work-life balance, ensuring a positive and engaging experience for its clients and stakeholders. Recognized by industry bodies for its innovative solutions, it continues to set benchmarks in the field of operational resilience, thus solidifying its reputation as a leader in managing and strengthening risk postures across enterprises.

AI-powered Digital Communications Governance and Archiving for Financial Services

Named by Gartner as a leading Visionary in the Digital Communication Governance and Archiving sector, Shield’s end-to-end platform is purpose-built for financial enterprises. Shield combines AI-powered innovation with deep regulatory expertise to simplify compliance, strengthen security, and unlock efficiency.

Providing a centralized platform that streamlines digital communications archiving and surveillance across 100+ data sources, Shield's platform is designed modularly to flexibly support customers' needs as they scale. Transparent models deliver risk insights on every alert, making it easy for compliance to focus on what matters most. Powered by Shield AmplifAI’s multi-agent GenAI architecture, Shield uses behavioral analysis, advanced AI methods of semantic detection, and industry expertise.

By transforming data chaos into actionable insight, surfacing risk with precision, and fortifying oversight with explainable, governable AI, your team gains unmatched clarity, control, and compliance.

Mastering Compliance Excellence in the Investment & Securities Sector

Operating in the heart of the Investment & Securities Industry, this enterprise specializes in delivering high-caliber compliance advisory services through a meticulously assembled team of senior compliance consultants and executives. With a strong focus on facilitating risk management and regulatory adherence, the firm offers its clients an extensive array of services, including broker-dealer compliance, SEC and state-registered investment adviser support, and national futures association oversight. This business is not only equipped to guide firms through the intricacies of compliance regulations but also helps them navigate operational challenges by leveraging industry expertise and strategic insights. By combining sophisticated compliance software with expert advisory solutions, the company ensures that client programs are executed efficiently and aligned with both global regulatory standards and technological advancements.

With its inception under the leadership of seasoned industry veterans, the company is committed to serving as a strategic partner for businesses within the investment sector by offering profound regulatory guidance. The firm's dedication to harnessing cutting-edge technology and data analytics allows it to meet the evolving compliance needs of modern financial enterprises effectively. This proactive approach is further enhanced by an in-depth understanding of cyber-security challenges and ESG investment management practices. As seasoned former chief compliance officers and attorneys lead the team, the firm retains a distinct edge in delivering nuanced and tailored compliance solutions, thus enabling its clients to proactively manage reputational, financial, and sanction-related risks in an increasingly complex marketplace.

Revolutionize Financial Services with AI-Driven Knowledge Process Automation

Operating at the forefront of innovation in the Investment & Securities industry, this company is redefining financial services through its pioneering use of AI-powered Knowledge Process Automation (KPA). By integrating deep financial expertise with advanced automation technologies, the firm offers bespoke solutions tailored to streamline and enhance complex financial operations. Their sophisticated AI agents are designed to optimize workflows, automate labor-intensive tasks, and unlock new revenue opportunities for financial institutions. The company’s platform provides seamless integration with existing systems, enriching them with contextual intelligence and delivering transformative results across front, middle, and back-office operations. Committed to driving operational excellence, the firm enables its partners to achieve measurable outcomes in the most demanding and heavily regulated environments, while simultaneously focusing on strategic growth initiatives.

The organization emphasizes a human-centric approach, ensuring the technology augments rather than replaces human intelligence. This philosophy underpins their commitment to empower employees across all levels of an organization, fostering an environment where everyone is equipped to make impactful, knowledge-driven decisions. The company's solutions not only enhance internal processes but also pave the way for innovative use cases across multiple departments, transforming business operations and customer experiences. With a focus on efficiency and strategic insights, the firm partners with financial institutions to harness AI's potential, streamline operations, and set new standards for innovation and service excellence within the financial markets. Their commitment to transparency, rapid value delivery, and partnership enjoyment stands at the core of their mission to reshape the banking landscape and elevate industry standards.

Full-Service Law Firm Providing Comprehensive Legal Services for Financial Institutions

The firm is among the first to invest in a dedicated in-house Trial Support Department comprised of senior litigation paralegals, technology professionals, and lawyers, uniquely positioning Bressler to creatively and cost-effectively manage clients' litigation needs.

Leading Source of Financing for Mortgage Lenders and Affordable Housing

The company reduces risk and enhances housing finance liquidity, creating solutions that expand equitable access to affordable housing.

Global Financial Markets Infrastructure and Data Solutions Provider

With a focus on innovation, integrity, and partnership, LSEG enables businesses and economies to fund innovation, manage risk, and create jobs by facilitating the efficient movement of capital and securities across global markets.

German Bank Offering Tailored Solutions for Payment Transactions and Financial Management

The bank provides professional management of financial assets, helping clients make the most of their money, both professionally and privately.

Your Trusted Partner in Navigating the Complex Regulatory Compliance Landscape

Renaissance Regulatory Services is founded on the premise that the financial services industry is constantly changing. New products and services, changing regulations and globalization create unique issues in compliance and operations for firms of all sizes and business models. In order to Manage Through Change, firms must have the ability to quickly recognize and respond to the compliance and operational challenges that arise.

RRS supports firms in this mission by providing comprehensive compliance and operational consulting and support services in a customized format. Our services are individually tailored for broker-dealers, investment advisers, hedge funds, registered business development companies, investment companies, and other financial market participants. We specialize in SEC and FINRA compliance examinations, written supervisory procedures, internal controls, financial reporting, and registration services. RRS’ staff has the experience and insight to meet all your regulatory compliance needs. Services are customized to your organization’s operations and can be performed on site or remotely. RRS’ consultants and partners consist of former regulators and compliance professionals who possess extensive compliance and operational experience with SEC, FINRA, and state rules and regulations necessary to address virtually any issue

Empowering Financial Transformation Through Data-Driven Insights and Strategic Analysis

Operating at the forefront of the Investment & Securities Industry, this innovative company helps financial services entities navigate transformation through data-driven insights and strategic analysis. By engaging with broker dealers, fund manager CEOs, and technology firms, they enable stakeholders to formulate concrete investment plans, identify competitive advantages, and successfully launch new products. Grounding their strategies in comprehensive market analysis and leveraging an extensive network of global partnerships with industry leaders and associations, they not only answer pressing business queries but also deliver actionable advocacy on pivotal themes and emerging industry pressures.

With a focus on accelerating settlements, asset servicing innovation, and investment management transformation, the company empowers its clients to stay ahead of industry trends. They offer dynamic resources such as interactive data dashboards, detailed market insights, and comprehensive research reports. Their unique capabilities allow clients to benchmark themselves, understand evolving securities processes, and prepare for future regulatory changes like the impending T+1 transitions. By providing cutting-edge insights through reports, webinars, and podcasts, they ensure financial professionals can make informed decisions that align with market forces, facilitating growth and innovation across the global financial services landscape.

Leading Provider of Mortgage Financing and Housing Assistance Programs

The company makes home possible through a variety of mortgage, refinance, and housing assistance programs, optimizing loan quality in a new market dynamic to ensure stability and reliability for broker-dealers and asset managers.

Premier U.S. Law Firm Recognized for Commitment to Client Representation

Throughout its history, the firm has played a central role in developing how law is practiced, how lawyers are trained, and how business risk is managed.

Trusted Law Firm Providing Unparalleled Legal Advice and Collaboration

The firm recently advised on the approval of Grayscale Bitcoin Trust as the world's largest bitcoin ETF, demonstrating its expertise in innovative and complex financial products.

Revolutionizing Digital Asset Integrity with Pioneering Compliance Solutions

Operating at the forefront of the Investment & Securities industry, this company is dedicated to enhancing the integrity and transparency of digital asset markets. Specializing in innovative compliance solutions, it empowers financial institutions to detect, investigate, and resolve market abuse across a wide spectrum of venues, products, and asset classes. By leveraging advanced technology and sophisticated surveillance platforms, the firm enables safer trading environments in both centralized and decentralized financial markets. Their commitment to ethical market practices not only advances crypto market integrity standards but also fosters healthy discourse between industry leaders and regulators.

In its ongoing mission to revolutionize the financial landscape, the company champions the integration of blockchain innovation with robust compliance frameworks. This approach ensures that financial instruments maintain their integrity while adapting to evolving regulatory standards. The organization’s team, composed of exceptionally bright and proactive professionals, is driven by a shared vision to unlock the potential of digital assets, making finance more accessible and secure. By offering data-driven insights into financial regulation and crypto market dynamics, the company positions itself as a pivotal player in navigating the complexities of the modern investment landscape.

Global Law Firm Providing Actionable, Commercial, and Efficient Legal Advice

The firm offers comprehensive legal services for broker-dealers, covering securities trading and markets, and specializes in regulatory compliance and global asset manager regulation, aiding asset managers in navigating complex legal landscapes.

Leading European Exchange Offering Innovative Solutions for Financial Institutions

ESG products provide sustainable investment solutions for asset managers, while Investment Management Solutions support broker-dealers in optimizing their portfolios.

Herbert Smith Freehills Kramer is a world-leading global law firm, where our ambition is to help you achieve your goals. Exceptional client service and the pursuit of excellence are at our core. We invest in and care about our client relationships, which is why so many are longstanding. We enjoy breaking new ground, as we have for over 170 years.

As a fully integrated transatlantic and transpacific firm, we are where you need us to be. Our footprint is extensive and committed across the world’s largest markets, key financial centres and major growth hubs.

At our best tackling complexity and navigating change, we work alongside you on demanding litigation, exacting regulatory work and complex public and private market transactions. We are recognised as leading in these areas. We are immersed in the sectors and challenges that impact you. We are recognised as standing apart in energy, infrastructure and resources. And we’re focused on areas of growth that affect every business across the world.

All of this is achieved by supporting the growth of our people, who help us deliver on our ambition – which is to help you achieve yours.

Leading Law Firm Providing Innovative Solutions to Complex Legal and Business Challenges

The firm's Investment Management practice caters to the needs of asset managers, while its Corporate Governance team provides crucial advice for broker-dealers and asset managers navigating regulatory landscapes.

Global Law Firm Providing Innovative Solutions to Complex Legal Challenges

The firm's attorneys are known for their creative problem-solving skills and deep industry knowledge, delivering pragmatic and commercially focused advice to help clients achieve their strategic objectives.

Global Law Firm Delivering Client-Centric, Business-Savvy Legal Expertise

The firm's U.S. practices feature a concentrated depth of expertise in key legal disciplines most important to global businesses, and Freshfields is ranked by Chambers Global in Band 1 across antitrust, corporate/M&A, dispute resolution, international arbitration, tax, and public international law.

Global Leaders in Innovative Legal Solutions for the Investment & Securities Industry

This leading firm stands at the forefront of the Investment & Securities industry, providing comprehensive legal solutions tailored to meet the dynamic needs of regional and international clients. With a widespread presence across five continents, the firm is adept at navigating the complexities of global legal challenges while offering in-depth expertise in regional matters, including the Middle East. It prides itself on a holistic and innovative approach to legal practice, merging high-level legal expertise with industry-specific knowledge to craft solutions that go beyond mere compliance. Their interdisciplinary teams, comprising top-tier professionals, strive to exceed client expectations by delivering results that marry method with creativity. This client-centric philosophy ensures that legal solutions are not only effective but also strategically aligned with clients’ business objectives and sustainability goals.

Dedicated to excellence, the firm offers a gamut of services to a diverse client base that spans various sectors, including energy, capital markets, and asset management. The transformative impact of their work is seen in their comprehensive handling of regulatory matters, investment advisory services, and complex securities transactions. In a rapidly changing industry landscape marked by significant regulatory shifts, such as the recent overturning of the Chevron doctrine by the US Supreme Court, the firm remains committed to keeping clients informed and prepared for the ensuing challenges and opportunities. This commitment is encapsulated in their robust ESG approach, which addresses the evolving criteria for environmental, social, and corporate governance metrics. Through an inclusive and collaborative practice, the firm continues to redefine industry standards, shaping the future of the legal domain with dedication and passion.

Leading U.S. Law Firm Providing Innovative Solutions for Financial Institutions

The firm offers services in Business, Corporate, and Securities, catering to the needs of broker-dealers and asset managers, and provides expertise in Finance and Public Finance, areas critical to financial institutions.

Global Law Firm Providing Expert Guidance in Financial Services and Corporate Law

The firm provides specialized services in Mergers, Acquisitions, and Joint Ventures, helping broker-dealers and asset managers navigate through strategic business integrations and partnerships.

Global Law Firm Providing Comprehensive Legal Services for Financial Institutions

The firm provides legal services in Banking and Finance, catering to the needs of broker-dealers and asset managers, and offers expertise in Capital Markets, assisting with complex transactions.

Full-Service Law Firm Providing Comprehensive Solutions for Financial Institutions

The firm offers strategic advice to asset managers on global operations, portfolio investments, and corporate transactions, including investment management group structuring and marketing of private funds.

McDermott Will & Schulte LLP – Global Legal Partner for the Financial Services Industry

McDermott Will & Schulte LLP is a premier international law firm delivering sophisticated legal solutions across industries and borders. With a strong focus on financial services, we advise leading institutions on complex transactional, regulatory, and litigation matters.

As a unified financial services team, we provide comprehensive support across the full range of structured finance, derivatives, structured products, and alternative asset transactions. Our lawyers guide clients through securitizations, CLOs, structured credit offerings, and innovative financing arrangements, offering strategic advice on structuring, documentation, execution, and regulatory compliance. We represent banks, investment managers, private equity sponsors, and other financial market participants in navigating evolving market, legal, and regulatory environments.

Our practice also delivers broad-based counsel across the banking, securities, and insurance sectors, advising on regulatory compliance, supervisory and enforcement matters, and strategic business initiatives. We combine deep industry knowledge with practical insight to help clients advance growth objectives, manage risk, and operate effectively in a rapidly changing marketplace.

Beyond financial services, McDermott maintains market‑leading capabilities in healthcare, life sciences, intellectual property, and corporate transactions, including mergers and acquisitions, private equity, and restructuring. Our global platform and collaborative approach enable us to deliver seamless, business‑focused solutions across jurisdictions and industry sectors.

Learn more:

https://www.mwe.com/industries/financial-services/

https://www.mwe.com/services/corporate-transactional/structured-finance-derivatives-financial-products/

Adaptable Law Firm Providing Tailored Solutions for Financial Industry Clients

The firm provides concierge service to every client, ensuring that broker-dealers and asset managers receive personalized and attentive support.

Global Leader in Diverse Derivatives: Your Partner in Optimizing Trading & Managing Risk

The world's leading and most diverse derivatives marketplace offers a comprehensive platform for trading various derivatives, enhancing portfolio management for broker-dealers and asset managers, and facilitating effective risk management solutions, crucial in volatile markets. This diverse marketplace supports an array of asset classes, enabling tailored strategies for asset managers and broker-dealers. With advanced trading infrastructure, it ensures reliable and efficient transaction execution, making it a critical partner for financial institutions seeking to optimize their trading activities and manage risk in an increasingly complex market environment.

The company is comprised of multiple Designated Contract Markets (DCMs) and is recognized globally, including being regulated in the Netherlands and acknowledged as a Recognised Overseas Investment Exchange in the United Kingdom. It offers access to an extensive range of futures and options products, essential for diverse risk management strategies. The company’s prominence in the investment and securities industry is further amplified by partnerships and significant equity investments, positioning it as a pivotal entity in the global financial markets.

Leading Legal Expertise in Investment & Securities Industry – Navigating Complex Financial Landscapes with Precision

As a preeminent law firm in the Investment & Securities Industry, this firm specializes in offering comprehensive legal services tailored to the complex needs of financial institutions, investment companies, and asset managers. The firm's areas of expertise include asset securitization, structured finance, commercial lending, and public finance, among others. By combining practical business knowledge with an in-depth understanding of securities laws and regulations, the firm excels in helping clients navigate the challenging legal and regulatory environment. Their clients benefit from tailored solutions that ensure compliance and operational efficiency in an ever-evolving market.

Moreover, the firm's commitment to innovation and intellectual curiosity sets it apart in the legal industry. Through initiatives like Chapman Insights, the firm remains at the forefront of trends that affect institutional investors and asset managers, such as Environmental, Social, and Governance (ESG) performance and regulatory changes. Recognized for its pro bono work and environmental sustainability efforts, the firm demonstrates a dedication to ethical practices and social responsibility. With offices across major financial hubs, the firm is well-positioned to serve a diverse clientele, including broker-dealers, private funds, and investment advisers, providing them with the strategic counsel required to thrive in a competitive landscape.

Global Law Firm Providing Comprehensive Solutions for Financial Institutions

The firm provides legal services in Investment Funds and Asset Management, offering expertise in Banking and Institutional Finance.

Specialized Data Solutions for Identifying and Mitigating Risk in Opaque Industries

CRB Monitor is a corporate intelligence information services firm that specializes in opaque, organizing industries such as cannabis, crypto, and psychedelics.

The firm provides data-as-a-service solutions to large financial institutions, including many of the largest broker-dealers and custodians, to accurately identify, classify, and risk-rate businesses and securities for compliance and regulatory purposes.

By leveraging advanced data analytics and industry-specific expertise, CRB Monitor helps clients navigate the unique challenges and risks associated with these rapidly evolving sectors.

Innovative AI-Powered Solutions for Streamlining Pre-Trade Processes

The company's patented AI technology allows users to enter data and documents once, expediting information exchange to help achieve revenue faster and automate future processes.

Transform Financial Market Processes with Scalable Data Automation Solutions

Operating within the Investment & Securities Industry, this company specializes in harnessing the power of data automation to revolutionize financial market processes. Their highly adaptable platform is engineered to manage thousands of use cases, optimizing tasks such as tax processing, reconciliations, confirmations, client onboarding, and allocations. By empowering business users within financial institutions, their platform transforms complex data scenarios into streamlined, automated flows. This conversion not only simplifies data extraction and transformation but also digitizes entire data-centric processes, offering a superior, end-to-end solution that works seamlessly across diverse enterprise environments.

Prominent global financial institutions trust this company to enhance operational efficiency, guarantee compliance, and minimize risks. The platform is renowned for its scalability, ease of use, and robust audit capabilities, allowing organizations to reduce their dependency on technical teams. With an ISO 27001 certification underscoring their commitment to security, the company's expertly crafted solutions facilitate superior client management and transaction workflows, driving substantial returns on investment. Their dedication to understanding market needs and regulatory changes ensures that financial institutions can transform fragmented data into reliable, actionable insights, positioning them at the forefront of financial services transformation.

Transformational Collateral and Liquidity Solutions for Optimal Decision-Making

By connecting the dots between disparate eligibility, inventory, trading, cash, and counterparty data, Transcend reveals new opportunities and enables smarter decisions.

Theta Lake provides critical tools to govern modern communications and productivity applications, mitigating risk across unified communication and productivity platforms, including their embedded AI features. Theta Lake’s cloud- and AI-native Digital Communications Governance and Archiving (DCGA) platform offers a comprehensive solution to capture, archive, and supervise all interactions. The platform's unified search and archiving capability allows organizations to easily search and replay voice, video, chat, and AI Communications (aiComms) in a single pane with views across UCC tools. This dramatically simplifies investigations and e-discovery while improving the efficiency of the review process. Theta Lake's leadership is recognized by Gartner, which named it furthest in Vision in the 2025 Magic Quadrant for DCGA Solutions and ranked it #1 in 5 out of 6 Critical Capabilities Use Cases.

Theta Lake's platform delivers complete coverage across all modalities, including traditional e-comms, complex audio comms, video comms, and emerging aiComms. Specifically, Theta Lake enables the compliant use of generative AI tools like Microsoft Copilot, Zoom AI Companion, Anthropic's Claude, and others by inspecting and reconciling prompts and responses. Crucially, the platform's AI risk detections are supported by built-in audit and explainability reporting, enabling legal and compliance professionals to understand why a risk was flagged and demonstrate comprehensive oversight. Further cementing its commitment to responsible AI governance, Theta Lake is proudly ISO 42001 certified. The platform's features support essential information capture, retention, and supervision regulatory requirements for SEC 17a-4, FINRA 2210, CFTC Regulations 1.35 and 23.202, FCA and ESMA MiFID II, and a host of other global compliance rules.

Revolutionizing Financial Data Automation with AI-Driven, No-Code Solutions

Operating at the forefront of the Investment & Securities Industry, this company has distinguished itself as a leader in enterprise data automation. By leveraging a no-code platform driven by end-user capabilities and powered by AI, it provides financial and operational teams the means to automate the processing of structured and unstructured data. This encompasses data extraction and classification, transformation, reconciliation, validation, and the management of exceptions. Its platform drastically reduces the time spent on manual data tasks, helping clients save millions by shifting away from costly, labor-intensive workflows. Key features include scalability, transparency, and flexibility, ensuring that data processes remain secure and governed while tapping into advanced technologies like GenAI and machine vision.

With a commitment to transforming operational models, the company's cloud-based software-as-a-service (SaaS) model ensures that financial institutions can decommission expensive legacy systems while enhancing data automation capabilities. By enabling business users to construct and manage processes independently, it accelerates efficiency without waiting on IT interventions. The platform is continuously updated and enhanced, providing clients with cutting-edge solutions tailored for agility and innovation. Trusted by over 150 financial institutions, including many tier-one banks, the company empowers its clients to build agile businesses, control costs, reduce errors, and ensure data accuracy, all while maintaining compliance and mitigating operational risks in the fast-evolving financial sector.

Leading the Way in Advanced Trade Surveillance and Market Risk Solutions

With unparalleled expertise in the Investment & Securities Industry, this company excels in providing cutting-edge trade surveillance and market risk solutions for a diverse range of financial institutions. Its hallmark platform leverages advanced machine learning algorithms to continuously analyze trade data and market activities across multiple asset classes—including equities, options, futures, foreign exchange, and fixed income instruments. Designed with flexibility and scalability at its core, the platform can be seamlessly integrated with existing systems, thereby meeting the unique requirements of each client. By offering real-time alerts and comprehensive case management tools, they significantly enhance the efficiency and effectiveness of compliance teams, mitigating the risk of regulatory fines and reputational damage.

Founded by capital markets experts and compliance practitioners, the company relishes its collaborative approach, which fosters deep partnerships with its clientele. This teamwork not only drives innovation but also ensures the platform remains highly adaptive to evolving market complexities. Known for its robust customer support and continuous enhancement through heavy R&D investment, the platform stands out in high-volume, real-time environments handled by banks, broker-dealers, proprietary trading groups, and digital asset markets, among others. Clients rely on this globally recognized provider for its state-of-the-art surveillance capabilities and proactive risk management solutions to overcome the most pressing trade surveillance regulatory challenges in the financial industry.

Oldest Continuing Wall Street Law Practice Serving Global Financial Institutions

The firm's attorneys are renowned for their expertise in complex transactional, litigation, and regulatory matters, providing innovative solutions to help clients achieve their strategic objectives.

Data Collaboration Platform Driving Efficiencies in Financial Markets

The company's collaborative network enables systematic communication of real-time data statuses and requests to clients and counterparties, supporting existing settlement activities and providing tools for determining eligibility and risk projection for buy-ins and penalties to meet expected CSDR requirements.

Sidley is the market leader in securities enforcement defense and regulatory compliance advice across all securities regulators including the SEC and FINRA. Our Securities Enforcement and Regulatory practice is regarded as one of the most experienced and prominent such teams in the country, is consistently top-ranked in Chambers USA, and was recently named “Compliance Group of the Year” (2024) by Law360 as well as “Law Firm of the Year” for Securities Regulation (2024 and 2020) and for Litigation – Regulatory Enforcement (2025 and 2023) by U.S. News – Best Lawyers.

A significant differentiator in Sidley’s practice from other law firms is our depth of experience in this space. While many law firms have teams with former regulators, Sidley has more than 50 FINRA and SEC alumni across the firm – many of whom held senior-level positions – with in-depth knowledge of the practical application of the technical rules governing compliance, how financial services firms implement them, and what regulators expect.

With a deep understanding of the legal and regulatory landscape and a focus on collaboration and innovation, Sidley Austin is a trusted partner for broker-dealers and asset managers navigating the complexities of the global financial markets.

Driving Digital Transformation and Competitive Growth in the Investment & Securities Industry

Operating at the intersection of technological innovation and financial expertise, this global consultancy firm harnesses the power of change to deliver unparalleled value within the Investment & Securities Industry. Leveraging advanced AI-driven platforms and strategic reinvention readiness, the firm equips businesses with critical insights and resilient digital frameworks, enabling them to navigate cyber threats, regulatory landscapes, and environmental, social, and governance (ESG) goals. By integrating generative AI technologies, the firm supports clients in transforming their operations and accelerating their sustainability journeys, ensuring lasting competitive advantages.

The firm is renowned for its collaborative approach, partnering with leading enterprises across diverse sectors—including aviation, streaming services, and automotive sales—to drive digital transformations and enhance customer experiences. With a strong ethical foundation and a commitment to inclusivity, the firm builds diverse, high-performing teams that deliver customized, impactful solutions. Recognized globally for its excellence in management consulting and as a top employer, the company continually reinvents itself to remain at the forefront of industry advancements, providing comprehensive services that propel clients toward higher, faster returns and sustained growth.

Innovative Cash Sweep, Deposit Funding, and Securities-Based Lending Solutions

The company's cash sweep solutions enable clients to automatically transfer idle cash balances into higher-yielding investment accounts, while its deposit funding solutions help banks attract and retain deposits more effectively.

Global Leader in Business and Financial News, Data, and Analytics

The Bloomberg Terminal provides real-time financial data and trading capabilities, essential for broker-dealers and asset managers, while Bloomberg Anywhere offers remote access to ensure users stay connected to the market.

Transforming Financial Reconciliations with Intelligent Automation Since 1994

Operating within the Investment & Securities Industry, this company is a pioneer in automated reconciliations, having led the way since 1994. Their flagship product is an all-encompassing, self-contained solution designed to automate complex and time-consuming financial and operational reconciliation processes. By leveraging intelligent automation, their platform eliminates the need for manual intervention, ensuring quick and accurate matching and break analysis. The system’s robust Management Information (MI) insights and customizable dashboards enable end-users to make well-informed, data-driven decisions with efficiency and confidence, significantly reducing the time spent on reconciliations by at least 75%.

With a client base that includes some of the most prominent names in asset management, banking, payments, and insurance sectors, the company’s solutions are integral to enhancing financial data management and regulatory compliance. Their tailored deployments cater to the unique needs of each industry, whether it's safeguarding payment institutions to comply with FCA guidelines or optimizing reconciliation and financial controls for insurance firms. Their innovative technology ensures timely, accurate, and comprehensive financial data controls, helping organizations of all sizes—from established banks to nimble start-ups—gain a competitive edge by transforming their reporting processes and achieving cost efficiencies.

Comprehensive Compliance Solutions for the Investment and Securities Industry

Specializing in post-issuance securities and tax compliance, this company offers a comprehensive suite of tools and services tailored for the Investment and Securities Industry. Their portfolio notification system, which is highly utilized by wealth managers, retail brokers, institutional investors, and financial analysts, delivers critical information to support informed investment decisions and regulatory compliance. The company's services extend to acting as a dissemination agent, providing consolidated templates to ensure timely and efficient reporting, and converting documents to meet MSRB requirements. Their platform is also recognized for its reliable rating monitoring and compliance findings, aiding both clients and non-clients in the municipal securities domain.

Additionally, the organization facilitates the development of post-issuance securities compliance programs through model policies and procedures. Their centralized repository stands out for its ability to avoid failed filings, thus solidifying their reputation as a reliable partner in the financial sector. The firm’s comprehensive approach ensures that issuers and obligors meet all ongoing content requirements efficiently, reinforcing their commitment to integrity and accuracy in financial reporting. Through their intricate portfolio notification system, investors can access pertinent data that reinforce prudent investment strategies and adherence to securities laws.

Specialized Technology Law Practice for Complex Transactions and Data Privacy

The firm also advises on matters relating to data privacy and cybersecurity, helping clients navigate the complex legal and regulatory landscape surrounding these critical issues.

Innovative Pre- and Post-Trade Solutions Leveraging Data, AI, and Interoperability

The company's products range from trade management to sales analytics, hyperpersonalized asset recommendation, and intelligent document processing.

Premier Law Firm Providing Strategic Counsel at the Intersection of Government, Technology, and Business

WilmerHale provides global legal representation across a comprehensive range of industry and practice areas that are critical to clients' success.

The firm works at the intersection of government, technology, and business, supporting clients across a range of industries, from finance to life sciences.

WilmerHale recently advised Akamai Technologies in its definitive agreement to acquire Noname Security, an API security company, and successfully defended Gilead Sciences in a precedent-setting patent infringement trial against the US government. The firm's annual IPO, Venture Capital, and M&A reports offer detailed insights into market conditions and provide comprehensive statistics and thoughtful analysis, demonstrating its deep understanding of the legal and business landscape in which broker-dealers and asset managers operate.

Droit builds mission-critical, breakthrough products to advance global regulatory compliance and real-time controls. Droit Adept is the innovative, patented platform that drives intelligent decision-making in a complex rule-driven landscape. The Adept platform provides an implementation of regulatory rules reflecting industry consensus. Institutions rely on Adept to provide solutions for pre-trade and post-trade controls, evaluating the permissibility of transactions, compliant regulatory reporting, and more. Adept generates decisions directly from digitized rules, regulations, and internal policies, visually represented in intuitive logic diagrams and linked back to the original sourced text. This complete traceability empowers users to ac

Your Trusted Class Actions Consultant

Chicago Clearing Corporation (CCC) is the securities and antitrust class action claims services specialist. Outsourcing to CCC enables clients to eliminate the burden of claim filing, keep up with every potential recovery opportunity, and focus on the real work of investing.

CCC was founded by James Tharin (chair of the SIFMA Class Action working group) to help ensure class members receive the settlement awards they deserve. For 30+ years we have provided superior claim filing services and top-flight customer service to clients including bank trust departments, investment advisors, money managers, mutual funds, pension funds, hedge funds, brokerage firms, market makers, specialists, and proprietary trading firms. We continue to create new technologies and intuitive systems that serve investors wisely, and that maximize their recoveries in every settlement for which they are eligible.

Secure Cash Management and Funding Solutions for Financial Institutions

IntraFi LLC enables financial services companies of all sizes to keep their customers' money secure, manage cash balances, and increase profitability.

The company's deposit network offers deposit placement and wholesale funding services nationwide, providing simple, convenient solutions to safeguard large cash balances.

Through IntraFi, depositors can work with just one financial institution of their choosing to diversify their funds across numerous financial institutions. The company also offers access to bank asset sales and purchase opportunities, including loan purchases and private equity capital call facilities, helping financial institutions optimize their balance sheets and manage liquidity.

Global Institution Promoting Sustainable Development and Poverty Reduction

The organization comprises two institutions: the International Bank for Reconstruction and Development (IBRD) and the International Development Association (IDA), which together offer a wide range of financial products and services to member countries.

Your Trusted Partner in Comprehensive Financial Compliance and Strategic Growth Solutions

For more than four decades, this firm has been a steadfast partner in the Investment & Securities Industry, specializing in financial accounting and compliance solutions for Broker-Dealers and Registered Investment Advisers. Leveraging their extensive experience, they provide indispensable services ranging from outsourced Financial Operations (FinOp) and Chief Compliance Officer (CCO) roles to comprehensive AML testing and cybersecurity compliance consulting. They offer a flexible approach to compliance services, enabling firms to outsource their CCO needs entirely or choose to support their in-house CCO with project-specific or extended consulting services. Their core offerings include SEC registration, ongoing regulatory compliance support, and the independent testing of AML programs to ensure that clients meet stringent industry standards and regulatory expectations.

The firm prides itself on being a dynamic group of accountants and consultants who bring energy, imagination, and a client-first mindset to every challenge. Their reputation for accuracy and professionalism in outsourced Client Accounting Services underscores a commitment to maintaining the highest standards while innovating to stay ahead in the financial services sector. This company’s services are designed to relieve entrepreneurs of the complexities of securities regulation, allowing them to focus on their primary business objectives. With a proven cost-effective model, they assist startups, especially in the FinTech sector, with tax compliance and strategic business consulting. By focusing on efficient and reliable management of regulatory burdens, they not only align closely with clients' interests but also ensure optimal safeguarding and management of sensitive financial data in an evolving digital landscape.

Premier Post-Trade Market Infrastructure for the Global Financial Services Industry

The Depository Trust & Clearing Corporation (DTCC) is the premier post-trade market infrastructure for the global financial services industry, providing clearing, settlement, and information services for equities, corporate and municipal bonds, government and mortgage-backed securities, money market instruments, and over-the-counter derivatives.

DTCC's subsidiaries operate on a shared services model, enabling them to deliver highly efficient and cost-effective solutions to their clients while mitigating risk and enhancing transparency in the financial markets.

As a critical infrastructure provider, DTCC is committed to driving industry-wide solutions that reduce costs, increase efficiency, and bring stability and resilience to the financial markets. The organization's centralized data repository and suite of data services help clients meet regulatory requirements and gain insights into their own operations and the broader market.

Leading the Way in Investment & Securities Legal Expertise

Known for its comprehensive suite of services, this company operates at the forefront of the Investment & Securities industry. The company's expansive legal expertise supports a broad array of financial activities, including investment advisory, securities trading, and regulatory compliance. With a distinguished team of professionals who have represented broker-dealers, investment advisers, and individual securities industry experts for decades, the firm ensures that its clients navigate complex legal challenges with utmost precision. Its global reach and profound understanding of financial regulations make it an invaluable partner for institutions involved in the most intricate securities transactions.

The firm is deeply embedded in the financial sector, frequently providing legal counsel on matters ranging from fund management to securities litigation. It engages with industry bodies such as the Asia Securities Industry & Financial Markets Association, guiding policies and offering insights that shape the future of financial markets. Additionally, the firm's involvement in high-profile financial investigations underscores its capabilities in managing risks and ensuring regulatory compliance. By offering targeted and strategic legal solutions, the firm fortifies its clients' positions in a competitive and rapidly evolving investment landscape.

Global Law Firm Providing Competitive Edge in Complex Marketplace

With a presence in more than 160 locations worldwide, the firm offers global solutions and insights into anti-bribery and anti-corruption laws, which can be crucial for broker-dealers and asset managers.

Redefining Fairness and Innovation in the Investment & Securities Industry

In the Investment & Securities Industry, this company stands out as a unique and innovative stock exchange dedicated to driving superior execution quality for broker-dealers and investors. Using cutting-edge technology and data, they have introduced groundbreaking mechanisms like their 38 miles of coiled cable, which ensures that incoming orders and messages are processed in a fair and transparent manner. This "Speed Bump" levels the playing field, allowing the exchange to act as an impartial referee in trading activities. Their mathematical formula, developed with machine learning, helps identify unstable stock prices and offers protection through specially designed order types. These innovations underline their commitment to ensuring fair, efficient markets and protecting investor interests.

Furthermore, the company is renowned for its industry leadership in stable midpoint trading volume, offering execution quality that benefits the retail community and institutional players alike. Their proprietary Discretionary Peg Order Type™ enhances trade stability and price improvement for participants. The organization maintains strong relationships with broker-dealers, investors, and other stakeholders to continuously drive market structure reforms and improvements. Through initiatives like advisory committees and ongoing advocacy for transparent market data, they strive to align the financial system with the needs of all market participants, emphasizing a collaborative approach to tackling industry challenges and advancing investor protection.

Leading Provider of Financial Data and Value-Added Services for the Global Financial Industry

From its core reference data on securities, prices, corporate events, tax, and regulatory data to its flagship indices and bespoke benchmarks, SIX offers added-value services that smoothly integrate with clients' workflows.

Full-Service Law Firm Forging Long-Term Client Relationships and Delivering Results

Since its founding in 1901, the firm has grown to be one of the 200 largest law firms in the U.S., with lawyers working together to guide clients through virtually every challenge, from day-to-day operational decisions to complex legal matters.

Compliance Built Better.

MCO (MyComplianceOffice) provides integrated compliance management software that enables global firms to proactively manage compliance obligations and the regulated activities of employees, the company and third-party relationships.

With 30+ products on a singular system, our powerful platform helps 1500+ client companies across 125+ countries to move away from manual processes and towards more strategic compliance. Available as a unified suite or à la carte, our easy to use and extensible SaaS solutions get firms up and running quickly and affordably.

MCO’s “Know Your” solution suites are built on the dynamic MyComplianceOffice platform. Its capabilities provide comprehensive monitoring and reporting, workflow-directed task management and real-time exception alerts via a simple and intuitive interface. We enable customers to:

Our customers work in a highly regulated and volatile environment with extensive enforcement. We help firms with even the most complex regulatory obligations gain more efficient and effective compliance governance with a long-term and integrated solution.

Elite Legal Excellence in Investment & Securities: Guiding Global Success

Operating within the Investment & Securities Industry, this leading firm offers a comprehensive suite of legal services geared towards meeting the intricate needs of a diverse international clientele. Recognized for their astute commercial acumen, the firm's attorneys are deeply embedded in the sectors they serve, ensuring clients receive innovative and tailored advice. With a commitment to responsible business practices, the firm is dedicated to helping its clients, employees, and communities thrive. This ethos is reflected in their strategic leadership, as underscored by the recent appointment of a new Global Co-CEO and US Chief Executive, aimed at continuing the tradition of exceptional client service and legal counsel.

In addition to their legal prowess, the firm is actively involved in shaping the landscape of the securities industry, providing expertise in regulatory matters through its seasoned Securities Enforcement team. With members who have served as senior counsel at prominent regulatory bodies, such as the Securities and Exchange Commission and the Financial Industry Regulatory Authority, the team is well-equipped to navigate the complexities of securities law. Their thought leadership is complemented by active participation in related professional organizations, contributing to the development of industry standards and best practices. By remaining at the forefront of legal trends and updates, the firm ensures its clients are not only compliant with current regulations but also well-prepared for future challenges.

Advanced Compliance and Trade Analytics Software for Financial Institutions

By leveraging advanced analytics and machine learning algorithms, S3's platform enables compliance teams to efficiently monitor and investigate trading activity across multiple asset classes and markets.

Global Custody and Securities Lending Services with Expertise and Innovation

The bank's expertise and perspective enable it to provide world-class service with innovative solutions tailored to customers' needs.

Global Law Firm Advising on Corporate Transactions, Investigations, and Regulatory Matters

The firm's litigation experience includes representing BP in its historic $18.7 billion settlement with government authorities over the Deepwater Horizon oil spill, establishing the framework for global resolutions of all federal, state, and local environmental and economic damage claims.

Empowering Financial Institutions with Cutting-Edge Class Action Recovery Solutions

Positioned at the forefront of the Investment & Securities Industry, this company specializes in providing comprehensive class action recovery and compliance solutions to financial institutions globally. With a focus on maximizing recoveries and streamlining operations, they stand as the leading shareholder class action monitoring and recovery provider, trusted by prominent banking and wealth management entities. Their services ensure clients are aware of every recovery opportunity, adeptly filing claims to secure entitlements. Through cutting-edge technology and innovative approaches, they empower clients to uncover hidden value in their investment operations, modernize compliance, and optimize shareholder litigation processes.

Committed to principles of responsible governance, environmental stewardship, and social equity, the company not only supports investment recovery but also fosters a culture of diversity and inclusion within its workforce. Their talented leadership team, with deep-rooted expertise in financial services and investment management, drives the company's mission to evolve and lead technological advancements in the industry. Their corporate responsibility ethos extends to engaging with and supporting local communities worldwide, embodying a holistic approach to business that emphasizes ethical practices and community engagement. This company encourages continued professional growth and seeks passionate individuals to join their journey in transforming the Investment & Securities Industry landscape.

Global Law Firm with Expertise in Government Regulatory Work and Complex Financial Disputes

The firm offers comprehensive business transaction services for asset managers and has a specialized SEC enforcement practice led by industry experts.

Leading Law Firm Providing Strategic Advice and Pragmatic Solutions to Financial Institutions

The firm provides comprehensive legal services that cater to the intricate needs of global financial institutions, with investment funds relying on Fried Frank for strategic legal advice and solutions.

Leading Global Law Firm Delivering Innovative Solutions and Unparalleled Client Service

As innovative thinkers and client service leaders, Skadden champions inclusion in the financial sector and provides valuable insights into the management of deal risks in today's regulatory environment.

Fixed Income Trading & Collateral Management Solutions

TradeBlazer is a highly-rated, proprietary platform for trading, collateral management and settlement. With 30+ years of business logic built in, TradeBlazer is regularly updated to keep pace with client requests and regulatory requirements. The platform integrates trading, accounting, credit, risk management, settlement and clearing functions, providing comprehensive trade processing support. These features empower users to manage their trading workflow with ease, driving operational efficiency and profitability. TradeBlazer is the ideal platform for banks, broker-dealers, funds and asset managers seeking integration across fixed income trading, collateral management and settlement functionality. It is a private-cloud hosted system that simply consumes trades from brokers and other systems. Trusted by some of the largest firms on Wall Street, TradeBlazer offers best-in-class support for fixed income, repo, MBS transactions and equity securities lending. Its all-encompassing suite of integrated functions includes accounting, credit, operations, risk management and trading modules, complemented by real-time clearance functions. Extensive online and batch reporting simplifies the Operations team's responsibilities.

Matrix offers a comprehensive suite of trade support functions and fixed income experts to streamline your back-office securities processing tasks. Our Managed Services team enhances your existing staff and provides you with additional flexibility, improving your team's performance and effectiveness while reducing costs. We work with you to develop a Service Level Agreement tailored to your specific business needs, including daily workflows, training, help guides and more.

Learn more at www.matrixapps.com/tradeblazer and www.matrixapps.com/managed-services.

FINRA Rule 4210 Compliance for Covered Agency Transactions

MarginCalculator is a simple web-based, interactive margin workflow solution to the complex problem of margining forwardsettling trades, particularly TBAs, specified pools, ARMs and CMOs. We help you compute and validate margin requirements by taking all necessary variables into account. You maintain control with interactive monitors displaying aggregated exposure by counterparty and we inform you when margin is and is not required. We record activity and allow you to send margin call emails directly from the screen. Our straightforward and cost effective margin workflow platform will ensure you comply with all regulations while keeping it simple for the user. MarginCalculator calculates exposure taking into account market fluctuations, settled and unsettled positions and cash / collateral margins posted to ensure monitoring risk is seamless.

About Matrix Applications

Matrix Applications, LLC is a New York-based fintech service bureau that offers a suite of collateral management, margining and clearing systems for institutional fixed income trading and equities securities lending. Comprised of a team of capital markets and systems professionals, Matrix Applications delivers financial technology solutions to institutional firms of all sizes. Since 2000, the company has worked hands-on with clients to identify an optimal mix of services to best fit their needs, from systems to back-office operations assistance. With in-house and offshore developers, Matrix Applications provides clients with the right technology at the right price while leveraging extensive technical experience and a deep network to deliver bespoke managed services.

Dedicated Law Firm Serving the Legal Needs of Sophisticated Investment Funds and Investors

PMW's Markets and Trading Group represents clients that actively trade in all asset classes across the world, both cash and derivatives, using a variety of strategies - arbitrage, leverage and plain vanilla investments. Our lawyers have deep and wide experience of interpreting such strategies and negotiating the legal documents necessary to support them. We stand ready with timely guidance on the regulatory issues that routinely arise in such contexts, interacting with traders as well as legal and compliance personnel.

Transformative Management Consulting Services for the Financial Industry

Sia is a next-generation, global management consulting group that delivers transformative solutions to clients across various sectors, including banking, insurance, capital markets, and asset management.

The firm's expertise encompasses strategy, operations, technology, and risk management, helping financial institutions adapt to evolving market conditions, regulatory requirements, and customer expectations.

With a team of seasoned consultants and a collaborative approach, Sia works closely with clients to design and implement customized strategies that drive efficiencies, enhance performance, and unlock new growth opportunities. The firm's commitment to innovation and thought leadership enables it to stay at the forefront of industry trends and deliver cutting-edge solutions to its clients.

Leading Law Firm Focused on Corporate and Litigation Work in Financial Services

The firm is particularly well-known for its representation of major commercial banks, investment banking firms, investment advisers and related investment funds, broker-dealers, institutional investors, and transportation companies, particularly in the shipping area.

Pioneering Safe and Efficient FX Settlement Solutions in the Global Financial Market

In the Investment & Securities Industry, this company serves as a crucial backbone for the global financial market infrastructure, specializing in foreign exchange (FX) settlement solutions that enhance safety, efficiency, and cost-effectiveness for their clientele. It stands as a trusted guardian in the FX ecosystem, enabling seamless currency flows with trillions of dollars processed daily. With a robust standardized infrastructure designed to mitigate systemic risk, it offers unparalleled efficiency by reducing funding requirements significantly through its multilateral netting approach. Recognized for setting global standards in FX settlement, it continues to innovate, driven by insights garnered from a deep engagement with prominent financial institutions, corporations, and regulatory bodies.

The firm's commitment to minimizing systemic risk and enhancing operational efficiency in the FX market is reflected in its pioneering initiatives such as CLSNet, an automated bilateral payment netting solution. By adapting swiftly to evolving regulations, technologies, and market dynamics, it ensures that clients are equipped to manage risks and optimize capital use effectively. As a mutually-owned entity by its stakeholders, which include some of the world's largest financial institutions, it operates for the market by the market, continuously building on its rich history and trust to deliver targeted and reliable solutions. Its dedication to fostering a supportive work environment has repeatedly earned it accolades as one of the best places to work, highlighting its inclusive culture and focus on employee welfare across various demographics.

Strategic Legal Counsel at the Intersection of Law and Policy

The firm provides innovative solutions for the toughest business problems, deals, and disputes, catering to the needs of broker-dealers and asset managers.

Global Law Firm Advising Businesses and Institutions that Power the Global Economy

Latham & Watkins’ Financial Institutions Group addresses the evolving regulatory and proprietary needs of our financial institution clients across the globe, from long-standing, traditional players to new and emerging industry entrants.

We offer expertise in capital markets, mergers and acquisitions, and investment funds, catering to the complex needs of broker-dealers and asset managers. With a deep understanding of the financial industry and a commitment to delivering exceptional results, Latham is a trusted partner for financial institutions navigating an increasingly complex and dynamic market.

Full-Service Business Law Firm Providing Comprehensive Legal Solutions

The firm offers comprehensive legal services in corporate law, crucial for broker-dealers and asset managers navigating complex regulatory environments, and its expertise in intellectual property law supports asset managers in protecting their financial products and investment strategies.

Leading Global Law Firm Delivering Innovative Solutions for Financial Services Clients

With a global presence, the firm delivers insights and strategies for navigating international financial markets, leveraging its expertise in capital markets and corporate finance to benefit clients in their transactions.

Global Leader in Cloud Computing Services for the Financial Industry

With a comprehensive suite of cloud-based solutions spanning infrastructure, platform, and software services, AWS helps organizations build and deploy applications quickly and securely.

Leading Law Firm Advising Innovative Companies and Investors

The firm's attorneys combine deep industry knowledge with a passion for innovation, providing strategic counsel to help clients navigate complex legal and business challenges.

Strategic Consulting and Regulatory Expertise for the Financial Services Industry

With a team of experienced professionals, including former senior regulators and industry executives, Patomak provides strategic advice, regulatory expertise, and practical solutions to help clients navigate the complex and ever-changing financial services landscape.

Award-Winning Legal Services Provider Delivering Transformative Solutions

QuisLex is an award-winning legal services provider that specializes in managed review, contract lifecycle management, mergers and acquisitions, compliance, data breach, legal spend management, and legal operations consulting. Our full-time highly trained attorneys, process experts, legal technologists, statisticians, and linguists work closely with our clients to reduce costs, mitigate risk, and maximize efficiency. QuisLex is regularly acknowledged as a leader in the legal services industry and proud to be recognized by the Association of Corporate Counsel as an ACC Value Champion, Chambers and Partners as a Band 1 NewLaw Provider, the World Commerce & Contracting Association as an Outstanding Service Provider, and the New York Law Journal as a Top Managed Document Review Services Provider. QuisLex is certified by the National Minority Supplier Development Council as a Minority Business Enterprise. To learn more, visit www.quislex.com.

Global Law Firm Delivering Exceptional Service and Innovative Solutions

The firm's commitment to excellence in everything they do gives clients a competitive edge in everything they do.

About Computershare Limited (CPU)

Computershare (ASX: CPU) is a global market leader in transfer agency and share registration, employee equity plans, proxy solicitation and stakeholder communications. We also specialize in corporate trust, mortgage servicing and a range of other diversified financial and governance services.

Founded in 1978, Computershare is renowned for its expertise in high integrity data management, high volume transaction processing and reconciliations, payments and stakeholder engagement. Many of the world’s leading organizations use us to streamline and maximize the value of relationships with their investors, employees, creditors and customers.

Computershare is represented in all major financial markets and has over 12,000 employees worldwide.

For more information, visit www.computershare.com

Global Provider of Financial Market Infrastructure Services for Securities Transactions and Funds

The company offers comprehensive collateral management solutions and secure, efficient settlement services for securities transactions.

Global Leaders in Investment & Securities Legal Excellence

This esteemed firm operates within the Investment & Securities industry, offering comprehensive legal services that include complex litigation, regulatory compliance, and cross-border investigations. With offices strategically located in New York, Paris, Washington, D.C., and London, the firm is well-equipped to serve a diverse clientele, ranging from major financial institutions to high-profile individuals. Their exceptional team of attorneys brings extensive expertise and a commitment to excellence, fostering a reputation for delivering high-quality legal counsel and representation. The firm's proactive approach and nuanced understanding of the financial sector's intricacies make it a trusted advisor in handling critical and sophisticated legal challenges.

Recognized globally for its standout capabilities in government-led and internal investigations, the firm has consistently secured a position in prestigious rankings such as the Global Investigations Review’s GIR 100 and Vault’s Top 150 Under 150 list. The company is also celebrated for its dedication to diversity and inclusion, having achieved Mansfield Certification, which underscores its commitment to fair representation in leadership roles. By successfully combining the agility and personal service characteristic of a boutique firm with the expansive knowledge base and resources typical of a major international firm, the company continues to excel in meeting the evolving needs of its clients in the dynamic landscape of the investment and securities law industry.

Capco is a global management and technology consultancy specializing in driving transformation in the financial services industries. Capco operates at the intersection of business and technology by combining innovative thinking with unrivalled industry knowledge to fast-track digital initiatives for capital markets, banking and payments, wealth and asset management, insurance, and the energy sector. Our global teams advise and assist clients transform their technology and data capabilities, enhancing efficiency and market connectivity while accelerating revenue growth.

With a deep understanding of financial services industry and a focus on delivering practical, results-oriented solutions, Capco is a trusted partner for large-scale operational transformations by delivering increased operational efficiency, stronger control environments, and greater scalability.

To learn more, visit www.capco.com or follow us on LinkedIn, Instagram, Facebook, and YouTube.

Global Professional Services Firm Empowering Financial Institutions for Future Success

Our mission is to help our clients grow, engage with customers, manage costs, and comply with regulations by leveraging the power of data, digitization, and disruption.

By integrating our capabilities across audit, tax, and advisory, KPMG banking and capital markets professionals bring insight to help our clients build competitive advantage and align strategies during this period of substantive change and enormous opportunity.

Leading banking and capital markets firms rely on KPMG to help them improve business performance, turn risk and compliance into opportunities, develop strategies, and enhance value. With partners and professionals across the US, the KPMG banking and capital markets team sees today’s environment of converging challenges as a catalyst for improvement by taking advantage of the opportunities that surround us.

Davis Wright Tremaine LLP is a full-service law firm with a market-leading financial services practice. Our team of approximately 70 lawyers—including former in-house counsel and bank regulators—advises national, regional, and community banks, fintechs, and financial institutions on regulatory, transactional, enforcement, and litigation matters. We deliver tailored, high-value counsel to help clients navigate the evolving financial services landscape.

Full-Service Law Firm Offering Comprehensive Support to Financial Institutions

The firm offers asset managers expertise in navigating complex financial regulations and structuring investments, while also assisting broker-dealers and asset managers with business reorganization and financial restructuring, ensuring stability and growth.

Premier Law Firm Advising on Complex Transactions and Regulatory Matters

The firm is at the summit of the legal world, topping the UK A-List for the second year in a row and ranking in the top three on The American Lawyer's A-List for seven consecutive years.

Compliance without compromise

Global Relay is a leading provider of end-to-end compliance solutions for the global financial sector and other highly regulated industries.

Founded in 1999, Global Relay delivers services to over 20,000 customers in 90 countries, including 22 of the top 25 banks. From the Global Relay App for compliant communications, through to intelligent archiving, superior data connectors, and proactive surveillance, Global Relay’s integrated compliance solutions enable regulated organizations to meet collaboration, privacy, and security requirements.

Global Law Firm Focused on Technology, Energy, Infrastructure, and Finance Sectors

The firm remains the #1 most active venture capital law firm in Europe, now for the 33rd consecutive quarter, and also ranked #4 globally.

Global Law Firm Providing Strategic Legal Solutions and Innovative Technologies

The firm offers strategic planning and risk assessment to foster growth and innovation in the financial sector, and its global presence ensures that broker-dealers and asset managers receive legal services wherever they do business.

Global Law Firm Providing Strategic Legal Counsel to Financial Institutions

The firm's team is recognized for their forward-thinking approach and commercial awareness, beneficial for broker-dealers and asset managers facing industry challenges.

Full-Service Law Firm with Deep Expertise in Banking and Financial Services

The firm has a sophisticated understanding of the unique and particularly complex legal needs of the banking and financial services industry, with attorneys regularly listed in client and peer-nominated rankings such as Chambers USA, Best Lawyers, and Best Law Firms.

Leading the Charge in Complex Litigation with Unmatched Expertise and Success

This distinguished firm is a leader in the Investment & Securities Industry, renowned for its relentless advocacy and success in complex litigation cases. Based in New Orleans, it has built a national reputation for its ability to handle high-stakes civil litigation, serving a diverse clientele across various industries. The firm's team, comprising state-leading litigators, is skilled in managing multidistrict litigation and national class actions, demonstrating a deep commitment to trial readiness. This approach ensures that every case is strategically positioned for favorable outcomes, whether achieved through settlement, motion, or trial. Their expertise extends to representing financial services companies and handling mass claims related to market downturns, chemical releases, and natural disasters, showcasing a robust ability to secure client interests in challenging scenarios.

The firm's success is driven by its lean and efficient staffing model, which allows for resourceful deployment in the face of large and complex matters. The trial-focused philosophy underscores their track record, which boasts numerous favorable outcomes in courts and tribunals nationwide. With a dedication to innovation and meticulous preparation, this firm stands as a premier advocate in securities-related disputes, fostering trust and confidence among its clients. Additionally, the firm's legal professionals, praised by entities such as Chambers USA and Benchmark Litigation, are recognized for their superior courtroom acumen and contribution to the field. Their partnership with other entities further enhances their depth, particularly in tackling highly specialized matters within the financial landscape.

Comprehensive Financial Guaranty Insurance Solutions

Assured Guaranty is a leading financial guaranty insurance company that provides credit protection products to the municipal bond, structured finance, and infrastructure markets.

By guaranteeing timely payment of principal and interest to investors, Assured Guaranty helps issuers lower their borrowing costs and access capital markets more efficiently.

With a strong capital base, disciplined underwriting approach, and commitment to long-term stability, Assured Guaranty serves as a trusted partner to issuers, investors, and policyholders worldwide.

Global Provider of Secure Financial Messaging Services

SWIFT (Society for Worldwide Interbank Financial Telecommunication) is a global provider of secure financial messaging services that enable banks and other financial institutions to exchange information about transactions in a standardized and reliable way.

The company's network connects over 11,000 institutions across more than 200 countries and territories, facilitating trillions of dollars in transactions each day.

SWIFT's messaging services cover a wide range of financial activities, including payments, securities trading, and treasury operations. By providing a common language and platform for financial communication, SWIFT helps to reduce costs, mitigate risk, and improve efficiency in the global financial system.

Renowned Litigation and Transactional Firm with a National and International Reach

The firm is particularly renowned for its strength in complex litigation, including appellate, class action, and securities litigation, as well as its expertise in high-stakes corporate transactions and investigations.

International Law Firm Providing Strategic Counsel Across Industries and Borders

The firm's attorneys are recognized for their deep industry knowledge, creative problem-solving skills, and commitment to client service, delivering practical and commercially focused advice to help clients achieve their objectives.

Global Law Firm Delivering Comprehensive Legal Services Across Industries

The firm examines the full slate of current issues, recognizing that technology is integrated into every facet of daily life and new disruptors are outpacing the legal and regulatory landscape.

Premier Legal Expertise for the Investment & Securities Industry

With its headquarters in Charlotte, NC, and an additional office in Charleston, SC, this firm is a prominent entity in the Investment & Securities Industry. They specialize in regulatory, corporate, and securities law, providing a comprehensive suite of legal services to clients in the southeastern U.S. and nationwide. The firm boasts a team of over 400 lawyers and professionals who are adept at managing the complexities associated with securities and capital markets litigation, private fund investments, and compliance in an ever-evolving regulatory environment.

Their clientele includes financial institutions, private equity sponsors, broker-dealers, and institutional investors. This firm's legal expertise spans across transactional fields such as mergers and acquisitions, venture capital, leveraged buyouts, and public and private securities offerings. By combining a collaborative approach with deep industry knowledge, they support clients in structured finance, regulatory matters, and dispute resolution, ensuring that clients can meet their strategic objectives and navigate the sophisticated landscape of the investment and securities sectors.

Global Law Firm Providing Comprehensive Legal Services to Financial Institutions

The firm offers expertise in regulatory compliance and advisory for broker-dealers and asset managers navigating complex financial regulations, and its global financial regulatory practice supports clients in international trade and investment activities.

Premier Law Firm Delivering High-Quality, Creative, and Cost-Efficient Solutions

Clients look to the firm to bring a distinctively high degree of quality, intensity, and creativity to resolve legal challenges effectively and cost-efficiently.

Global Law Firm Advising on Complex Legal Matters at the Intersection of Business and Technology

The firm is the destination for clients seeking advice on all aspects related to semiconductor technology and has been ranked first among Global Data Review 100's Global Elite.

The FICO^® Score is the Industry Standard for Credit Risk Assessment

FICO® is the global analytics software leader behind the FICO® Score, used by 90% of top U.S. lenders and trusted across over 40 countries. As the most widely used broad-based credit score, it plays a critical role in billions of decisions each year across the credit ecosystem, helping lenders make accurate, reliable, and fast credit risk decisions by rank-ordering consumers by how likely they are to pay their credit obligations as agreed.

Founded in 1956 as a pioneer in predictive analytics and data science, FICO continues to innovate with solutions like FICO® Score 10T, which helps mortgage lenders expand approval rates by up to 5% without incremental risk. Beyond credit scoring, FICO's advanced analytics protect over 4 billion payment cards from fraud and enhance operations for businesses across financial services, insurance, telecommunications, healthcare, and retail in more than 80 countries.

Full-Service Law Firm Providing Innovative Solutions to Complex Legal Challenges

The firm's attorneys are known for their ability to deliver practical, business-focused solutions to complex legal challenges, drawing on their deep industry knowledge and collaborative approach.

Global Law Firm Delivering Comprehensive Solutions for Financial Institutions

The firm offers expertise in banking and finance, capital markets, and corporate and securities, catering to the sophisticated needs of broker-dealers and asset managers.

Innovative Law Firm Providing Comprehensive Solutions for Financial Institutions

The firm's deep knowledge and experience in key sectors fuel the growth of the economy, and with more than 300 lawyers across five offices, Lowenstein Sandler provides national coverage and support for financial institutions.

Premier Law Firm Advising on Complex Transactions, Litigation, and Regulatory Matters

As one of the world’s leading law firms, we serve a broad range of clients with market-leading practices in private equity, M&A and other complex corporate transactions; investment fund formation and alternative asset management; restructurings; high-stakes commercial and intellectual property litigation; and government, regulatory and internal investigations. We handle the most complicated and sophisticated legal matters because we don’t just meet industry standards, we create them. We bring innovation and entrepreneurialism to every engagement and, as a result, have long-standing client relationships with leading global corporations and financial sponsors. With more than 7,000 employees (including approximately 4,000 lawyers) operating from offices in 22 cities across the United States, Europe, the Middle East and Asia, we are one of the largest law firms in the world and a top financial performer.

At Kirkland & Ellis, we are united in our ambition and drive to move forward. We share core values that help us achieve excellence: collaboration, talent empowerment and respect. Our people are our greatest asset, and we invest in the brightest talent and encourage a variety of perspectives and strengths to create dynamic teams that operate at the pinnacle of their field. Our talented professionals show up every day knowing they will engage in meaningful work, continuous learning and professional development.

Leading Law Firm Specializing in Public Finance and Infrastructure Projects

The firm specializes in municipal finance, offering tailored legal solutions for public infrastructure financing, and focuses on public-private partnerships, facilitating innovative financing structures for broker-dealers and asset managers.

Intelligent Business Analytics for Financial Advisors and Firms

CapitalROCK, the creator of RightBRIDGE, offers financial services firms a powerful and configurable rules engine to determine and document the suitability or best interest status of proposed rollovers, account types, and products. Many of the country's largest independent, bank, and insurance broker-dealers rely on RightBRIDGE systems to meet their compliance and documentation obligations for regulations such as Reg BI, Reg 187, and the DOL's PTE 2020-02.Each RightBRIDGE deployment is tailored to the licensing broker-dealer's specific products, policies, and compliance requirements. Every analysis is accompanied by CapitalROCK's exclusive ReasonText™, which is automatically generated, client-specific, and recommendation-specific text. This text documents whether a proposed action meets the licensing broker-dealer's best interest requirements and explains why.

EisnerAmper is among one of the nation’s largest business consulting firms in the world, with a dedicated and well-established Financial Services Practice that provides audit, tax, advisory, and outsourcing services to private equity funds, hedge funds, venture capital funds, funds of funds, mutual funds, regulated investment companies, management and general partner entities, and institutional investors, including many of the original firms in the space. Clients rely on our team to navigate regulatory and compliance requirements and to help facilitate new growth opportunities.

Premier Litigation Firm with a Reputation for Excellence

Williams & Connolly LLP is a premier litigation firm based in Washington, D.C., with a reputation for excellence in high-stakes disputes across a wide range of industries and practice areas.

The firm's attorneys are known for their exceptional trial skills, deep subject matter expertise, and unwavering commitment to client service, representing clients in complex commercial litigation, government investigations, and criminal defense matters.

Williams & Connolly has a strong track record of success in bet-the-company cases, handling some of the most high-profile and consequential disputes in recent history. The firm also has a robust appellate practice, arguing before the U.S. Supreme Court and other appellate courts across the country. With a focus on collaboration, creativity, and integrity, Williams & Connolly is a go-to firm for clients facing their most critical legal challenges.

Future-Focused Elite Law Firm Helping Clients Navigate Success with Agility and Efficiency

With a proactive and agile approach, the firm listens to clients' priorities and helps them navigate a complex landscape with creative solutions to the most difficult problems.

Guiding Your Financial Future with Expertise & Global Insight

As a prominent player in the Investment & Securities Industry, this firm offers an extensive array of services aimed at guiding and supporting clients through the complexities of the financial world. The firm's expertise spans across corporate governance, securities compliance, mergers and acquisitions, venture capital investments, and asset transactions. With a strategic presence in numerous financial hubs globally, the firm's team of seasoned attorneys adeptly navigates the intricacies of U.S. and international securities laws. The organization is recognized for its role in structuring innovative financial instruments and investment vehicles, making it a trusted partner for publicly traded and private companies seeking strategic legal and financial advice.

The firm's global reach and organizational strength are complemented by its commitment to exceptional legal service delivery. Its attorneys, who collectively have extensive experience in handling diverse legal areas pertinent to investment banking, market regulations, and investment fund formations, are well-versed in both emergent and established financial markets. In addition to helping clients manage compliance with standard regulations, the firm is at the forefront of advising on contemporary issues such as derivative securities and investment contracts related to digital tokens. Known for its collaborative and client-focused approach, the firm continues to shape and influence the financial services landscape through innovative solutions and thought leadership in the legal sector.

Tata Consultancy Services (TCS) is a digital transformation and technology partner of choice for industry-leading organizations worldwide. Since its inception in 1968, TCS has upheld the highest standards of innovation, engineering excellence and customer service.

Rooted in the heritage of the Tata Group, TCS is focused on creating long term value for its clients, its investors, its employees, and the community at large. With a highly skilled workforce of over 607,000 consultants in 55 countries and 180 service delivery centres across the world, the company has been recognized as a top employer in six continents. With the ability to rapidly apply and scale new technologies, the company has built long term partnerships with its clients – helping them emerge as perpetually adaptive enterprises. Many of these relationships have endured into decades and navigated every technology cycle, from mainframes in the 1970s to Artificial Intelligence today.

The TCS BaNCS^TM universal financial solution is designed to help financial services institutions enhance end customer experience, enabling them to embrace open and innovative technologies that embody true digital customer engagement. Deployed at more than 450 installations worldwide, it is the largest collection of components, enterprise and consumer apps for the financial industry made available through the cloud, helping firms become more agile and intelligent by leveraging the power of new and extended ecosystems.

Full-Service Law Firm Delivering Comprehensive Solutions for Broker-Dealers and Asset Managers

With 1,200 attorneys and consulting professionals located across the US and in London and Shanghai, the firm is well-equipped to support the complex needs of broker-dealers and asset managers.

Comprehensive Legal and Consultative Services for the Financial Industry

Carlton Fields serves the securities industry’s regulatory, enforcement, litigation, corporate finance, and other corporate and transactional needs. We have a strong national practice, serving the broker-dealer, investment adviser, and investment company components of the securities industry.

Our attorneys advise clients in all aspects of their securities-related businesses. We work closely with client management, compliance, technical, and administrative staff to address and resolve compliance issues in both litigation and transactional matters.

Our attorneys represent clients in investigations brought by the Securities and Exchange Commission, FINRA, the stock exchanges, securities regulators in 50 states, and other regulatory agencies.

Comprehensive Tax Reclamation Services for Financial Institutions and Investors

The company's team of experienced tax professionals and innovative technology platform streamline the complex and time-consuming process of reclaiming taxes, helping clients maximize their investment returns and minimize their tax liabilities.

Comprehensive Data and Technology Solutions for the Financial Industry

S&P Global Market Intelligence delivers unrivaled insights, data, and, technology solutions, partnering with customers to expand their perspective, operate confidently, and make decisions with conviction. Our post-trade securities processing and corporate actions solutions are created with your specific needs.

Replace multiple applications with an integrated post-trade framework enabling universal banks and custodians to redefine their post-trade technologies replacing multiple applications with a cloud platform and integrated post-trade framework.

End-to-end automation of corporate actions and income processing helps firms across a wide range of asset classes, market client types, and business lines reduce risk and automate, strengthen, and accelerate their corporate actions processing.

Global Law Firm Committed to Exceptional Client Service

The firm commits all of its resources to each client, putting client interests above all else.

Patterson Belknap is a New York-based firm of approximately 200 lawyers with a global practice, dedicated to providing exceptional legal services to a diverse roster of clients. The firm's litigators are known for their big trial victories and formidable track record in high-stakes disputes, offering robust legal support for broker-dealers and asset managers involved in complex litigation and investigations. The extensive trial and investigative experience of the firm’s attorneys gives them valuable insight into all aspects of litigation and the perspectives of others in the judicial system. A substantial majority of Patterson Belknap’s litigators have served as judicial clerks and several of the firm’s lawyers have served as federal prosecutors and government enforcement lawyers. Patterson Belknap also provides sophisticated counsel on a wide range of transactional activities, serving as a single point of contact for the legal needs of broker-dealers and asset managers. The firm invests in deep, long-term relationships, fostering collaboration between lawyers to provide the highest level of service for financial industry clients.

Compliant Web-Based Workflow Automation Solutions for Financial Services

Loffa Interactive Group offers a web-based workflow automation platform for the financial services industry, streamlining important documentation functions from Letter of Free Funds to Quarterly Confirms and Prime Brokerage forms.

The company creates technological solutions for broker dealers to bring supervision over transaction services into the digital age with secure, easy-to-use web applications that reduce risk while creating audit trails

Loffa Interactive's line of workflow products automates many of the regulated compliance tasks that take valuable time and resources away from more critical business functions.

Global Law Firm Helping Clients Master Uncertainty and Achieve Their Ambitions

The firm is recognized for powering its U.S. offices with 100% renewable energy, aligning with sustainability goals important to modern asset managers and broker-dealers.

Sumeet Chabria is the CEO and Founder of ThoughtLinks. He is an American banking executive, AI and technology strategist, and enterprise transformation advisor.

He leads ThoughtLinks, a strategic advisory firm for C-suite leaders in banking and capital markets focused on AI-driven transformation. He partners with Fortune 500 banks and capital markets firms to accelerate AI-enabled modernization, operating model design, and innovation.

Prior to founding ThoughtLinks, Sumeet served as Global Chief Operating Officer for Technology and Operations and Head of Global Business Services at Bank of America, where he led 50,000 people and provided strategic oversight to a 90,000-person global organization. Previously, he spent more than two decades at HSBC in the U.S. and Europe, culminating in his role as Global Chief Information Officer of Banking and Markets, where he spearheaded the “One HSBC” global modernization initiative across securities and wealth platforms.

Sumeet holds active industry advisory roles, serving as a Senior Advisor to Genesis Global and an Accenture Luminary (Strategic Advisor) in Banking and Capital Markets. He is a faculty member (instructor) at Carnegie Mellon University’s Heinz College, where he teaches AI strategy and digital transformation to executive-level CIOs and CDOs. He serves on the Board of Trustees of Liberty Science Center and is a Trustee of SciTech Scity.

Sumeet holds a bachelor’s degree in computer science and dual master’s degrees from Stony Brook University, with executive education from the University of Michigan’s Ross School, IMD Lausanne, and London Business School. He led the HSBC team that won the Euromoney Awards for Excellence in wholesale banking technology innovation and was named to Business Insider’s 100 People Transforming Business.

As the Head of Enablement at EveryoneSocial, Cameron Yates is responsible for driving efficient go-to-market strategies by equipping sales and client success teams with the resources and training needed to communicate value effectively. With over 11 years of experience at the company, Cameron has held numerous leadership roles—including Director of Implementation and Head of Client Success—giving him an unparalleled understanding of the platform’s lifecycle. A subject matter expert in employee advocacy, social selling, and employer branding, he leverages his deep background in data and business process development to help Fortune 100 companies and global enterprises scale their social programs and achieve measurable ROI.

As the Chief Technology Officer and Chief Information Security Officer at EveryoneSocial, Darrell Davis is responsible for the company’s global technology vision, including product strategy, engineering, and information security. With over 20 years of experience scaling B2B SaaS organizations, Darrell has played a pivotal role in evolving the platform's infrastructure and maintaining robust compliance standards for its enterprise clientele. A founding member of the team that built the company’s precursor, XYDO, his leadership spans the full technical lifecycle—from early-stage development to managing high-performance teams in DevSecOps and cloud architecture.

As the CEO and Co-Founder of EveryoneSocial, Cameron Brain leads the company's mission to transform how modern organizations leverage employee advocacy. With over a decade of experience at the helm of the platform, he has been instrumental in scaling EveryoneSocial into a top-rated solution for global enterprises like NVIDIA, Meta, and Workday. A seasoned entrepreneur with a background that includes leadership roles at Reddit and various tech startups, Cameron is a recognized thought leader in social selling, employer branding, and the shift toward "people-to-people" marketing in the AI era.

As the Chief Revenue Officer at EveryoneSocial, Chris Reese oversees all primary revenue channels, including Sales, Client Success, Implementation, and Managed Services. With over seven years of leadership experience at the company, he has been instrumental in scaling the platform into a leading solution for Fortune 5 companies and high-growth startups looking to leverage employee advocacy. Beyond his strategic role in SaaS, Chris is a multifaceted entrepreneur and the founder of the luxury eyewear label Mose Martin, bringing a unique blend of high-level sales expertise and creative design to his professional endeavors.

LSEG Markets COO and Head of Americas

John Horkan is LSEG Markets’ Chief Operating Officer and Head of Americas, including LCH Group COO.

LSEG Markets combines the Group’s flagship trading and clearing businesses – the London Stock Exchange, Turquoise, LSEG FX, Tradeweb and LCH Group – with its risk management, capital optimisation, collateral management, and regulatory reporting capabilities, including Acadia and Quantile.

As COO, John is responsible for driving execution of the divisional strategic objectives, focused on growth, resilience, efficiency, and client experience. In the Americas role, he is responsible for business performance and external engagement with members, clients, regulators, and industry groups. John has also represented LSEG on the CFTC Global Markets Advisory Committee since 2019.

John joined LCH in 2012 to help build the Americas clearing business. He served as SwapClear COO, supporting the business growth and engagement with key members, and then became LCH Group COO.

Prior to joining LCH, John held various positions over 19 years at Bank of America Merrill Lynch and J.P. Morgan. He started his career as an Investment Grade Bond Salesperson, covering asset managers and hedge funds. John later served as Global Markets Sales COO, defining client strategy and developing client information analytics. His last role was Managing Director, spearheading global regulatory reform efforts.

John holds a Bachelor of Science degree in political science and economics from Hamilton College.

Shareholder, Carlton Fields

Justin Chretien is a senior litigator with more than 30 years of experience handling high-stakes civil litigation, regulatory investigations, and formal disciplinary proceedings. He served 14 years as a trial attorney for the U.S. Department of Justice and then for the U.S. Securities and Exchange Commission, leading teams of attorneys and experts in complex civil litigation and complex securities fraud cases in federal district and circuit courts. Additionally, Justin served at the Financial Industry Regulatory Authority (FINRA), first as senior litigation counsel and later as chief counsel and senior director.

Justin’s extensive experience as a civil litigator makes him a trusted choice for high stakes civil litigation, while his background as an SEC and FINRA regulator positions him to represent public companies and financial firms effectively in enforcement and compliance matters. He has been recognized with both FINRA’s Premier Achievement Award and the SEC Enforcement Division Director’s Award for litigation excellence.

Justin began his legal career after graduating from the U.S. Air Force Academy with a B.S. in astronautical engineering and serving as an active-duty Air Force fighter pilot.

He currently serves as chair of the firm’s Securities and Investment Companies Industry Group.

He is a regular speaker at conferences on all topics having to do with SEC or FINRA enforcement and regulatory issues.

She is an accomplished governance, risk, and compliance professional with 30 years’ experience in the Financial Services industry. Throughout her career, she has held senior executive and board-level positions, including Chief Compliance Officer and MLRO, where she provided strategic regulatory oversight and guided firms through complex regime changes. Her expertise spans key areas such as client assets, accountability, operational resilience, and risk management.

At Ruleguard, Priscilla leads the Risk & Compliance function and drives the firm’s Thought Leadership Programme. She regularly authors articles and white papers, and hosts webinars and events on emerging regulatory themes, sharing insights that help firms navigate an evolving compliance landscape. In addition to her thought leadership role, she oversees enterprise risk management, ensuring robust frameworks that support Ruleguard’s growth and resilience.

Priscilla is a Fellow of the International Compliance Association, a certified GRC practitioner, and a member of the Institute of Risk Management. Her deep industry knowledge and commitment to best practice make her a trusted voice in governance, risk, and compliance.

Fidelity’s mission is to strengthen the financial well-being of our customers and deliver better outcomes for the clients and businesses we serve. Fidelity’s strength comes from the scale of our diversified, market-leading financial services businesses that serve individuals, families, employers, wealth management firms, and institutions. With assets under administration of $16.4 trillion, including discretionary assets of $6.4 trillion as of June 30, 2025, we focus on meeting the unique needs of a broad and growing customer base. Privately held for 79 years, Fidelity employs more than 78,000 associates across the United States, Ireland, and India.

Sabitha Thomas is a Director for the Mortgage and Capital Markets team in FICO’s Scores division. Sabitha works closely with the investor community, serving as a key liaison with Wall Street investors, rating agencies, asset managers, and mortgage insurers to help drive the adoption of all FICO’s products including FICO Score10T.

Sabitha spent more than 10 years at Fannie Mae, where she held various leadership roles in Capital Markets, gaining extensive knowledge of the mortgage industry and market dynamics. She also spent time at Cardinal Financial where she successfully managed both the Non-Agency and Loss Mitigation Portfolios. Prior to that, she spent nearly seven years at S&P, managing various cash flow modeling teams.

Sabitha holds undergraduate degrees in both Economics and Information Systems from University of Maryland and a master's degree in Economics and Finance from the University of Bristol in the UK.

Vice president and general manager of B2B Scores. In this role, she is responsible for global product and business development, delivery, and support for the FICO Score. Julie joined FICO in 2004. Over the course of her career, she has held senior roles in customer relationship management, business consulting, and strategic product management, development, and delivery. Her expertise spans enterprise software, advanced analytics, fraud management, cybersecurity, go-to-market strategy and strategic partnership development. Julie earned her B.S. in Economics from Emporia State University in Kansas.

Devin Norales is a Sr. Director and leads the Mortgage and Capital Markets team in FICO’s Scores division. He has extensive knowledge in the mortgage Secondary and Capital Markets space.

Before joining FICO, Devin led a capital markets team for a mid size lender focusing on trading, hedging interest rate risk and loan execution. While at this Premier Lending Devin helped foster relationships with Fannie/Freddie while also building out a sizeable servicing portfolio. Prior to making the move to Premier he helped lead a risk management system migration for Cardinal Financials’ 2 billion dollar pipeline in addition to leading their asset sales team. He started his career at Movement Mortgage working with their finance team before transitioning to a secondary role that included managing their lock desk and eventually trading / hedging their pipeline while they experienced significant growth. Devin holds a B.S.B.A. in Finance from the University of North Carolina Charlotte.

CEO, S3

Mark Davies is Co-Founder and CEO of S3, a full-service compliance and trade analytics software company. He is responsible for the organization’s business strategy, the executive team, and has oversight of the company’s day-to-day operations, including client relations, sales, and business development.

A financial services executive with over 15 years experience in fintech and regtech, Mr. Davies has deep industry knowledge in trading technology, particularly trade surveillance, best execution analysis, and regulatory reporting. Recently, Mark led the industry on market structure and regulatory reporting requirements for the Securities and Exchange Commission’s (SEC) Rule 606 under Reg NMS and is sought after for his subject matter expertise.

Mr. Davies co-founded S3 in 2002. In 2004, S3 launched its first trading analytics product, redefining S3’s core business. Since then, under Mr. Davies guidance, S3 has improved trust in the industry through appropriate and intelligent disclosure via regulatory reporting and analytics.

Sanjay Nayak, Vice President and Group Manager Sales - Capital Market and Retirement Operations, has over 30 years of experience in the financial services industry and leads the Capital Market and Retirement Operations Sales division. He specializes in business consulting, sales, and delivery of integrated IT, operations, and platform solutions, with a keen focus on AI, RPA, and digital transformation. Sanjay has a proven track record of winning and managing complex outsourcing and transformation deals. His strategic approach harnesses modern technology to drive customer and market-facing systems, ensuring significant business value. Sanjay is committed to designing innovative solutions that address revenue pressures and customer experience challenges, consistently maintaining high customer satisfaction and employee engagement scores.

VP, Legal Solutions and Operational Excellence, QuisLex

Brian is Vice President, Legal Solutions and Operational Excellence at QuisLex, where he consults with clients and leads programs across each of QuisLex’s service offerings. Based in Berlin, Germany, Brian most recently served as Executive Director, Assistant General Counsel at JPMorgan Chase & Co., where he was responsible for the Legal Hold program and managing teams spread across four continents, overseeing a global partnership between lawyers, technologists, data analysts, law firms, and ALSPs to deliver enterprise-class software and legal automation solutions to the firm. While much of his time with JPMC was focused on law, process, and technology related to litigation and investigations, he also managed programs related to legal metrics, data privacy, contract lifecycle management, outside counsel management strategy, data analytics, and information governance. Additionally, he spent three years building and growing offshore legal teams in Argentina at the bank’s Buenos Aires Corporate Center.

Prior to joining JPMC, Brian oversaw the delivery of offshore services at a legal managed services firm in Bangalore, India, and before that practiced at the law firm of Covington & Burling LLP. He holds an MBA along with his J.D. and is licensed to practice law in Washington, D.C.; he is a Certified eDiscovery Specialist (CEDS) and Agile Certified Practitioner (PMI-ACP).

Partner, WilmerHale

Stephanie Nicolas is a Partner in WilmerHale’s Securities Department, and a member of the Broker-Dealer Compliance and Regulation Group. Ms. Nicolas has extensive experience handling a broad range of broker-dealer regulatory and enforcement issues and conducting internal reviews and compliance audits. She works with major investment banking firms and other financial institutions to develop policies and procedures for a range of broker-dealer activities and issues, including conflicts of interest and information barriers, regulatory reporting and technology, firm-wide supervision, capital markets, research, trading, and sales practice issues. Ms. Nicolas received her JD, magna cum laude, Order of the Coif, from Georgetown University Law Center, 1999, and her BA from Brown University, 1994.

Partner, Morgan, Lewis & Bockius

Amy Natterson Kroll counsels financial institutions on US regulatory requirements and best practices related to broker and dealer activities. Clients seek Amy’s advice on, among other things, issues related to implementation of new regulations; the acquisition and sale of broker-dealers; expansion of business and related regulatory requirements for financial institutions; and regulations related to the capital markets, such as research activities and research analysts, participation in public offerings, supervisory controls and internal controls, and cross-border securities activities. Amy also advises clients on the collateral consequences of enforcement, civil, and criminal actions. She has a specific interest in the issues central to regional full-service and mid-market broker-dealers and a growing interest in the issues broker-dealers face when seeking to engage in activities involving digital assets. Amy interacts regularly with staff at FINRA and the US Securities and Exchange Commission (SEC), and has obtained waivers, no-action relief, and interpretive guidance for US and non-US entities.

Amy worked at the SEC twice. From 1997–1998 she was assistant general counsel (legislative and financial services) at the SEC, to which she had returned after five years in private practice counseling broker-dealers and other financial institutions. From 1984–1991, during her first tour of SEC service, she served in positions of increasing responsibility, first as an attorney-adviser in the division of Market Regulation (now the division of Trading & Markets), and subsequently as counsel to Commissioner Edward H. Fleischman and as senior special counsel in the division of Corporation Finance, Office of International Corporate Finance.

From 1998–2003, Amy was an independent consultant, focusing on issues confronted by non-US financial entities seeking to engage in broker-dealer activities in the United States. During that time, she also taught at the Washington College of Law, American University.

Managing Director, Protiviti

Lucy is the global leader for Protiviti’s NextGen Risk and Compliance practice and focuses on transforming enterprise risk management, operational risk, credit risk, market risk, AML and compliance through process automation and digitization. She has more than 20 years of experience leading complex change initiatives across a variety of organizations to transform their business performance through risk management, operational effectiveness, enhanced governance, process automation and innovative technology. Prior to joining Protiviti, Lucy was a Managing Director at Deutsche Bank where she held various leadership positions including the regional Head of Regulatory Transformation and the Controls Officer for the Commercial and Investment Bank. Before that, Lucy held several Transformation & Innovation leadership roles at HSBC, Barclays and RBS (Coutts Wealth Management).

Head of Digital Innovation, Capital Markets, Broadridge Financial Solutions

Horacio Barakat is leading the development of innovative solutions, including the company’s DLT Repo platform. Most recently, he was VP of Corporate Strategy and responsible for the development and execution of the company’s blockchain strategy, including principal investment and organic product development activities.

Prior to joining Broadridge in 2013, Mr. Barakat held a variety of roles in investment banking at Citigroup and Wells Fargo, providing M&A and capital raising advice to financial services and financial technology firms.

Mr. Barakat received his Industrial Engineering degree from Universidad de Buenos Aires (Argentina) and his MBA from the Tuck School of Business at Dartmouth College.

Co-Head of ESG Group, Davis Polk & Wardwell LLP

Betty Moy Huber is co-head of the firm’s ESG (Environmental, Social and Corporate Governance) Group as well as co-head of the firm’s Environmental Transactional Group. For over two decades, she has provided advice in hundreds of transactions as well as governance, disclosure and other regulatory advice to various public and private equity companies.

A former member of the SASB’s Advisory Council, she speaks on ESG topics for numerous organizations including the ALI, the ABA, corporatecounsel.net, Environmental Law Institute, Lawline, the New York City Bar and PLI. Ms. Huber writes on ESG topics for various publications, including Bloomberg BNA, Financial Times’ Agenda, Law360.com, CFO.com, Directorship magazine, Financier Worldwide, Harvard Law School Forum on Corporate Governance and Financial Regulation, Corporate Governance Advisor and Dow Jones Private Equity Analyst.

She is cited as a legal expert in countless publications, including Barron’s, Pensions & Investments, Thomson Reuters and The Wall Street Journal.

Senior Associate, Norton Rose Fulbright US LLP

Dan Jackson is a regulatory and disputes lawyer based in San Antonio, Texas. He joined Norton Rose Fulbright in September 2012. As a Senior Associate, Dan’s practice focuses on representing large commercial organizations in complex investigations, regulatory compliance matters, litigation and arbitration. Dan has extensive knowledge of the regulatory requirements applicable to broker-dealers and investment advisers, having served as in-house counsel on secondment at a Fortune 100 financial firm. Recently, Dan has represented several large financial institutions in connection with multidimensional regulatory and transactional matters. He has also successfully handled large commercial disputes, both in arbitration and litigation settings, on behalf of U.S. financial institutions.

Managing Director, Risk & Financial Advisory, Deloitte

Roy is a managing director in Deloitte’s Risk & Financial Advisory practice and has more than 20 years of experience developing and managing global programs and advising clients on strategy and solutions that minimize risks in their enterprise. His experience includes leading large scale integration programs in support of enterprise risk and compliance initiatives in the areas of operations, risk management, and governance focusing on assessing, improving, and transforming the way organizations approach risk management and technology. His specialized knowledge areas include US, Basel, and European Union regulatory policies, rules and proposals including Dodd-Frank Title VII, Foreign Banks Enhanced Prudential Standards, Basel 2.5 & III, Principles for Reporting and Data Aggregation, and Solvency II, Regulation Systems Compliance and Integrity, Department of labor fiduciary rule, and other global jurisdictions.

Managing Principal, Deloitte Tax LLP

Jonathan joined the Washington National Tax office in 2012 as managing principal of its Tax Policy group. With extensive experience in the legislative arena, especially in tax policy, Jon is able to provide clients with critical insights on developments in tax policy and politics, helping them plan for anticipated legislation and the potential impacts on their businesses. He leads a team that identifies, evaluates, and monitors legislative proposals, interprets the practical issues surrounding the application of tax proposals on behalf of Deloitte’s clients, and relays those insights through multiple channels, including Tax News and Views, a weekly Deloitte Tax newsletter, and deeper dive pieces on key developments.

Jonathan was previously the staff director for the Committee on Ways and Means of the US House of Representatives, his most recent senior staff position in the US House of Representatives. During his tenure as staff director for the Committee on Ways and Means, Jonathan was responsible for developing legislative policies and strategy on issues in the committee’s jurisdiction, including taxes, health care, and trade.

Jonathan is a frequent speaker at events sponsored by Deloitte, Tax Executives Institute, Tax Council Policy Institute, and other tax-focused organizations. He is a board member of The Tax Council. His insights on tax policy frequently appear in The Wall Street Journal, Business Insider, Politico, and Washington Post articles.

Partner, Debevoise & Plimpton LLP

Mr. Lyons represents banking and other financial institutions before the Federal Reserve Board, the Office of Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, the Consumer Financial Protection Bureau, and state banking (including NYDFS) and securities regulatory agencies. He has extensive experience representing domestic and international banking, financial services (including securities and broker dealer) and Fintech clients in bank and nonbank M&A, regulatory and enforcement matters. Mr. Lyons also advises banking organizations on optimal strategies and structuring of acquisitions and Fintech and other initiatives.

For numerous years, Mr. Lyons has been recognized and recommended as a top financial services lawyer by Chambers USA and Chambers Global. He is also recognized as a Leading Lawyer by The Legal 500 US (2013–2021) for being “extremely responsive and knowledgeable about the industry and its players.”

Dynamic senior front-office regulatory reporting, compliance, and surveillance professional with a strong investment banking and broker-dealer operations background.
Expertise in managing large, diverse teams and overseeing multiple complex IT projects.

Expert in US Front-office Regulatory Reporting requirements: CAT - Consolidated Audit Trail, CAIS - CAT Customer & Account Information System, EBS - Electronic Blue Sheets, ACT/TRF/ORF, SEC 605/606 reports, OATS, LOPR, TRACE, MSRB.

I am on the leadership team at FNZ Securities USA, LLC. My responsibilities include establishing, implementing, and managing new processes, capabilities, policies, and procedures (WSPs & SOPs) to meet non-financial regulatory reporting requirements like CAT, etc, and hiring vendors and talented resources.

Before returning to work for the Wall Street firms, I worked at FINRA CAT. My responsibilities included managing CAT Requirements through updates to the Industry Member Technical Specification Documents, Scenario Documents, and FAQs. As part of this role, I worked with the Industry Members, FIF (Financial Information Forum), and the SROs (SEC, FINRA, and Exchanges) to develop solutions for the complex CAT reporting scenarios. I worked with the Technology team at FINRA CAT to expand on the requirements, design/test solutions, and be the subject matter expert until the solution was deployed into the production environment. In addition, I communicated CAT reporting guidance to the Industry Members through document updates, webinars, industry forums, and direct calls.

Chris Nobles is Division Executive for Mediant, a BetaNXT business. Joining Mediant in 2003 as Director of Software Engineering, he brings more than 20 years of experience leading commercial enterprise software implementations and integrations, primarily in the financial services industry. Previously, Mr. Nobles served as Director of Engineering at Proxy Monitor, responsible for the architecture of the first online proxy voting service in the industry. He holds a BA in computer science from North Carolina State University.

Advisory Senior Manager, Deloitte & Touche LLP

Shane has 16 years of experience as a risk advisory professional serving financial services institutions. He has advised clients to helping to identify relevant risks, document front to back trade lifecycle risks and controls, evaluate business processes, test transactions, create assessment reports, and identify opportunities for improved accuracy and efficiency. Most recently, Shane is working with institutional sales and trading businesses to design enhanced business practices to improve market conduct.

Shane has led engagements to design risk and control frameworks to meet regulatory and industry best practices, including identifying and implementing remedial actions. Shane has recently assisted several investment banks in their response to Foreign Exchange consent orders and supporting the rollout of conduct risk and controls pertaining to the Supervisory Control Framework and Transaction Monitoring and Surveillance.

Shane holds a Bachelor’s degree from Binghamton University. He is a member of the Project Management Institute as a Project Management Professional. Shane enjoys spending time with his two young sons, playing golf, and reading books about U.S. history.

Partner, Dentons

David Kornblau, co-chair of the Global Compliance and Investigations practice for Dentons’ US region, represents clients in sensitive and complex investigations, securities litigation and internal investigations. David’s clients include public companies, investment banks, stock exchanges, asset management firms, senior executives, portfolio managers, and traders. He has deep expertise in cryptocurrency, Special Purpose Acquisition Companies, off-channel communications, ESG, cybersecurity, insider trading, accounting, and disclosure issues. He also is a seasoned civil litigator.

A ten-year veteran of the SEC’s Division of Enforcement, he served as Chief Litigation Counsel during the “Enron Era” of large-scale corporate investigations and heightened enforcement activity. He also served as a Special Assistant US Attorney in a criminal securities fraud prosecution. David also spent four years as Managing Director and the Head of Global Regulatory Affairs at Merrill Lynch, where he oversaw the firm’s responses to all regulatory and law-enforcement investigations through the 2008 financial crisis.

Principal, Bressler, Amery & Ross

Joelle A. Simms is a principal in the Fort Lauderdale office of Bressler, Amery & Ross, P.C. and focuses her practice on securities and commercial litigation. Joelle represents financial institutions and registered representatives in customer and employment disputes, including expungement proceedings, in state and federal court, and in arbitration proceedings nationwide before FINRA. She is a member of Bressler’s Senior and Vulnerable Investor Group, which provides counsel to corporate clients who confront issues affecting seniors. Joelle also has experience defending corporate clients in complex commercial and tort litigation in state and federal courts. She is admitted to practice in Florida and Texas.

Joelle serves on the advisory board for the Southeastern Women in Financial Services organization and volunteers with the Cystic Fibrosis Foundation’s South Florida chapter. In 2017, she was a recipient of the Cystic Fibrosis Foundation’s “40 Under 40 Outstanding Lawyers of South Florida” award.

A cum laude graduate of the University of Miami School of Law, Joelle was a Dean’s Merit Scholarship recipient and served as a staff editor of the University of Miami Law Review. She received her undergraduate degree, summa cum laude, from the University of Richmond, where she was inducted into Phi Beta Kappa.

Partner, Allen & Overy

Jonathan’s practice focuses on complex anti-corruption, anti-money laundering, and sophisticated financial fraud matters. A former federal prosecutor, Jonathan spent over eleven years at DOJ serving as an inaugural Deputy Chief of DOJ’s Bank Integrity Unit, a member of the Enron Task Force, a Senior Trial Attorney in DOJ’s Criminal Fraud Section, and an Assistant United States Attorney in Miami. Jonathan has the rare distinction of successfully trying to verdict both an FCPA matter and an Enron Matter and represents financial institutions, corporations and individuals in enforcement matters, congressional inquiries, and with compliance advice.

Jonathan has been ranked by Chambers USA 2019 in the category of Litigation: White-Collar Crime & Government Investigations, has been named a National Law Journal Trailblazer in the area of Bank Secrecy Act compliance and is an adjunct professor at Georgetown University Law Center where he teaches a course on federal criminal trial strategy.

Senior Securities Expert, Swift

Tracy Chou is a Senior Securities Expert at Swift, leading the Go-To-Market effort in securities settlements, digital assets, and corporate actions in North America and LATAM. She works closely with Business Development teams to devise marketing strategies and structuring solutions. Based in New York, Tracy started her career in real estate financing and asset backed securities trading, then expanded her coverage into multiple fixed income products, including repo and structured lending. Prior to Swift, Tracy was an executive director at Nomura Securities and Pretium Partners, heading several risk desks across investment strategies. She also spent eight years at both JP Morgan Investment Banking and Asset Management businesses. Tracy is experienced in scaling multiple private equity funds, mutual funds plus a structured lending business. Tracy is a graduate of UC Berkeley; she also holds a M.A. of economics from UCLA.

President & Chief Executive Officer, DTCC

Frank La Salla is President, CEO and Director of DTCC. He also serves as President and Chief Executive Officer of DTCC’s principal operating subsidiaries, DTC, FICC and NSCC.

Frank joined DTCC in June 2022 following a 28-year career at BNY Mellon, where he held several senior-level positions, including most recently as Chief Executive Officer of its Issuer Services business and a member of the BNY Mellon Executive Committee, the senior-most leadership committee at the firm. Prior to that, Frank was CEO of Corporate Trust, which included responsibility for Depositary Receipts. He previously served as CEO of BNY Mellon’s Alternative Investment Services and Structured Products business, and before that he was a member of the Executive Committee of Pershing LLC, a BNY Mellon company, where he was co-head of Global Client Relationships and head of Trading Services. Earlier in his career, Frank was president and chief operating officer of BNY Clearing Services LLC.

Prior to joining BNY Mellon, Frank was CEO of BHF Securities Corporation, the U.S. broker-dealer subsidiary of Germany’s BHF Bank AG, and COO of Société Generale Securities, responsible for developing the French financial institution’s U.S. brokerage business.

Principal, Financial Services, EY

Prior to joining EY’s Financial Services practice in New York, Ms. Ferris served as Senior Counsel with the Office of Associate Chief Counsel (International). In this position, Ms. Ferris worked on matters relating to FATCA, non-resident alien withholding and reporting, and international aspects of domestic information reporting.

Ms. Ferris is a principal draftsperson of the FATCA regulations, notices, and forms, chapters 3 and 61 coordination regulations, FFI Agreement, QI Agreement (including the requirements for QDDs under section 871(m)), and WP/WT Agreement as well as a contributing draftsperson to the withholding aspects of the regulation under section 871(m), FATCA Model 1 and Model 2 intergovernmental agreements, and competent authority arrangements.

Ms. Ferris also represented the IRS in the negotiation of select intergovernmental agreements. Ms. Ferris also served as an Advisor on Automatic Exchange of Information at the OECD where she provided advice on creating synergies between the Common Reporting Standard (CRS) and FATCA and counseled government delegates on methodologies for ensuring financial institution compliance with CRS. Ms. Ferris is a contributing draftspersons to the CRS Implementation Handbook and FAQs. Ms. Ferris served as Attorney-Advisor to the Honorable David Laro of the United States Tax Court.

Satish Swaminathan is Senior Global Lead for Capital Markets at Infosys, with over 25 years in consulting for major investment banking, asset management, and wealth management firms. His expertise spans across capital markets, regulatory change, cyber security, AI/Generative AI, and outsourcing.

He has led transformation programs for major asset managers, European investment banks, and US banking conglomerates, driving digital transformation and enhancing operational efficiency. He also has a deep understanding of the regulatory aspects affecting buy-side and sell-side operations, as well as the retirement industry. He leverages technology to address complex challenges and ensure compliance.

Partner, Sidley Austin

David Petron is a partner in the Securities Enforcement and Regulatory practice, which received the 2019 Chambers USA Award for Financial Services Regulation, and was named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. His securities enforcement practice has covered the entire range of SEC enforcement matters, including investigations of securities fraud, insider trading, accounting fraud, disclosure irregularities, Foreign Corrupt Practices Act (FCPA) violations, investment adviser misconduct, broker-dealer matters, and credit rating agencies registered as Nationally Recognized Statistical Rating Organizations (NRSROs). He has defended a wide variety of clients in investigations before the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), and other regulators.

David has extensive experience with the SEC’s regulation of registered investment advisers and NRSROs. He routinely advises investment advisers and credit rating agencies on compliance matters involving conflicts of interest, expense allocations, valuation, registration issues, and other regulatory topics. He regularly defends SEC enforcement investigations of investment advisers and NRSROs. He has also advised clients on the application of the risk retention rules applicable to securitization transactions.

David has defended public companies and other clients in a variety of SEC investigations related to potential accounting fraud, financial reporting and disclosure violations, and other matters arising under the federal securities laws.

Partner, Customer Transformation, PwC

Chris is a Partner in PwC’s Customer Transformation practice based in San Francisco. He leads the Customer Engagement and Acquisition focus of our practice, helping clients reimagine future growth opportunities through PwC’s Business Model Reinvention framework. Chris and his team have engaged with Financial Services clients across a broad spectrum, evaluating and optimizing MarTech investments, developing and implementing GenAI strategies, modernizing organizational structures, and identifying levers to reduce spend and spur growth.

Prior to joining PwC, Chris spent 13 years as an agency leader working primarily with hyper-growth SaaS Unicorns helping them build and scale demand generation capabilities, marketing strategies and teams. Before that he spent nearly ten years as an account strategist and director for a number of renowned digital and traditional agencies, developing campaigns for many of the world’s best known brands.

Chris has degrees from Stanford’s Graduate School of Business, San Jose State’s Graduate School of Education, and UC Davis.

Executive Vice President & General Counsel, LPL Financial LLC

Patrick Cox is Executive Vice President and General Counsel for Advice, Litigation & Regulatory Strategy in Compliance, Legal & Risk at LPL Financial. Patrick leads a group of attorneys and legal professionals who support a variety of business needs through advice, advocacy, early dispute resolution and responses to regulators. Prior to joining LPL, Patrick was Chief Counsel for The Personal Advisors Group and Chief Privacy Officer at Ameriprise Financial and a Vice President and Senior Counsel at Morgan Stanley. Patrick is a member of SIFMA’s General Counsels Committee, a past chair of SIFMA’s Privacy Subcommittee, and a past chair of the Financial Services Roundtable/BITS Operations and Technology Working Group. Previously, Patrick practiced law in New York where he worked as a prosecutor in the Manhattan District Attorney’s Office, a law clerk at the U.S. Court of International Trade, and an Adjunct Professor at Fordham University School of Law before entering private practice. Patrick graduated from Fordham University School of Law and Loyola Marymount University.

Managing Director, Capital Markets Digital Transformations Leader, KPMG LLP

Harvi is a Managing Director in KPMG’s New York Office. He brings over 20 years of industry and consulting experience in delivering digital transformation programs for financial services clients. Over these years, he has assisted his clients with services ranging from strategic operations and technology assessments, designing target operating models, business case development and transforming front and middle office while converging technology platforms to drive enhanced capabilities, scalability and efficiency. He has also led several 3rd party platform assessments, and assisted his clients in selecting, implementing and integrating 3rd party platform in their ecosystem, delivering these programs in both waterfall and agile manner. He currently leads an alliance relationship for KPMG in the U.S. focused on rapid application development using a state of the art no-code platform.
- [T. Peter R. Pound](https://sources.sifma.org/listing/t-peter-r-pound):

Partner, Morgan, Lewis & Bockius LLP

Peter is a partner in Morgan Lewis’ securities enforcement and litigation practice area. Peter represents broker-dealers, financial services firms, and individuals in investigations and enforcement proceedings brought by the SEC, FINRA, and state regulators, and in arbitrations and civil litigations relating to securities issues. He also conducts internal investigations and counsels clients on a wide variety of enforcement, regulatory, and compliance issues, including registered mutual funds and their advisers and directors. Peter has been named as a Massachusetts Super Lawyer in securities litigation (2017-2020), and was previously named a securities litigation Rising Star (2011-2015). In 2001-2002, he served as law clerk to the Hon. Charles D. Gonthier at the Supreme Court of Canada. Following that, he was a lecturer at McGill’s University’s Faculty of Law. Peter has a law degree from the University of Oxford (Wadham College, 1999) and common law (LL.B) and civil law (B.C.L) degrees from McGill Law (2001).

Head of Financial Crime Compliance Proposition, Dow Jones Risk & Compliance

Michael Heller joined Dow Jones in 2013 and currently serves as head of Financial Crime Compliance (FCC) proposition where he is responsible for corporate strategy including development and go-to-market, globally, for the FCC business. He draws from a background as an attorney, sales executive, and consultant to ensure clients building efficient compliance and risk management programs leverage the right data and technology.

Michael’s career has been focused on bringing transparency to global business and has worked as a consultant with the Business Intelligence Group, and later the Anti-Money Laundering Group at Goldman Sachs & Co. in New York City. He has also served as CCO and counsel at Abacus Wealth Partners in Los Angeles.

While at the University of San Diego School of Law; Michael was a provisional member of the San Diego International Law Journal, served as president of the Law & Diplomacy Club, and interned with the U.S Department of State in Tirana, Albania. He recently wrote an article featured in the New York Law Journal examining the intersection between geopolitics, financial crime compliance, and technology. Michael is a member of the State Bar of California.

Partner, Debevoise & Plimpton LLP

Erez Liebermann is a litigation partner and a member of Debevoise & Plimpton’s Data Strategy & Security Group. His practice focuses on advising major businesses on a wide range of complex, high-impact cyber incident response matters and on data related regulatory requirements.

With decades of experience in data issues as a litigator, federal prosecutor and senior in-house counsel at a global financial services company, combined with technical training as an aerospace engineer, Mr. Liebermann regularly advises clients at the C-suite and board level on building strategies to reduce their data-related regulatory and reputational risks, and on navigating high-profile investigations following cyber incidents. He is also widely acknowledged as a leading cybersecurity and data privacy professional and is ranked among the leading lawyers by Chambers Global (2023), Chambers USA (2023) and The Legal 500 (2023). Clients note that he is “very talented” and “one of the most intelligent attorneys, [and] very practical and great to work with.”

Partner, Paul, Weiss, Rifkind, Wharton & Garrison LLP

Kannon Shanmugam is a partner in the law firm of Paul, Weiss, Rifkind, Wharton & Garrison. He heads the firm’s Supreme Court and appellate litigation practice and is managing partner of the firm’s Washington office. Widely recognized as one of the nation’s premier appellate advocates, Kannon has argued 27 cases before the Supreme Court, including several of the Court’s most significant recent business and criminal cases. Beyond the Supreme Court, he has argued dozens of appeals in courts across the country. In ranking Kannon in the first tier of appellate advocates nationwide, Chambers USA praised him as “brilliant” and “unflappable.”

Kannon previously served as an Assistant to the Solicitor General in the Department of Justice. Born and raised in Lawrence, Kansas, he received an A.B. summa cum laude in classics from Harvard; an M. Litt. in classics from the University of Oxford, where he was a Marshall Scholar; and a J.D. magna cum laude from Harvard Law School, where he was executive editor of the law review and argued for the winning side in the moot-court competition. After graduation, he served as a law clerk to Justice Antonin Scalia on the Supreme Court and Judge J. Michael Luttig on the U.S. Court of Appeals for the Fourth Circuit.

Head of International Post-Trade, Broadridge

Danny Green is the general manager for international post-trade processing solutions at Broadridge, responsible for the firm’s leading multi-asset solution that provides processing for equities, fixed income, derivatives and money markets, supporting its customers’ business in over 70 markets. Danny is a highly experienced and knowledgeable Fintech executive, with an impressive track record spanning over 25 years working in post-trade and related areas.

Founder and CEO, n-Tier

Peter is the Founder and CEO of n‑Tier, an innovative financial technology company that couples deep industry expertise with a unique software platform that helps firms monitor and manage their regulatory reporting. Peter founded n-Tier in 2000 and designed the firm’s core product offerings of Compliance Workbench and Control Workbench. He specializes in solving complex and very large data challenges through technology.

Peter possesses a deep technology background covering development, software design, server optimization and networking. Prior to founding n-Tier, Peter served as DLJ’s Equity Division Head of Global Application Architecture and was responsible for identifying and designing common applications that could be used across business lines. Prior to that, Peter worked for Goldman Sachs on roles in New York, London, Zurich and Hong Kong. He began his career at IBM, where he worked on marketing and sales initiatives for universities in the Boston area.

Peter earned his B.A. in Computer Science from Boston University. He has won numerous awards throughout his career, including the Donaldson, Lufkin and Jenrette’s Super Achiever Award and Lane Jacob Award, DLJ’s award for the most promising young professional.

Partner, Jones Day

Laura S. Pruitt, a Partner in the Financial Markets practice at Jones Day, previously served as senior counsel in the SEC’s General Counsel’s Office and as special counsel in the Office of the Chief Counsel in the SEC’s Division of Trading & Markets. Since that time, she has focused her practice on representing broker-dealers and other market participants on issues arising under the federal securities laws and SRO rules. Among other things, she advises clients on compliance with their myriad regulatory obligations, including, among others, Regulations NMS, SHO and ATS, and FINRA rules. Formerly a litigator, she also represents clients in connection with regulatory examinations, investigations and enforcement actions brought by regulatory authorities. Ms. Pruitt has been recognized as a top practitioner in Chambers USA since 2010 in the area of broker-dealer compliance (nationwide). She received her A.B. from Harvard University and her J.D. from Columbia Law School.

General Counsel and Corporate Secretary,, OCC

Megan Malone Cohen is the General Counsel and Corporate Secretary at OCC, the world’s largest equity derivatives clearing organization.

As a member of OCC’s Management Committee, Ms. Cohen leads the organization’s corporate governance functions, advises OCC’s Board and management on regulatory issues and oversees the regulatory rule filing process with the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC) and the Board of Governors of the Federal Reserve. Since joining OCC in June 2014, Ms. Cohen has served in several roles of increasing responsibility within the organization. Ms. Cohen also serves as Executive Sponsor of the OCC Women’s Leadership Network.

Previously, Ms. Cohen was an attorney at Cboe (Chicago Board Options Exchange) where she focused on regulatory matters. Prior to Cboe, she was an attorney for the National Stock Exchange and also worked at the Cook County State’s Attorney’s Office-Criminal Appeals and Felony Trial Division.

Partner, Fried, Frank, Harris, Shriver & Jacobson

Ilan Graff represents clients in connection with white-collar matters, regulatory and internal investigations, and complex commercial litigation.

Before joining Fried Frank, Ilan served for ten years in the U.S. Attorney’s Office for the Southern District of New York, most recently as the Deputy United States attorney, overseeing all criminal and civil cases brought on behalf of the United States in the Southern District.

During his decade at the SDNY, Ilan spearheaded many high-profile cases, including criminal matters involving violations of securities laws and international sanctions, financial and other fraud, national and cyber security, and public corruption, as well as civil matters such as False Claims Act investigations and litigation. Ilan also served as co-chief of the General Crimes Unit and co-chief of the National Security Unit.

United States Attorney, U.S. Attorney's Office

Craig Carpenito is the U.S. Attorney for the District of New Jersey. As U.S. Attorney, he is responsible for overseeing all federal criminal prosecutions and the litigation of all civil matters in New Jersey in which the federal government has an interest. Mr. Carpenito supervises a staff of approximately 130 attorneys and 110 support personnel in Newark, Camden, and Trenton.

Prior to being sworn in as U.S. Attorney on Jan. 4, 2018, Mr. Carpenito was previously a partner at Alston & Bird LLP, where he was a co-chair of the firm’s Litigation and Trial Practice Group and its Government and Internal Investigations Team. He served in the U.S. Attorney’s Office for the District of New Jersey from 2003 to 2008.

Prior to his initial tenure in the U.S. Attorney’s Office, Mr. Carpenito was Senior Counsel in the Securities and Exchange Commission’s Division of Enforcement, New York Regional Office. He received his B.A. from Rider University in Lawrenceville, New Jersey, and his J.D. from Seton Hall University School of Law in Newark.

President and General Counsel, Chicago Clearing Corporation

Brian Blockovich joined CCC in 1995 and has served as President and General Counsel since 2002. He leads sales and business development at the firm, and oversees all legal matters. Brian has been instrumental in both the dramatic growth of CCC and the signing and satisfaction of its 2,900 clients and numerous partnerships. Brian graduated from the University of Illinois in 1991 and from the Loyola University School of Law in 1994. He has testified before the Senate Judiciary Subcommittee on Administrative Oversight, the Civil Rules Advisory Committee, and the White House Counsel of Economic Advisors. His comments on proposed amendments to Federal Rule 23 were published and presented at the National Institute on Class Actions. Along with Jim, Brian co-authored Coupons and the Class Action Fairness Act for the Georgetown Journal of Legal Ethics. In addition to his professional accomplishments, Brian is also a gifted improvisational comedian. During the 1990s, he performed with many influential improvisation teams (Monster Island and Rockstars of Siam, to name a few). Today, his photo hangs on the wall of Chicago’s famous IO Comedy Theater.

Director of Sales, TCS BaNCS

Kshitiz Mittal is passionate about helping organizations automate front-middle-back office functions using functionally rich and technically advanced products from TCS BaNCS. He is currently Director of Sales for TCS BaNCS in North America and has spent 17 years working with Custodians, Asset Managers and Brokers. He has also managed various large transformation programs helping reduce risk and increase automation in securities processing. Key learning from all his experience is that you cannot build a new house without a strong foundation. Thus if organizations want to participate, and win, in the new digital race then they must think from bottom up and not only client facing applications.

Besides technology, his other areas of interest include business strategy, personal finance and human psychology. Recently he has been exploring how Crypto Currencies can have a profound impact on the global economy, businesses and people. An avid reader, he is always looking for a recommendation. Feel free to suggest one when you meet him.

Kshitiz has a Computer Engineering Degree, PMP certified and MBA in Strategy and Finance from UNC, Chapel Hill.

Partner, WilmerHale

Matthew Kulkin, a former Commodity Futures Trading Commission division director, is a Washington, DC-based partner at WilmerHale, where he leads the futures and derivatives practice. Matt regularly advises a wide range of financial services and corporate institutions, as well as blockchain and cryptocurrency companies, on legislative, regulatory, compliance and enforcement matters. While CFTC-related matters have been a particular focus of his practice, his broad legal, policy, and regulatory knowledge has allowed him to help clients navigate other federal financial regulators, including the SEC, the Treasury Department, and U.S. prudential bank regulators. From 2017 to 2019, Matt was director of the CFTC’s Division of Swap Dealer and Intermediary Oversight. In this role, he led a broad range of CFTC activities, including rulemakings and enforcement matters regarding swap dealers, intermediaries, trading venues, and investment funds. During his time at the CFTC, Kulkin was also deeply involved in cases of first impression regarding cryptocurrencies and digital assets.

Partner,, Jones Day

Before joining Jones Day, Jonathan served as the Senior Deputy Comptroller and Chief Counsel of the Office of the Comptroller of the Currency (OCC). He oversaw all of the agency’s legal and licensing activities, including legal advisory services to banks and examiners, enforcement, litigation, agency administrative matters, legislative initiatives, the chartering of new banks, and changes in structure and activities of existing banks.

Jonathan led the OCC’s legal and licensing teams through a transformational period in which the agency revised its regulatory and licensing frameworks to reflect an evolution in banking. These efforts included a significant rewrite of banking regulation, including implementation of the Economic Growth Act, reforms to the Volcker and swap margin rules, capital and liquidity changes, issuance of the Madden rule, and expansion of bank powers. Under his direction, the OCC chartered the first fintech and crypto banks; recognized crypto-related activities as permissible; brought the largest enforcement actions in agency history; managed through the March 2020 financial crisis; and defended the agency’s actions before Congress and in court.

He also brings private sector experience in risk management and regulatory consulting across the financial services and technology industries, having served in corporate counsel or consulting roles at BlackRock, Promontory Financial Group, and Bitfury.

Counsel, Ropes & Gray LLP

Christine Lacku is counsel in the employment practice, based in New York. Christine has diverse experience counseling public and private companies on issues related to federal, state and local labor and employment laws, including in the context of U.S. and multi-jurisdictional corporate transactions; restrictive covenants; wage and hour issues; implementation and drafting of employment-related agreements, policies and procedures; onboarding, terminations and reductions in force; union issues; internal investigations; and the resolution of labor and employment-related disputes.

Prior to joining Ropes & Gray, Christine was a partner at another leading global law firm.

Managing Director, KPMG

Tanmay Patani is a recognized cybersecurity leader and is currently serving as a Managing Director in KPMG’s Chicago Cyber practice. He is a trusted advisor to many fortune 500 companies with over 18 years of experience in cybersecurity and legal consulting involving computer forensics, cyber incident response, managed response services, emerging threats and threat intelligence. He had led and supported some of the largest litigation matters in the US history. Tanmay continues to collaborate with FBI on cyber response matters.

Tanmay has Master of Science in computer science and holds numerous cyber and digital forensic certifications.

Shareholder, Greenberg Traurig

Alan I. Annex is Co-Chair of the firm’s Global Corporate Practice. He leads multi-disciplinary deal teams in a wide variety of large-cap and middle-market domestic and cross-border transactions. Alan has broad experience in corporate and securities matters, and regularly advises public company boards, special committees and executive management regarding their fiduciary duties; corporate governance best practices; and M&A deal strategies, structures and techniques.

Alan was an architect of the structure for the early SPACs of the 1990s. He routinely leads 20+ attorney teams whose deals have increased exponentially in number and value over the past year: Under Alan’s leadership, GT leapt from ranking 20th on SPAC Research’s DeSPAC Legal Advisors table for business combinations in 2019 to ranking second in the same table by 2021 (based on closed and pending deals).

Alan recently lead the team of GT attorneys who handled one of the largest SPAC merger transactions ever, United Wholesale Mortgage, with an approximate value of $16 billion.

Partner, Morgan Lewis

Elaine McChesney focuses her trial and appellate practice on commercial litigation, with an
- [Eugene Ingoglia](https://sources.sifma.org/listing/eugene-ingoglia):

Partner, Allen & Overy

Gene Ingoglia is a partner in the investigations and litigation practice at Allen & Overy LLP.

Gene Ingoglia is a partner in the investigations and litigation practice at Allen & Overy. Gene has tried more than a dozen federal criminal cases, and briefed and argued numerous appeals before the U.S. Court of Appeals for the Second Circuit. He has been recognized by Chambers for Litigation: White Collar Crime Government Investigations where he is described as “a strong, zealous advocate” and is known for his “sophisticated criminal defense practice.” He is a frequent contributor to publications on the subject of digital asset enforcement, and speaks regularly at conferences on business crime and insider trading issues.

Previously, Gene was an Assistant U.S. Attorney for the Southern District of New York and a member of the Securities and Commodities Fraud Unit, serving as the lead attorney in numerous federal jury trials and complex white collar investigations. In that position, he represented the government in the trial and conviction of former SAC Capital portfolio manager Mathew Martoma in the largest insider trading scheme ever charged. And he conducted the investigation that led to the conviction of former bank executives and traders for deliberately overstating the value of certain real estate backed securities, one of the few successful criminal prosecutions arising out of the financial crisis. - [Ankeet Dedhia](https://sources.sifma.org/listing/ankeet-dedhia):

Industry Principal, Capital Markets Specialist, Amazon Web Services

Ankeet Dedhia is passionate about helping financial services organizations with co-innovation and business transformation using the power of Amazon cloud and leadership principles. Ankeet is currently an Industry Principal, Capital Markets Specialist at Amazon Web Services (AWS) focused on helping financial services customers with capital markets modernization across the Trade Lifecycle: Pre-Trade, Trading and Post-Trade.

Prior to joining AWS in 2022, Ankeet spent 18+ years in Capital Markets across Trading, Risk, and Business & Product leadership. Ankeet was the ‘Head of FX, Americas’ at the London Stock Exchange Group’s (LSEG) Post-Trade business which included LCH, where he spent a decade across SwapClear, and ForexClear. At LSEG, Ankeet was instrumental in growing the post-trade business and products, working with investment banks, broker-dealers, buy-side asset managers, hedge funds, pension funds, regulators, as well as software vendors.

Prior to joining LCH / LSEG, Ankeet also spent time at the Chicago Mercantile Exchange Group’s (CME) risk desk, focused on cross-asset initiatives across Fixed income, Currencies, Commodities and Credit, and as a junior trader at a proprietary trading firm.

Shareholder and Co-Chair, Financial Regulatory and Compliance Practice, Greenberg Traurig

William B. Mack is a shareholder and co-chair of the Financial Regulatory and Compliance Practice at Greenberg Traurig. He is experienced in advising registrants on regulatory and compliance matters relating to the SEC regulations, the Exchange Act and FINRA rules.

William’s practice involves all aspects of broker-dealer regulation, including SRO membership, supervision, employment, research, soft dollar arrangements, chaperoning, social media, use of foreign finders, anti-money laundering rules, alternative trading systems, exchanges, and market making issues. William assists broker-dealers and their associated persons to respond to regulatory examinations and enforcement proceedings with the SEC, FINRA, NYSE, and state regulatory authorities.

William assists firms in obtaining guidance, interpretive letters, and no-action relief from regulators with respect to novel securities issues and the creation of new products and services. William also advises clients on cryptocurrency, tokenization, NFTs, DeFi structures, and digital asset exchanges and trading.

Vice President, Regulatory Affairs, Broadridge Financial Solutions

Mike Donowitz joined Broadridge Financial Solutions in 2018. He heads Broadridge’s Washington DC Office and is responsible for government relations, regulatory affairs, and works on the firm’s broker dealer, mutual fund and public company investor communications initiatives, including digital capabilities.

Prior to joining Broadridge, Mr. Donowitz worked in the legal department at Fidelity Investments as Vice President and Associate General Counsel. He advised on broker dealer sales practice issues, including market timing, late trading, breakpoint pricing, disclosure of revenue sharing arrangement and related ‘shelf space’ issues. He supported broker dealer back office operations and responded to regulatory inquires and exams. He also provided advice and guidance on all aspects of mutual fund distribution for one of the largest third party fund supermarkets and was lead counsel on a number of large outsourcing projects.

Mr. Donowitz is a graduate of Tufts University and earned a Juris Doctorate from New England School of Law.

Senior Vice President, Strategy & Client Services, QuisLex, Inc.

Joe brings decades of senior in-house legal experience to the QuisLex Leadership team, where he helps oversee and guide overall corporate strategy and works closely with clients to ensure the effective delivery of legal services. Prior to joining QuisLex, Joe was Deutsche Bank General Counsel– Americas and previously General Counsel of Lehman Brothers. His many professional distinctions include the Alfred J. Rauschman Award from the Securities Industry and Financial Markets Association (SIFMA) for contributions to the Compliance and Legal Community and a distinguished career in financial services. Joe has also appeared before the United States Supreme Court and has testified on behalf of the financial services industry before Congress. Joe received his J.D. from New York University School of Law and his B.A. from Columbia College.

Vice President, Business Development, Broadridge

Dan Delahanty is the Vice President, Business Development for Capital Markets at Broadridge. Dan leads business development for Broadridge’s trade lifecycle simplification and digital innovation efforts in Capital Markets. Prior to Broadridge, Dan led the global client delivery team at Fidessa, helping clients achieve their business goals by leveraging Fidessa’s solutions. Dan holds an MBA and BS in Computer science from Long Island University.

Partner, Debevoise & Plimpton LLP

Satish Kini is Co-Chair of the Debevoise & Plimpton Banking Group, based in Washington, D.C. He advises securities firms, banks, investment advisers and others on a broad range of money laundering and sanctions matters, including in enforcement and adverse examination contexts.

Chambers Global and Chambers USA have repeatedly recognized Satish as a leading lawyer. He also is recognized by The Legal 500 US. Earlier in his career, Satish was Counsel in the Legal Division of the Federal Reserve Board.

Satish received his B.A. magna cum laude from Colgate University and his J.D. from Columbia Law School, where he was a Stone Scholar, an Olin Fellow in Law and Economics and the Managing Editor of the Columbia Law Review. Satish clerked for Judge Richard Cardamone, U.S. Court of Appeals — Second Circuit.

Chairman, Paul, Weiss, Rifkind, Wharton & Garrison LLP

Brad Karp has served as chairman of Paul, Weiss, Rifkind, Wharton & Garrison since 2008. One of the country’s leading litigators and corporate advisers, Brad has successfully guided numerous Fortune 100 companies, global financial institutions and individuals through “bet the company” litigations, regulatory matters, internal investigations, and corporate crises. Brad has received dozens of industry awards and recognitions. Brad has been selected as the “Attorney of the Year” by the New York Law Journal and by Lawdragon, the “Litigator of the Year” by The American Lawyer and by Benchmark Litigation/Euromoney, one of the most innovative lawyers in the United States by the Financial Times and “Securities Lawyer of the Year” and “Banking Lawyer of the Year” numerous times by Best Lawyers. Brad has written more than 700 articles on business litigation and corporate governance issues and has lectured at Harvard, Yale, Columbia and NYU Law Schools and the Federal Judicial Center. Brad serves on more than 40 public interest, educational, cultural and charitable boards. Brad is a graduate of Harvard Law School and has spent his entire professional career at Paul, Weiss, beginning as a summer associate.

Bureau Chief, NJ Bureau of Securities

Christopher W. Gerold is the Chief of the New Jersey Bureau of Securities (“Bureau”) and its principal executive officer. The Bureau regulates the offer and sale of securities in New Jersey through its registration of securities, financial professionals, and companies, examinations, enforcement actions, and investor education initiatives. Mr. Gerold is also the current President of the North American Securities Administrators Association (“NASAA”) and former Chair of NASAA’s Enforcement Section. Mr. Gerold started his legal career as a Deputy Attorney General in the Securities Fraud Prosecution Section of the New Jersey Division of Law, where from 2005 to 2010 he represented the Bureau during investigations and was a lead trial attorney in litigated matters. Before returning to public service, Mr. Gerold was an attorney with the law firm of Chiesa, Shahinian & Giantomasi PC (“CSG”). While at CSG, Mr. Gerold was a member of the firm’s Securities Litigation and Enforcement Group, where he conducted internal investigations for broker-dealers, and represented clients during regulatory investigations and enforcement actions by the SEC, FINRA, and various state securities regulators. Mr. Gerold received his J.D. degree from Seton Hall Law and his B.S. degree in finance from Villanova University. Prior to attending law school, Mr. Gerold was a registered representative, having passed the Series 7 and 63 securities exams. Mr. Gerold is admitted to the bar in New Jersey and New York.

Partner, Sidley Austin LLP

NEAL SULLIVAN conducts a comprehensive securities enforcement regulatory practice and maintains a particular focus on broker-dealer and investment adviser matters. Neal is co-Leader of Sidley’s Securities Enforcement and Regulatory practice group and is one of the leading advisers to the securities industry on major compliance and regulatory matters. Neal represents clients before the SEC, FINRA, other self-regulatory organizations and state securities agencies. Neal is the former executive director of the North American Securities Administrators Association and former Vice President of the Boston Stock Exchange. He has been recognized as a Band 1 practitioner in Chambers USA: America’s Leading Lawyers (2008 – 2022).

Partner, McGuireWoods LLP

Cheryl is chair of the firm’s financial services litigation department. Her practice focuses on securities enforcement and related litigation involving the U.S. Securities and Exchange Commission, the Financial Industry Regulatory Authority and state regulators. She has significant experience representing broker-dealers and investment advisors in regulatory investigations, concerning securities or accounting fraud, insider trading, REITs, advisory accounts, variable annuities, privacy, supervision, obstruction of justice and other issues. She also represents these clients as wells as other Fortune 500 companies in litigation in both state and federal courts, including class actions, and FINRA and AAA arbitrations. Cheryl received her J.D., cum laude, from the New York University School of Law, where she served as Senior Articles Editor for the NYU Law Review, and her undergraduate degree from Emory University.

Chief Product Officer, Wealth Management, Broadridge

Donna is the Chief Product Officer, Wealth Management at Broadridge. In this role, Donna provides leadership and guidance driving our wealth strategy and in developing our open-architected ecosystem of solutions that helps our clients modernize their tech stacks to drive business growth, increase advisor productivity, and improve investor experiences. Donna has more than 25 years of experience in wealth services and is committed to shaping the landscape of the industry.

Partner, Orrick Herrington & Sutcliffe LLP

Heather Egan Sussman is Co-chair of Orrick’s Cyber, Privacy & Data Innovation Practice. She focuses on privacy, cybersecurity and information management. Heather routinely guides clients through the existing patchwork of laws impacting privacy and cybersecurity around the globe. In the United States this includes advising on federal and state laws such as CCPA, FCRA, ECPA, TCPA, HIPAA, CAN-SPAM, GLBA, state breach-notification laws, and state data-security laws, as well as existing self-regulatory frameworks. Outside of the United States she manages teams of talented counsel around the world to deliver seamless advice for clients that operate across many jurisdictional lines, developing comprehensive privacy and cybersecurity programs that address competing regulatory regimes. Heather also helps clients reduce the risk of privacy and security incidents, and in the event of a privacy or security breach, she helps companies respond. Heather is recognized by Chambers and The Legal 500 as a leader in her field.

Principal, PwC

Jay Klein joined PwC in 2016 as a Principal in the tax asset management, banking, and capital markets practices. Jay is the Asset & Wealth Management financial products tax leader and advises funds and financial institutions on the taxation of financial products and related issues.

Jay formerly worked at Morgan Stanley as an Executive Director and as a member of the tax department at Sullivan & Cromwell LLP.

He has over twelve years of experience in the Financial Services industry. Jay has comprehensive expertise in taxation of financial products. In his tenure at PwC, Jay has led global tax implementation projects at international banks, formulated numerous compliance solutions that leverage technology and interface with the systems of withholding agents, assisted many funds in creating policies and controls to facilitate compliance with 1446(f), 871(m), 305(c) and other tax requirements, and has advised banks, funds and similar clients on a variety of complex financial product tax issues.

Director of Product Management, DTCC

Christopher Scotto is responsible for the Corporate Actions product line at DTCC. Christopher joined DTCC in 1997 serving in several roles across Global Operations and Client Services before transitioning to Business Management in 2012. At DTCC, Christopher maintains oversight / responsibility for the day-to-day business management of the Corporate Actions core business and plays a key role in implementing DTCC’s multi-year Corporate Actions Transformation initiative.

CEO, Itasca Labs

David Berglund is the founder and Managing Partner of Itasca Labs, an AI and Advanced Technology Consulting firm focused on enabling responsible AI systems. David previously served as Global Head of AI at FIS, overseeing the firm’s AI Strategy, Corporate Data, and advanced technology transformation efforts.

Before joining FIS, Mr. Berglund led Artificial Intelligence at U.S. Bank, driving product innovation, Risk/Governance, and the enterprise AI/ML strategy. Before U.S. Bank, David held multiple product, innovation, and strategy roles at UnitedHealth Group and was also a tech entrepreneur. He studied at Stanford University, the University of St. Thomas (MBA), Loyola University Chicago (BS).

Manoj is a seasoned Infrastructure and Cloud Services leader with 25 years of experience, specializing in designing, implementing and managing robust IT infrastructures and applications. With a deep understanding of cloud architecture, DevOps and software development, he has led the design and implementation of robust, secure, and high-performance systems. His expertise spans across cloud-native solutions, microservices, and integrations, facilitating reliable and efficient Operations. Known for blending technical acumen with strategic insight, he has spearheaded digital transformations and guided teams through complex technical challenges, positioning CSS at the forefront of the industry.

Executive Director, DTCC

Philip Ellenbogen is an Executive Director in the Depository Trust & Clearing Corporation’s (“DTCC”) Regulatory Relations group. In this role, he manages complex examinations and other regulatory matters for the company’s Systemically Important Financial Market Utilities and other businesses.

Prior to joining DTCC in 2017, Phil was in the Regulatory Affairs groups at both MetLife and MassMutual, where he represented the firms’ registered broker dealers in a variety of federal and state securities regulatory matters. Before that, he was an associate in the Litigation practice of Kramer Levin, based in the Firm’s New York office. His practice focused on white-collar criminal defense, internal investigations, and other securities regulatory matters.

Partner,, Kirkland & Ellis LLP

Nader Hossain Salehi is a partner in the Government, Regulatory and Internal Investigations Practice Group in the Washington, D.C., office of Kirkland & Ellis LLP. Nader represents clients in high-profile and complex internal and government investigations, and has counseled investment banks, asset managers and public companies in matters of enterprise-wide significance. He has led clients through significant matters involving the SEC, FINRA and other federal and state regulators.

His enforcement practice often involves the defense of complex trading and valuation issues, particularly those involving allegations of insider trading, manipulation, and financial misstatements. Nader is a frequent speaker at major industry events, including the SIFMA C&L Annual Conference and PLI’s Broker Dealer Regulation and Enforcement Conference.

Nader has been recognized regularly as a leading lawyer in the area of securities regulation and enforcement by Chambers USA, where he is described by clients as “a phenomenal lawyer,” a “go-to for sensitive internal investigations,” and “an insightful counsel in difficult situations.” He also has been recognized consistently as one of the Best Lawyers in America for Securities and Capital Markets matters. Nader began his career in the SEC’s Division of Enforcement in Washington, D.C.

Partner, Sullivan & Cromwell LLP

Rebecca Simmons is a partner in Sullivan & Cromwell’s Financial Services and Capital Markets Groups, head of its payments practice and co-head of its FinTech practice. Her practice focuses on functions such as payments, clearing and settlement, including the formation and regulation of financial market utilities, and the development of new approaches to financial services operations, such as the use of new technologies by banks and fintech companies. She addresses financial regulatory, commercial law and insolvency matters in the context of cleared derivatives, deposit account structures, and related financial services. She frequently advises industry groups and consortia in developing new infrastructures and analyzing existing market frameworks. Her practice encompasses U.S. banking and commodities laws and regulation, payments, technology and outsourcing matters, bankruptcy and insolvency issues relating to complex transactions, derivatives structuring and regulation, and U.S. securities laws and capital markets transactions.

Head of Banking & Capital Markets, AWS Financial Services

John leads Worldwide Business & Market Development for Banking and Capital Markets at Amazon Web Services (AWS). He works with customers to help them transform their existing businesses and bring new, innovative solutions to market by leveraging AWS services. John has more than 20 years of experience developing solutions for financial institutions. Prior to joining AWS, he led key programs for J.P. Morgan, Nasdaq, and two venture-backed financial technology companies. John holds a Bachelor of Engineering in Electrical Engineering from the Cooper Union for the Advancement of Science and Art.

Partner, Debevoise & Plimpton LLP

Douglas S. Zolkind is a litigation partner and a member of the White Collar & Regulatory Defense Group at Debevoise & Plimpton. A former federal prosecutor with extensive trial experience, he defends corporate and individual clients in criminal and regulatory enforcement matters around the world. Mr. Zolkind handles significant government investigations, enforcement matters, and internal investigations for companies, boards, private equity and venture capital firms, hedge funds, and individual executives. Prior to joining Debevoise, Mr. Zolkind served as an Assistant United States Attorney in the Criminal Division of the U.S. Attorney’s Office for the Southern District of New York (SDNY). At SDNY, Mr. Zolkind led investigations, prosecutions, and trials in cases involving the FCPA, wire fraud, money laundering, business and political corruption, bank fraud, securities offenses, and cybercrime.

Vice President, Product Strategy & Innovation for Capital Markets, Broadridge

Neha Singh is the Vice President, Product Strategy & Innovation for Capital Markets at Broadridge. Neha leads product strategy for Broadridge’s trade lifecycle simplification efforts in Capital Markets, providing greater value to clients through transformation of our front-office and post-trade capabilities. In addition, she drives innovative ways to leverage data and AI to enhance our offerings.

Prior to Broadridge, Neha worked with The Boston Consulting Group for several years in New York and Asia, across financial services, technology, and other industries.

Neha holds an MBA from the Indian Institute of Management Calcutta, and a bachelor’s in computer engineering from Delhi University.

Partner, McGuireWoods LLP

Andrew is the Co-Chair of McGuireWoods’ Securities Enforcement and Regulatory Counseling Practice. Andrew represents public companies, financial institutions, and individuals in civil and criminal securities investigations and enforcement actions. Andrew also advises corporate and financial services clients on developing and implementing effective compliance programs.

Andrew’s representations have included civil and criminal federal court and regulatory agency enforcement actions involving financial reporting and disclosures, municipal bond underwriting, sales and trading, insider trading, high frequency trading, market manipulation, broker-dealer and investment adviser sales practices, and matters involving foreign regulators. Andrew regularly advises clients in connection with SEC and FINRA examinations and designs strategies to ensure prospective compliance with the securities rules and regulations.

Prior to entering private practice, Andrew served in the SEC’s Division of Enforcement, where he spearheaded some of the Division’s then most complex and high-profile investigations and enforcement actions, including matters involving public finance and the municipal bond market.

Senior Manager, Technology Consulting, Ernst & Young

Abhishek Chaki is a New York-based Senior Manager in Ernst & Young’s consulting practice who leads Risk and Regulatory Compliance Technology client services. He has over 18 years of experience in the industry serving capital markets, retail, asset management, and banking clients in trade surveillance, electronic trading controls, e-communications archival, surveillance, AML, and sanctions screening. He specializes in large-scale transformation of legacy regulatory solutions to modern infrastructure, including vendor products. Abhishek also leads EY’s Non-financial Regulatory Reporting services, including equities, fixed income, and derivatives reporting and archival. Abhishek’s experience in the risk and regulatory domain spans across global jurisdictions, with the most experience at financial institutions handling SEC, CFTC, NFA, FCA, HKMA, and ASIC regulatory obligations. In his recent efforts, Abhishek is exploring innovative technologies to solve risk and regulatory problems for EY’s clients bringing higher efficiencies, improved risk coverage, and providing horizontal solutions for a swath of front-line and second-line compliance needs.

Founder and Chief Executive Officer, Droit

Prior to founding Droit, Brock was an Executive Director of Fixed Income E-Commerce at Morgan Stanley. He was the global head of product for Matrix, Morgan Stanley’s client portal, and led SEF strategy and Dodd-Frank compliance programs across ISG. Prior to Morgan Stanley, Brock worked at UBS as a technology leader for credit and interest rate derivatives.

Brock holds a Master of Engineering and Bachelor of Science in Engineering Physics from Cornell University and an MBA from the University of Chicago.

Partner,, Sidley Austin

Katie Klaben is a partner in Sidley Austin LLP’s global Securities Enforcement and Regulatory practice. She advises a variety of financial services firms, including investment advisers, public companies, family offices and broker-dealers, on a wide range of securities regulatory, compliance, enforcement and transactional matters. Katie works extensively with clients on their compliance with the disclosure requirements and related liability under Sections 13 and 16 of the Exchange Act. She also assists broker-dealer and investment adviser clients with recordkeeping compliance and related regulatory inquiries. Katie has also counseled numerous broker-dealer clients on establishing and executing fully-paid securities lending programs.

Katie graduated summa cum laude from the American University Washington College of Law and earned her B.S. in Business Administration from the Georgetown University McDonough School of Business.

Managing Director, Deloitte & Touche LLP

Richard has over eighteen years of experience in the financial services sector specializing in broker/dealer risk, controls and operations and related technology implementations with significant experience in tax operations.

He supported several organizations through the implementation of the original cost basis reporting rules across the securities and wealth management industry and has worked with clients since that time on transforming their tax and core operations operating models and technology.

Eric Blackman is a Partner at Sia Partners with 25 years of financial services experience in management consulting, corporate strategy, equity and fixed income markets, business continuity management, third party risk management, regulatory compliance, cost take outs, acquisition due diligence, KYC/AML/BSA, business process re-engineering, program and project management, client onboarding, and enterprise data management.

Biography

Managing Director, Ernst & Young LLP

Brendan is a Managing Director at Ernst & Young LLP in the Financial Services Consulting practice. He supports sell-side, buy-side, and securities services clients on a wide range of transformation initiatives, including product strategy and development, regulatory compliance implementation, enterprise data management, risk management, risk identification and control implementation, and program management.

Brendan co-leads EY’s U.S. Treasury Clearing Rule services across the sell-side and buy-side.

Brendan has a Bachelor of Science degree from Lehigh University, is a CFA Charterholder, and is based in New York.

Managing Director, Global Leader of Technology Consulting, Protiviti

Kim Bozzella is Protiviti’s Global Leader of Technology Consulting. She is responsible for the strategy, solution offerings, consulting delivery and external partnerships for all of Protiviti’s technology solutions, including Security & Privacy, Enterprise Applications, Technology Strategy & Operations, Advanced Analytics, Software Services and Cloud. With 30 years of experience in financial services, consulting, and information technology, Kim has been at the forefront of the convergence of technology innovation, business management, and regulatory reform.

Before joining Protiviti in 2019, she spent 14 years with UBS in a number of senior Chief Information Officer (CIO) positions. Most recently as Global Head of IT Risk Management for UBS, Kim was responsible for understanding the regulatory context surrounding the business, implementing required controls in the technology environment and facilitating the cultural mind-set needed to drive compliance. Prior to that she was the CIO for Corporate Technologies, globally. In parallel with the above roles, Kim additionally had regional responsibility for UBS Technology as CIO for Americas including Latin American emerging markets. Before joining UBS, Kim spent 15 years with Andersen Consulting/Accenture where she rose to Partner in the Financial Services industry, aligned to both Capital Markets and Retail Banking clients with focus on large scale technology implementations, merger execution, and organization and solution design and reengineering. While at UBS, Kim was responsible for the Women in Technology (WiT) initiative globally and drove the Technology Graduate Training Program (GTP) – with a keen focus on increasing and promoting gender diversity at all levels – and passionately advocated for diversity and LGBTQ equality, as Executive-Sponsor for PRIDE.

Partner - Risk and Financial Advisory, Deloitte

With nearly 20 years of experience assisting banking clients with modeling and AI efforts, Clifford leads Risk and Financial Advisory’s AI Risk Management for FSI clients practice. In this capacity, he is helping his clients navigate the evolving AI regulatory environment and stand up, or enhance their AI risk management programs. In addition to this role, Clifford helps lead the Model Risk Management practice and has extensive experience with the broader range of AI models.

Partner, Morgan Lewis

Sandra Moser is a partner in Morgan Lewis’s white collar litigation and government investigations practice and former chief of the US Department of Justice’s Fraud Section in Washington, DC, which has exclusive
- [Kate Wellman](https://sources.sifma.org/listing/kate-wellman):

Kate manages large-scale regulatory compliance projects for financial institutions, including related to development of state and federal law inventories, LIBOR transition, recovery and resolution planning, and compliance with global shareholding related requirements. She has had leading roles in multiple firm projects involving remediation stemming from consent orders and other regulatory actions and has worked with various constituencies across her clients’ organizations to prepare narrative responses to findings and implement regulatory commitments. Kate further advises institutions on requirements under a variety of state and federal laws and regulations, including the Bank Holding Company Act, Commodity Exchange Act, Dodd-Frank Act, and federal securities laws.

Kate’s investigations practice includes representation of financial institutions in inquiries involving the U.S. Department of Justice, the Commodity Futures Trading Commission, the Securities and Exchange Commission, the Office of the Comptroller of the Currency, the Federal Reserve, the U.K. Financial Conduct Authority, and financial regulators in other foreign countries. Kate has conducted internal investigations across a range of industries and managed and coordinated reviews relating to systems and controls issues, including analysis of cross-border accounts for anti-money laundering and tax compliance issues.

Kate also has experience assisting clients in a range of commercial disputes in federal and state courts, including matters involving breach of contract, business torts, breach of fiduciary duty, and federal securities laws. Kate maintains a pro bono practice that has involved representation of clients in state court housing matters and federal court trials in Section 1983 civil rights matters and drafting of state complaints related to special education issues.

Managing Director, Protiviti

Andrew Retrum is a Managing Director and business-oriented leader within Protiviti’s Technology Consulting Practice. He is part of Protiviti’s Global Cybersecurity Leadership team and the National Financial Services Security & Privacy Practice Lead . Andrew’s professional aspiration is to lead their talented practice in delivering true value by helping our clients better understand, communicate, and manage the evolving Cyber Threat landscape.

Andrew has led Cyber Program Offices for several large institutions as part of broader business transformation efforts. He is an advocate for the adoption of the FAIR Methodology as an alternative method of IT Risk Management and thought leader on recent cybersecurity regulatory matters. Most recently, he is partnering with key trade associations within the financial sector to help craft the global response on the topic of Operational Resilience.

Prior to joining Protiviti as a founding member in 2002, Andrew spent his career at a “Big 5” Public Accounting firm in the Technology Risk Consulting practice. Andrew is a graduate of University of Illinois in Urbana-Champaign with an undergrad degree in Management Information Systems.

Shareholder, Greenberg Traurig

Elizabeth E. Moum is a shareholder in the Securities Litigation Practice of the international law firm Greenberg Traurig. Elizabeth regularly defends major Wall Street brokerage firms and other financial institutions in employment disputes in arbitration, before administrative agencies, and in state and federal court. Elizabeth also has substantial experience handling SEC, FINRA, and state regulatory inquiries, investigations, and enforcement proceedings, as well as customer arbitrations. Elizabeth has handled dozens of arbitrations involving millions of dollars in controversy to final award. Elizabeth has been recognized by Super Lawyers magazine as a Florida Super Lawyer “Rising Star,” as well as been honored with the South Florida Business & Wealth “Up and Comer” Award, which recognizes professionals who have achieved excellence in their careers, shown a commitment to their community, and demonstrated leadership. Elizabeth serves as Philanthropy Co-Chair of the Southeastern Women in Financial Services (SWIFS), a network of corporate counsel and outside legal advisors in the financial services industry. Elizabeth coordinates and actively participates in SWIFS’s volunteer efforts with its philanthropic partner, the Pace Center for Girls, a non-profit that provides girls and young women with opportunities for a better future through education, counseling, and training. Elizabeth received her B.A. from Northwestern University and her J.D. from the University of Florida Levin College of Law.

Partner, Cleary Gottlieb

Jim Burns is a Partner in Cleary Gottlieb’s Financial Institutions Group. His practice focuses on broker-dealers, exchanges, clearing agencies, hedge funds, private equity, and crypto clients. He offers unique insights and strategic advice on the effects of SEC initiatives on business operations and compliance programs.

Jim served as Deputy Director of the SEC’s Division of Trading and Markets, where he led the development of key SEC positions and regulatory initiatives for the equity, fixed income, and derivatives markets following the Flash Crash of 2010. He played an integral role in the development and implementation of significant rules under the Dodd-Frank Act, including the Volcker Rule and the SEC’s security-based swap regulatory regime. Jim also served on SEC Chair Mary Schapiro’s staff and as counsel to SEC Commissioner Kathleen Casey. Jim earned his J.D. from Georgetown University Law Center, MPhil and DPhil from Oxford University and his A.B. from Harvard College.

Managing Director, Bates Group

Linda Shirkey is a Managing Director of the Bates Compliance team based in Houston, TX. As President and founder of The Advisor’s Resource, Inc., she has provided compliance expertise to Registered Investment Advisers for over 20 years. A former institutional stock broker covering money managers and major corporations, Ms. Shirkey was with Charles Schwab & Co., Inc., for ten years. Prior to her position with Charles Schwab, Ms. Shirkey worked in banking and legal services in product development, marketing and corporate finance.

A magna cum laude graduate of Case Western Reserve University in Cleveland, Ohio, Ms. Shirkey is a former Board member of the National Society of Compliance Professionals (“NSCP”) and currently serves on their Strategic Planning Committee. She also holds a leadership role with the Houston Compliance Roundtable and is a member of the DFW Compliance Roundtable. She is often invited to speak as an expert in applying current compliance requirements effectively and efficiently, and she has led workshops and seminars for the NSCP Regional and National Meetings, IA Watch, and the Investment Adviser Association.

SVP, Trading and Processing, FIS

Kyle Gardner is the Group Executive for our Compliance business at FIS. An expert identifying and mitigating organizational risk and regulatory systems, Kyle approaches his leadership role with a sense of duty to help FIS’ clients protect their firms from risk, compliance, and regulatory issues.

Director - FS Risk, Regulatory & Compliance, Advisory, KPMG LLP

Erik is a New York-based Director in KPMG’s Risk Advisory solutions group with a current focus on Capital Markets and Internal Audit/Enterprise Risk with over 18 years of experience working within the financial services industry. He has significant experience with risk, operational compliance, and global regulatory change management (laws, rules, and regulations (LRRs)). Erik has worked within the financial services industry to make various system, process, and control improvements to achieve greater efficiency and to better align operational objectives with evolving regulatory expectations across all lines of defense. Prior to joining KPMG, Erik was the CRA Officer at two, large, New York-based banks in addition to holding various other compliance roles focusing on processes and controls associated with consumer compliance and capital markets. Erik has substantial experience leading global teams across the three lines of defense including developing and implementing various compliance programs, risk assessments, monitoring and testing plans, and regulatory change processes. He has served as project manager with responsibility for the planning, budgeting, execution, and delivery of various compliance gap assessments (including remediation) and internal audit projects. He has also provided subject matter expertise as a consultant for the financial service industry’s prudential regulators and as a professor at Columbia University.

Partner, Assurance, Financial Services, EY

Jacob Folks, CFA is a partner in the FSO (financial services office) of EY and a member of the professional practice team leading EYs broker-dealer industry assurance practice. Jacob is based in Minneapolis and has served entities across the financial services industry including broker-dealers, mortgage companies, trust companies, wealth and asset management companies, and other diversified financial services organizations. Jacob is a board member on the Northern Star Scouting council overseeing the greater twin cities area and a volunteer at his church. Jacob earned a degree in finance from Creighton University and a Master’s of Accounting from University of Virginia and completed an executive learning program from Harvard University. Jacob enjoys traveling and spending time with his wife and four children.

Web Coordinator Manager, Computershare

A 25+ year veteran of the industry, Alexa Concepcion began her career at Computershare in Corporate Actions. She has worked for a variety of transfer agents, several brokerage firms, notably DTCC for seven years, and Kroll as the Director of Global Corporate Actions in the bankruptcy arena. She has developed a significant amount of experience as a result of managing corporate actions within the industry over the past twenty-five years. In July of last year, Alexa returned to Computershare as manager of the Corporate Actions Web Team after 20 years. She is responsible for overseeing the development from inception to completion of all our web corporate actions events.

Partner, WilmerHale

Bruce Newman has extensive experience handling a broad range of broker-dealer regulatory and enforcement issues, including issues related to trading, sales, research, banking, soft dollars, cross-border activities, net capital, customer protection, margin, and new and continuing membership applications.

Mr. Newman has extensive experience in broker-dealer issues, policies and compliance practices. Mr. Newman has previously served as Director of Equities Compliance and Executive Director at UBS Warburg LLC, Director of Capital Markets Compliance at PaineWebber, Inc. and Branch Chief of the Broker-Dealer Enforcement Division of the SEC.

At UBS Warburg and PaineWebber, Mr. Newman primarily was responsible for designing, implementing and maintaining a comprehensive program to ensure that the firms’ securities businesses operated in compliance with all relevant rules and regulations. He conducted training, provided legal and compliance advice, researched legal issues, wrote policies and procedures and supervised a staff that monitored trading and sales activities. Mr. Newman began his legal career at the SEC as a Staff Attorney in 1991 and served as Branch Chief of the Broker-Dealer Enforcement Division from 1994 to 1996. Before joining UBS Warburg, he was with PaineWebber Inc., serving as Assistant General Counsel from 1996 to 1997 and as Director of Compliance – Capital Markets from 1997 to 2000.

Managing Director, Head of Corporate Strategy, DTCCLallande de Gravelle is the Head of Corporate Strategy at The Depository Trust & Clearing Corporation (DTCC). Within this role, she is responsible for overseeing the development and evolution of the overall strategic direction of the firm in support of evolving client, regulatory and industry needs, partnering closely with her peers and with DTCC’s senior leadership team.

In addition to her work at DTCC, Lallande also sits on the advisory board of Centana Growth Partners.

Prior to joining DTCC in 2016, de Gravelle was Head of Business Transformation for Citi’s U.S. Retail Bank where she directed the development and execution of the firm’s strategic initiatives. She also spent more than a decade as a strategy consultant with A.T. Kearney and Deloitte Consulting. As a consultant, she supported her clients with the development of innovative, client-centric strategies as well as the execution of their transformations through changes in people, process, and technology. She began her career in retail and commercial banking and asset management.

Principal, Economic & Valuation Services, KPMG

Maggie Fritz is a principal in KPMG’s Economic & Valuation Services group. Maggie joined KPMG in 2004 and during her tenure she has worked on a wide range of transfer-pricing related issues, primarily in the financial services industry.

Maggie has conducted numerous transfer pricing studies in connection with IRS and OECD documentation requirements, as well as prepared planning studies to determine appropriate arm’s-length pricing on various transactions for numerous banks, global custodians, asset managers, and insurance companies. Additionally, she has advised financial services clients with regard to implementing transfer prices and optimizing their end-to-end process around intercompany transactions.

Maggie has also assisted banking clients in preparing appropriate documentation to support that their intercompany transactions take place in accordance with the regulatory requirements in Reg W Section 23 A/B.

Managing Director – Global Information Reporting, Deloitte

Tim is a managing director in Deloitte’s Global Information Reporting practice with more than 16 years of experience in tax information reporting and withholding. Prior to joining Deloitte, Tim focused on the investment banking and investment management sectors as an internal tax counsel, providing support for a variety of business units.

Partner, McGuireWoods

John is co-chair of McGuireWoods’ Securities Enforcement & Regulatory Counseling practice group and advises clients on broker-dealer and securities market regulatory matters. John has substantial experience advising broker-dealers, including retail, institutional and clearing broker-dealers on a wide range of regulatory and compliance obligations under the Securities Exchange Act of 1934 and SEC, FINRA, and MSRB rules impacting their respective businesses. John regularly advises clients on broker-dealer status issues; Regulation Best Interest; Form CRS; conflicts of interest; disclosures; advertising; the distribution of investment products and investment research; trading issues; best execution obligations; and SEC and FINRA registration issues; and digital engagement practices, John also is an expert on issues involving broker-dealers’ obligations under net capital and customer protection rules, market structure, regulatory matters involving mergers and acquisition transactions, as well as issues involving the use of money market and bank deposit sweep programs.

Prior to joining McGuireWoods, John has served as the co-chair of a national law firm’s financial services industry initiative, the Washington, D.C. office practice leader for the firm’s broker-dealer regulatory practice, as well as the office managing partner. He was vice president and assistant general counsel with a national bank holding company, where he worked with its broker-dealer subsidiaries. He also served as a staff attorney and Special Counsel in the SEC’s Division of Market Regulation, Office of Market Supervision, where he was responsible for the regulation of trading and markets.

SVP, Global Managing Director, Client Engagement and Innovation, Broadridge Financial Solutions

As the global lead for Broadridge’s Client Engagement and Innovation Practice, Michelle is responsible for developing and bringing to market new engagement programs to customers, prospects, and partners. Leveraging her experience leading businesses on Wall Street and Madison Avenue she facilitates executive to executive engagement that drives innovation, transformation, and growth. From wealth and healthcare, to telco and consumer finance, she helps Broadridge clients engage and act on opportunities which benefit both companies and their customers. Prior to joining Broadridge, Michelle held leadership roles at several wealth firms in New York, and at Foote, Cone and Belding (FCB) where she worked with companies such as United Healthcare, Bank of America, Verizon, and Citi Bank.

Partner, Deputy Chief Accountant, PwC

Bret is a partner and Deputy Chief Accountant in PricewaterhouseCoopers LLP’s (“PwC’s”) National Office, focusing on accounting and financial reporting issues relating to financial instruments and the financial services industry. He assists engagement teams and clients in resolving complex accounting matters, develops the firm’s interpretive guidance and contributes to thought leadership on emerging accounting issues.

Previously, Bret was the Director of Accounting Policy and SEC Reporting at JPMorgan Chase and the controller of its primary bank subsidiary. He led teams that established accounting and disclosure policies for the firm under US GAAP and IFRS, coordinated the review and publication of the Firm’s consolidated financial statements, and interfaced globally with standard-setters and regulators on accounting and reporting matters.

Bret is an established leader in the accounting profession, including as a member of the FASB’s Emerging Issues Task Force, the AICPA Depository Institution Expert Panel and various other accounting committees and organizations.

Shareholder and Chief Diversity, Equity & Inclusion Officer, Greenberg Traurig

Nikki Lewis Simon, a commercial litigator with more than two decades of experience, primarily serves as the firm’s Chief Diversity, Equity & Inclusion Officer. In this capacity, Nikki designs and guides strategic initiatives and programs to deepen firmwide diversity and inclusion efforts that further enrich client engagements and community investments.

Her role is indicative of, and integral to, Greenberg Traurig’s core values of collaboration and inclusion – principles that inform the firm’s operations and legal business in meaningful, positive ways.

Prior to assuming primary responsibilities on the business side of the firm, Nikki has represented her cross-industry clients’ business objectives by protecting their capital – human, intellectual, and financial – against claims of wrongdoing in complex commercial and class action litigation. Those matters have spanned the panoply of issues and claims businesses often face, from discrimination to wrongful death, defamation to fraud and misrepresentation, professional negligence and malpractice to breach of fiduciary duty and securities law violations.

Founder and Chief Executive Officer, Chicago Clearing Corporation

Securities class action claim filing is a natural fit for Jim Tharin. After graduating from Carleton College in 1981, Jim joined Merrill Lynch and then Shearson/American Express as a retail account executive. In 1985, Jim joined Fossett Corporation as a broker/dealer market making member of the Chicago Board Options Exchange (CBOE). Jim worked the wild trading pits of the CBOE as Fossett Corporation’s Vice President of Trading and as CEO of Jackson Financial Group. Through his service on several key CBOE committees, he helped build the options industry into the massive derivatives market that we know today.

In 1993, Jim founded Certificate Clearing Corporation (CCC). Under his leadership the firm became the preeminent class action coupon market maker in the United States. CCC recovered over $300 million dollars for harmed class members in 20 unique class action coupon settlements. Jim and CCC pioneered the most effective methods to bring tremendous value to the class action coupon claimant, predominately in settlements where they would have otherwise received nothing.

Jim’s dual expertise in trading and class actions made CCC uniquely qualified to segue its class action coupon business to class action securities claim filing. CCC is now the undisputed champion and unquestionably the world’s leading class action securities claim filing provider. Today, CCC has 2,155 institutional clients that represent over 5 million individual accounts and manage assets of more than $5 Trillion. Since 2005, CCC has impeccably filed more than 10 million claims and recovered nearly $1 Billion for its securities class action clients worldwide. With the never-ending parade of class actions, CCC’s numbers simply grow and grow.

Partner, Sidley Austin

Lara Thyagarajan is a partner in Sidley’s New York office, and a member of the global Securities Enforcement and Regulatory practice. Lara joined Sidley after more than 15 years as a leader in the Enforcement Department at FINRA.

Lara has held a variety of positions in senior leadership, most recently as Senior Vice President, Head of Market Regulation Enforcement and Head of Litigation. As a former senior officer, Lara has unique insight into the priorities, policies, and practices of financial services regulators including FINRA, the SEC, the exchanges, and state regulators. Lara’s experience overseeing hundreds of disciplinary proceedings allows her to advise clients on all types of investigations and enforcement matters.

Lara’s practice focuses on representing financial institutions, broker-dealers and investment advisors in complex trading and sales practice investigations and enforcement actions. Lara received her B.A. from Boston University in 1992 and her J.D. from Boston College in 1998.

Head of Trading and Asset Services, FIS Capital Markets

Andrés Choussy is an operating executive with a proven track record and reputation for leveraging emerging technologies to drive innovation, growth, and operational excellence in the financial service sector. An analytical decision-maker experienced at working in/with Tier 1 banks, clearinghouses, fintech startups, and established vendor companies, Andrés is currently responsible for the business that provides institutional solutions for trading, compliance, cleared derivatives, securities processing, securities financing, collateral, compliance and tax reporting.

In a series of senior roles in recent years, Andrés has been at the forefront of efforts to expand and improve post-trade services that are crucial to the capital markets. Most recently as President and Chief Operating Officer at Baton Systems, a venture-funded fintech that is developing cloud-hosted solutions to change the way payments and settlements are made, Andrés helped scale the business by repositioning the product into a treasury oriented SaaS solution focused on automating and accelerating the movements of cash and collateral for Tier 1 and 2 banks.

Andrés joined Baton from NEX Group, the fintech conglomerate where he was Head of Trade and Portfolio Management as well as Chief Executive Officer and President of the Traiana post-trade services business. While at NEX, Andrés reversed a four-year downward trend in revenue and earnings at Traiana and managed a multimillion-dollar re-platforming project to migrate heritage technology into a new cloud-hosted environment. He also resized the product roadmap of NEX Group’s Infinity platform, which aimed to provide clients with a single point of entry for internal and third party post-trade services.

General Counsel and VP of Compliance at Theta Lake. We unlock collaboration tools for the modern workplace with smart capture, selective archiving, and AI-enabled regulatory, privacy, and security risk detections for video, voice, chat, and e-mail communications.

I'm a technology attorney and compliance executive with 15+ years of law, financial services, and IT experience. My focus has been on global technology-related legal and regulatory issues such as information management, privacy, cybersecurity, RegTech, artificial intelligence, SEC and FINRA regulation, SOC 2, ISO 27001, HIPAA, and PCI DSS certifications, and electronic communications platforms.

Admitted to practice law in New York, EDNY, and SDNY. CIPP/E and CIPP/US certified.

Partner, Sullivan & Cromwell LLP

Sharon Cohen Levin is a partner in Sullivan & Cromwell’s Litigation Group and a member of the Firm’s Criminal Defense and Investigations Group. Her practice focuses on money laundering and asset forfeiture advice for a diverse group of corporate clients.

Ms. Levin began her career working for the Department of Justice’s civil division in Washington, D.C. She moved to the Southern District of New York’s forfeiture unit in 1991, and took over the unit in 1996. For nearly two decades, Ms. Levin led the Money Laundering and Asset Forfeiture Unit in the U.S. Attorney’s Office for the Southern District of New York. Under her leadership, the SDNY was responsible for nearly 60% of all forfeitures in the United States, with most of the proceeds remitted to victims of crimes. Her track record of success inspired Forbes to call her “The Babe Ruth of Forfeiture.”

She also led multiple significant prosecutions, working hand in hand with federal banking regulators, the Office of Foreign Asset Control, and other regulatory authorities. Ms. Levin was the lead prosecutor responsible for securing a settlement in the historic “Portrait of Wally” forfeiture case, which centered on an oil painting stolen by Nazis from a Jewish woman in 1939—a story that was later made into a documentary. As a former colleague told the New York Times of Ms. Levin, “It’s hard to think of another person who has had such an important impact over so many years in so many S.D.N.Y. cases.” Ms. Levin is an internationally renowned leader in her field. She has served on multiple occasions as a keynote speaker, panelist or lecturer at events related to money laundering and asset forfeiture, as well as events on AML compliance, terrorist financing, and other related topics.

Partner, Davis Polk & Wardwell LLP

Mr. Kaplan serves as a member of Davis Polk’s three-person Management Committee and previously was co-head of the firm’s global Capital Markets Group. He advises issuers and underwriters in connection with capital markets and leveraged finance transactions, including initial public offerings and other equity offerings, as well as convertible and high-yield debt issuance. He has worked on transactions in a wide variety of industries. Mr. Kaplan also advises investment banking clients on securities-law-related matters and advises corporate clients in areas including corporate governance and SEC and Sarbanes-Oxley matters.

Partner, Jones Day

David Peavler has deep experience in U.S. Securities and Exchange Commission (SEC) investigations and prosecutions, having served as Regional Director and Associate Director for Enforcement. He also provides unique insights on financial services industry regulation, public reporting, and corporate governance, having served as general counsel for a registered broker-dealer and investment adviser and as in-house counsel for a major energy company.

During his 19 years with the SEC, David led hundreds of investigations and enforcement actions covering every facet of the SEC’s jurisdiction, ranging from corporate accounting and disclosures, auditor failures, and Foreign Corrupt Practices Act (FCPA) violations to cryptocurrency schemes, insider trading, and broker-dealer and investment adviser wrongdoing.

David has broad experience with SEC issues impacting the energy industry, having led the SEC regional office covering Texas and Oklahoma and brought many of the agency’s most significant energy industry reporting and disclosure cases.

Principal, Advisory, KPMG

Binoy has over 15 years of experience in the financial services industry and is focused on supporting clients implement cost-efficient and effective solutions to improve their existing processes, technology, and data architecture. By leveraging machine learning, natural language processing, statistical modelling, big data, and intelligent automation technologies, Binoy designs solutions to support client needs.

Partner, Morgan, Lewis & Bockius LLP

Grace Speights is a partner at Morgan Lewis, resident in the Firm’s Washington, D.C. Office. Grace serves as the Global Leader of Morgan Lewis’ Labor and Employment Practice. In that role she is responsible for managing more than 300 lawyers in 27 of the Firm’s 30 offices and for setting the strategic focus of the Practice Group. Prior to this position, Grace served as the Managing Partner of the Firm’s Washington Office, Chair of the Systemic Employment Litigation Practice Group, and a member of the Firm’s Partner Compensation Committee. Grace also serves on the Firm’s Advisory Board. Grace’s practice focuses on counseling and defending clients in employment discrimination litigation, primarily class action litigation, and counseling clients on corporate diversity best practices. She is often called upon by clients for assistance in crisis management. She also leads a cross-office and cross-disciplinary group of 30 Morgan Lewis women lawyers who are advising companies in addressing the myriad issues arising from the #metoo movement, including investigating and developing strategies for providing a safe, inclusive, and respectful workplace. Grace’s clientele includes large companies, high profile individuals, and entertainment and sports organizations.

In 2018, Grace was recognized by American Lawyer as the Attorney of the Year for being a “change agent” and ally of the #metoo movement and by Employment Law 360 as an MVP for her work in the #metoo space.

CEO, Patomak Global Partners

Paul Atkins is CEO of Patomak Global Partners, leading client work for financial services firms regarding business strategy, regulatory compliance, and litigation support. Before founding Patomak, Mr. Atkins served from 2002-08 as SEC Commissioner and from 1990-94 as chief of staff and counsellor to SEC Chairmen Richard C. Breeden and Arthur Levitt, respectively. He was a member of the Congressional Oversight Panel for TARP from 2009-10. In private practice, Mr. Atkins was a partner of PricewaterhouseCoopers (previously, Coopers & Lybrand) and began his career as a lawyer in New York and Paris with Davis Polk & Wardwell. Mr. Atkins received his J.D. from Vanderbilt University School of Law, where he was Senior Student Writing Editor of the Vanderbilt Law Review, and his A.B. from Wofford College, summa cum laude, Phi Beta Kappa. He is co-chairman of the Token Alliance and former chairman of the board of BATS Global Markets.

AutoRek is the trading name of API Software Ltd. Since the company's inception in 1994, AutoRek has been providing financial controls solutions that incorporate:

• High volume reconciliation;
• Compliance products to help with PS14/9 client money and asset reconciliations, anti-money laundering and Know-Your-Client, and more recently FATCA;
• High performance cash applications to improve your order to cash processes;
• Data migration;
• Account sign off and attestation to assist with SOX compliance; and
• Operational accounting.

AutoRek developed these solutions to remove the reliance on manual processing, increase the scalability and efficiency of financial operations and increase standard of management controls with world class analytics and bulletproof audit control.
This suite has been enhanced and enriched over the years with the development of additional modules including the flexible reporting and analysis tool.
AutoRek deploys these feature-rich packaged products, allowing “last yard” configuration to tailor the solution to meet clients’ exact needs.
AutoRek has been deployed in numerous financial institutions in Britain and Europe; many of these deployments have been through the referral of existing AutoRek users.

Our solutions are purpose built to improve the quality and efficiency of financial data management, and incorporate high performance reconciliation software, cash applications and compliance products.

Managing Director, Deloitte & Touche LLP

Sunil is a Managing Director in Deloitte’s Financial Industry practice, providing services to the US Regulators, Banking, Capital Markets and Investment Management Industry. He has spent more than 25 years leading initiatives in RegTech spanning Technology Strategy, Digital Transformations, Financial Fraud, Portfolio recalibrations, Trade Surveillance and Cloud-enabled AI/ML Operational & Compliance transformations. He is working with various clients around the adoption of emerging technologies in regulated environments. He is also an active member of the Deloitte’s AI Institute and focuses on the Capital Markets segment.

Partner, Ballard Spahr

Celia Cohen is a litigator and adviser who represents financial institutions and corporate clients in white collar defense, regulatory compliance, internal and government investigations, and related civil actions. Her significant experience across industries includes private practice as well as roles as a federal prosecutor and in-house counsel at one of the world’s largest financial institutions.

Celia has experience leading legal and trial teams in regulatory compliance and enforcement, as well as in court and alternative dispute resolution forums. A former Assistant U.S. Attorney in the Eastern District of New York, Celia understands how the DOJ, SEC, and other government agencies conduct investigations and make prosecution decisions. In her role, she handled cases involving securities fraud, international wire fraud, cybercrime, and health care fraud, and successfully tried cases involving terrorism, racketeering, and murder.

As former Assistant General Counsel at JPMorgan Chase, Celia led internal investigations for the bank’s Government, Investigations & Regulatory Enforcement Group. She oversaw complex investigations spanning multiple jurisdictions, and represented the bank in response to whistleblower matters and government inquiries. In private practice, Celia has more than 15 years of experience representing financial institutions, business technology companies, and other clients spanning a variety of industries.

Senior Director, XSP Product Management, FIS

Christine Huizinga heads XSP Corporate Actions Product Management, with over 15 years of Product Management experience. Christine led the product efforts in creating XSP’s SaaS Corporate Actions solution (XSPrisa) when she first joined XSP in February 2012. Her next challenge was building XSP’s newest product, the XSPosure Risk Dashboard, which launched in February. Christine uses her extensive experience in designing new products, while gathering feedback from future and current clients, to implement efficient solutions to industry challenges.

Before joining FIS XSP, Christine managed a healthcare IT surveillance SaaS offering, with product owner experience in data mining, solution design, and implementing national guidelines for hospital infection surveillance.

Christine also holds a Master’s degree in Public Health – she’s taken her knowledge for managing disease exposure and applied it to managing financial exposure with FIS’ newest XSPosure product.

Executive Vice President, Computershare

Neda Sheridan joined Computershare Trust Company of New York as the Assistant Vice President of Relationship Management in March of 2001. Neda was appointed Assistant General Manager of Computershare Trust Company of New York in 2004 and assisted in the conversion from New York to Canton, MA. Neda currently has P&L responsibility and is an Executive Vice President that oversees the US Corporate Actions Teams reporting to the CEO of US Equity Services. The Corporate Actions Team provides services for a wide range of voluntary and mandatory transactions. Neda is a current and active member on the SIFMA Corporate Actions Group. Neda is a member of the STA and co-chairs the STA corporate actions committee. Prior to Computershare, she worked as a Cash Manager for the Treasury department of Omnicom Group, Inc., a global advertising holding company where her responsibilities included tracking and monitoring cash positions of over 150 company subsidiaries. In addition to Cash Management at Omnicom, Neda analyzed debt-refinancing options, managed the treasury stock repurchase program, and maintained banking relationships. Prior to Omnicom, Mrs. Sheridan worked on the CMBS trading floor with the Principal Transactions Group of Credit Suisse First Boston in Manhattan where she researched innovative asset types for investment purposes and securitizations for clients ranging from financial institutions and government agencies, to public and private commercial real estate. Neda obtained her Bachelor’s Degree in Strategic Management with specialization in Marketing and Computer Information Systems from The University of North Texas.

Partner, PwCDavid is a Partner in the New York Banking and Capital Markets Trust Solutions practice with over 15 years of experience. David has experience in global markets, brokers and dealers, swaps dealers and public clients.

David completed a tour in the Accounting Services Group within the PwC National Office. In this role, David focuses on financial instrument matters. Prior to joining the National Office, David was a Practice Fellow at the FASB, focusing on hedge accounting and the effects of reference rate reform for interbank offered rates (such as LIBOR). Prior to his Practice Fellowship, David was a senior manager in PwC’s Banking & Capital Markets Assurance Group in New York City.

David graduated from University of Queensland, Australia, with a bachelor’s degree in commerce and laws. He is a member of the American Institute of Certified Public Accountants and is a licensed certified public accountant in New York and New Jersey.

Partner, Stradley Ronon Stevens & Young, LLP

Nicole Simon is a partner at Stradley Ronon Stevens & Young, LLP and is the chair of the firm’s alternative funds practice group, a founding member of the firm’s derivatives and commodities practice group and an active member of the investment management group. She counsels a diverse group of clients in the asset management industry on the broad scope of traditional and novel regulatory issues and practical considerations relevant to their initial formation and continued operations. Nicole advises investment advisers, registered investment companies, private funds, REITs, BDCs and their boards of trustees/directors on the application and interpretation of the federal securities and commodities laws. She regularly assists registered and exempt CPOs and CTAs in navigating multiple regulatory regimes. Nicole received a J.D., magna cum laude, from Harvard Law School and a B.A., with honors and highest distinction, from Pennsylvania State University’s Schreyer Honors College.

Partner, Debevoise & Plimpton LLP

Jeffrey L. Robins is a corporate partner and a member of the Banking Group. His practice focuses on representing broker-dealers, swap dealers, banks, securities exchanges, industry associations and buy-side institutions in regulatory and transactional matters.
- [Zarema Jaramillo](https://sources.sifma.org/listing/zarema-jaramillo):

Managing Partner, Washington, D.C., Lowenstein Sandler

Zarema A. Jaramillo is managing partner of Lowenstein Sandler’s rapidly growing D.C office. With over 20 years of regulatory experience, Zarema draws on her extensive knowledge of the U.S. government to counsel financial services, technology, energy, and life science companies as they navigate the ever-shifting waters of antitrust and international trade laws and policies.

Zarema began her legal career in the government as an international trade specialist in the Commerce Department’s Office of China. She later went on to serve as an Acting Director of its Corporate Governance Program in the Office of Russia.

Currently, Zarema focuses her practice on complex antitrust matters, government investigations, and regulatory compliance. She represents and counsels a broad array of clients on enforcement matters before state and federal agencies, competition issues, and compliance with U.S. and foreign anti-bribery, anti-corruption, and trade regulations. Her work with financial institutions and their executives centers on securities class actions and investigations by the U.S. Securities and Exchange Commission, the U.S. Department of Justice, the Federal Energy Regulatory Commission, and the Treasury Department.

Associate, McGuireWoods LLP

Casey’s practice focuses on a range of technology-related matters, including software as a service, licensing, data privacy and security, and outsourcing deals. She also has experience in general corporate, governance, compliance, and transactional matters. Before joining McGuireWoods, Casey was in-house counsel at a Fortune 200 electrical distributor where she routinely reviewed, drafted, and negotiated commercial sales contracts, reseller and distributor agreements, and service provider agreements with the company’s industrial suppliers and customers. She also supported the company’s digital transformation initiatives, largely in connection with the Innovation Office, which focuses on partnerships with startup technology firms. Her in-house and previous law firm experience also included data privacy compliance matters, including with respect to the General Data Privacy Regulations 2016/679 (EU) and California Consumer Privacy Act. Casey also provides focused review for mergers and acquisitions issues related to technology, licensing, and data privacy matters.
- [Amy Longo](https://sources.sifma.org/listing/amy-longo):

Partner, Ropes & Gray

Amy Jane Longo, partner in Ropes & Gray’s litigation and enforcement practice group, specializes in securities enforcement and securities litigation. Amy has more than 25 years of experience representing and prosecuting companies and individuals, with a focus on the financial services industry.

Amy was previously Regional Trial Counsel for the SEC’s Los Angeles Regional Office in the Division of Enforcement. She oversaw all litigation brought by that office—from pre-filing through trial or resolution—in federal district court and SEC administrative proceedings. She supervised cases involving offering frauds, financial reporting and disclosures, accounting, cryptocurrency, insider trading, market manipulation, securities registration, broker dealers, investment advisers, investment companies, and FCPA, and also served as lead trial counsel on securities enforcement matters.

Prior to joining the SEC, Amy practiced for fifteen years with a focus on securities and derivative suits, internal and government investigations, financial services and ERISA litigation, and federal and state class actions.

Partner, Cravath, Swaine & Moore LLP

Elad Roisman is a member of the Corporate Governance and Board Advisory Practice and the Financial Institutions Group (FIG) Practice. Prior to joining Cravath, Mr. Roisman was a Commissioner and Acting Chairman of the U.S. Securities and Exchange Commission (SEC).

Mr. Roisman represents clients on a broad range of complex regulatory and strategic matters. His practice includes advising public and private companies and other SEC registrants on disclosure, compliance, ESG and general corporate law matters. He counsels clients on mergers and acquisitions, capital market transactions and strategic initiatives, as well as on SEC and congressional investigations, exams and inquiries. In addition, Mr. Roisman applies his deep knowledge of market structure regulation to advise fintech companies, exchanges, trading intermediaries and other financial institutions.

As a Commissioner and Acting Chairman of the SEC, Mr. Roisman played an instrumental role in shaping the agency’s rulemaking, enforcement and international work. He led the agency’s efforts to improve the proxy voting process, including amending the rules applicable to shareholder proposals and proxy solicitations. He also helped drive the SEC’s efforts to modernize the regulation of the U.S. equity markets and Treasury markets. Mr. Roisman represented the SEC before the U.S. Congress and other national and international regulatory entities, including the Financial Stability Oversight Council, the International Organization of Securities Commissions and the Financial Stability Board. During his tenure, Mr. Roisman voted on more than one hundred agency rulemakings, opinions, interpretations and guidance documents, and on over 1,000 enforcement actions, including some of the largest cases in the SEC’s history.

Marek is a distinguished operations professional with a robust background in quantitative finance, data operations, analytics, and research. With more than 10 years of expertise in financial services at CRSP, Marek has a proven track record of excellence and innovation.

As the Director of Research Operations at CRSP, Marek spearheads a team of analysts dedicated to generating high-quality financial and economic data. Under his leadership, this data serves as a cornerstone for leading academic research organizations as well as key commercial and government institutions. Marek's role is pivotal in not only maintaining the integrity and reliability of these data products but also in driving the expansion of existing offerings and the development of groundbreaking new ones.

Before his tenure at CRSP, Marek spent over 15 years in Southeast Asia, where he gained extensive experience as a consultant in the financial industry. Notably, he worked with Eastspring Investments (Singapore) Pte. Ltd., the investment arm of Prudential plc in Singapore. His consultancy projects focused on optimization in order execution, strategic planning, and quantitative finance research, leading to significant advancements and efficiencies for his clients.

Marek holds an MSc in Financial Mathematics from the University of Chicago, where he also shared his expertise as a lecturer. Additionally, he earned a BS in Mathematics from Purdue University, further solidifying his strong foundation in quantitative analyst.

Partner, Gibson, Dunn & Crutcher LLP

Tina Samanta is a partner in the New York office of Gibson, Dunn & Crutcher. She is a member of the firm’s Litigation, Securities Enforcement, White Collar Defense and Investigations, and Securities Litigation Practice Groups. Tina’s practice focuses on representing financial institutions, public and private companies, and individuals in sensitive and high-stakes securities-related investigations and litigation. She has represented clients in investigations conducted by the Securities and Exchange Commission, the Department of Justice, the Financial Industry Regulatory Authority, the New York Attorney General’s Office, and numerous other regulatory authorities. She has also represented a diverse range of clients in all phases of litigation, including trial, before federal and state courts across the country.

CEO and Co-Founder, Paxos

Charles Cascarilla is the CEO and co-founder of Paxos, a regulated blockchain infrastructure platform that enables the movement of all assets in a trustworthy way. With more than 20 years of experience in financial services, Charles has a unique perspective on integrating blockchain technology with traditional systems. He co-founded institutional asset management complex Cedar Hill Capital Partners in 2005 and its venture capital subsidiary, Liberty City Ventures, in 2012.Charles has been a leader in introducing regulatory frameworks to the blockchain industry by securing the first Trust charter for digital assets and by testifying to the US Senate and House of Representatives on the merits of this technology for the global economy. He was also a founding member of CoinCenter and the Association for Digital Asset Markets. Earlier in his career, Charles was a portfolio manager at Claiborne Capital and an analyst at both Bank of America Securities and Goldman Sachs. He serves on the board of several charities and private companies including Project ALS and The Centurion Foundation. Charles holds a B.B.A. in Finance from the University of Notre Dame and is a CFA charterholder.

Managing Director, Product and Operations, S&P Global Market Intelligence

Madhu is responsible for managing the data strategy, product, and global operations for the Corporate Actions solutions suite comprising enterprise technology and managed services for corporate actions. His responsibilities also include managing the data strategy for the Global Markets Group. He leads a global team of product, operational and cross-functional experts. He has a proven track record of delivering various initiatives focused on cross-product synergies, data sourcing, product development, operational excellence, change management, data science, automation, and vendor management.

Madhu has over 15+ years of experience in reference data, pricing, and corporate actions. He joined IHS Markit (now part of S&P Global) in 2012. Previously, Madhu worked at Thomson Reuters in various roles focusing on business analysis, data quality, and content management for reference data and fixed-income products.

Madhu earned his Master of Business Administration degree from Marshall University, West Virginia.

Managing Director, Protiviti

Kimberly leads the Northeast region for Protiviti and is a Managing Director in the risk and compliance solution. Kimberly’s work concentrates on consulting assignments including the evaluation of risks and controls, operational process efficiency, organizational design, and operational cost reduction. Prior to joining Protiviti, Kimberly spent time at a top 5 US bank and in private equity. Kimberly consults with senior and executive managers to identify opportunities to minimize risk and create corporate value. Over the past several years, Kimberly has assisted some of the world’s largest financial institutions execute on a variety of initiatives.

Principal, EY

Roselyn is a principal in the People Advisory Services group at Ernst & Young LLP, with 25+ years of experience focusing on Workforce and Rewards Strategy including Transaction and Transformation. She joined Ernst & Young in 2019 and is based in the New York City office at Five Time Square. She is the east region point of contact for Organization and Workforce Transformation.

Roselyn has a Bachelor of Science in Actuarial Science from College of Insurance St. John’s University (1993). She is a Fellow of the Society of Actuaries (2000).

She specializes in workforce and total rewards strategy, wellbeing, mergers and acquisitions and all aspects of retirement plan valuation and administration consulting.

Partner- Digital Assurance & Transparency, PwC

Vikram is a partner with PwC Digital Assurance & Transparency practice and has over 20 years of experience working with financial services clients to address a wide range of internal control, technology and operational risk related solutions. Additionally, Vikram leads the Emerging Technology Risk and Controls solution within the practice. and controls third party assurance/internal controls assessment and reporting (e.g. SOC 1, SOC 2, AUP, AT-C 205). Vikram has led the delivery of third-party assurance solutions for a number of transaction and trade processing, asset servicing and asset management clients covering operations in areas such as prime services, trade processing, securities clearing and settlement, investment advisory, trust and custody and pricing services for both legacy assets as well as digital assets.

Vikram has a deep understanding of Emerging Technology and has worked on the AICPA Emerging Technology task force, the AICPA digital assets task force and the Center for Audit Quality – Emerging Technology task force where he helps publish guidance on risks and controls in emerging technology.

Vikram also represents the firm in various industry consortiums related to these topics.

Managing Director, EY

Setu is an Managing Director in the Advisory Services practice of Ernst & Young LLP. His extensive experience in the Financial Services industry is across the Banking/Capital Markets, Asset Management and Insurance sectors . He has assisted clients across various Capital Markets functional areas (FO/MO/Ops, Risk, Finance, Compliance and Technology) in conducting current state assessments, target operating model design, regulatory, and financial reporting across cash and derivative products. Setu has also assisted both sell-side and buy-side clients with change management, business model review efforts and transformation efforts associated with relevant experience and leads the Capital Markets Regulatory Initiatives competency including the Swap Dealer and Security-Based Swap Dealer topics under Dodd Frank Title VII.

Partner, Head of Bank Regulatory Practice, Cravath, Swaine & Moore LLP

David L. Portilla is Head of Cravath’s Bank Regulatory Practice. He focuses his practice on advising international and domestic banking organizations and other financial institutions on transactional, regulatory, supervisory, enforcement and governance matters.

Mr. Portilla has a broad-gauged financial regulatory practice and is known in particular for his expertise on the Volcker Rule, enhanced prudential standards (including capital, liquidity, governance and resolution planning) that apply to large banking organizations, the prudential regulation of nonbank financial companies, and for leading advocacy efforts in response to potential regulatory or policy developments. In addition, he has represented clients with respect to examination and enforcement matters involving federal and state banking agencies.

From 2011 to 2013, Mr. Portilla served as a senior policy advisor to the U.S. Department of the Treasury’s Financial Stability Oversight Council (FSOC) office.

Principal, KPMG LLP

Paul has over 30 years of experience assisting financial institutions and investment managers execute large scale global transformations across technology, operations, risk management, and client/investor servicing. He brings a blend of consulting and hands-on experience having held strategic industry roles most recently leading the non-investment functions at Oaktree Capital Management during a period of rapid growth, diversification, as well as a successful IPO. At KPMG, Paul focuses on assisting clients scale alternative investments.

Paul has an MBA in Finance and Investments from University of Southern California and a BS in Biology from the University of California.

Executive Director, Product Management - Equity Clearing, DTCC

Bill Kapogiannis is an Executive Director in the Equity Clearing Product Management Group at The Depository Trust & Clearing Corporation (DTCC). In this role, Bill is responsible for the day-to-day management of all core equity clearing products and services including trade capture, asset transfers, ETF’s and fail management. Bill and his team are responsible for developing new offerings and enhancements to existing services to support client needs.

Bill joined NSCC in 1992 and has held various positions within Product Management, Marketing, Relationship Management and Operations during his tenure. Prior to joining NSCC, Bill held various positions in Operations at Dean Witter Reynolds.

Bill has served an Executive Committee Member of the Securities Industry and Financial Markets Association’s (SIFMA) Data Management Governing Committee and also previously held a variety of chair positions on a number of industry steering committees.

Co-Founder and Chief Operating Officer, Access FinTech

Steve Fazio is a Co-Founder and Chief Operating Officer of Access Fintech. He is responsible for product delivery and day-to-day operations. Prior to Access Fintech, Steve spent 8 years at Traiana leading product innovation and building new financial infrastructure.

SVP of Product Management, Digital Assets, FIS Capital Markets, FIS

Responsible for product strategy and head of the product management practice for FIS digital assets, John brings crypto-enabled technology to FIS’ buy side and sell side solutions through partnerships, integrations, and direct investment. John joined FIS with the acquisition of SunGard in 2015.

John has over twenty years of experience in post-trade technology during which time his roles have spanned software development, product management, implementations, sales and business development across securities and cleared derivatives assets. John is a subject matter expert on capital markets technology and is a frequent contributor to publications and industry panels.

John holds a BA from the University of Chicago and is based in Jacksonville, Florida.

Principal, Financial Services, Deloitte

Bob is a Principal with over 30 years advising the broad spectrum of securities firms, broker dealers, exchanges and clearing houses. He focuses on risk management, brokerage operations, trade reporting, governance and controls as well as infrastructure and technology solutions. At Deloitte, Bob is Advisory’s Capital Markets Leader and is responsible for delivering the “Future of Operations”, Risk Operations, and the broad breath of Non-Financial Regulatory Reporting including CAT. Bob has led numerous industry transformation programs including the project office for CAT LLC in response to SEC Rule 613 Consolidated Audit Trail. In 2015-2017 he lead the transition to T+2 and is currently leading the industry efforts to transition to T+1 working with SIFMA, ICI, and DTCC.

Managing Director, EY

Michael Quinn is a New York-based managing director in Ernst & Young LLP’s Financial Accounting Advisory Services (FAAS) practice. He has more than thirty years of diversified experience serving financial services clients. He is a Certified Public Accountant in the state of New York and a member of the American Institute of Certified Public Accountants and NY State Society of CPAs. Michael has his Series 27 license as a Financial and Operations Principal. He was the CFO for UBS International, a separately registered broker-dealer. Michael was part of the senior management team that was responsible for registering the broker-dealer with the SEC. Michael’s primary responsibilities included financial control, regulatory reporting and operations control. In this role, Michael was the primary contact for FINRA. In this role, Michael was responsible for filing Form X-17A-5 Focus report and related schedules. He leads operations for a large international broker dealer which consisted of operations control, settlements, corporate action, statements and wire room functions. Michael has led several broker dealer projects including 17a-5 controls, analysis of customer protection policies, and the implementation of a system for 15c3-1 reporting. He also worked on automating manual processes that support regulatory reporting functions.

Partner, Davis Wright Tremaine LLP

Liz co-chairs the firm’s national financial services practice. With nearly two decades of federal government experience at the Commodity Futures Trading Commission and U.S. Department of Justice, Liz has the insights and perspective to effectively advocate on behalf of her clients before the CFTC, DOJ, Internal Revenue Service, Securities and Exchange Commission, National Futures Association, and exchanges such as CME and ICE.

Liz represents individuals and corporate entities in financial services examinations, regulatory investigations and litigation, and white-collar matters. Her wide-ranging clients include financial institutions, proprietary trading firms, agricultural and energy firms, futures commission merchants, fintech firms, digital asset exchanges, commodity pools, and commodity trading advisors. Liz’s depth of government experience allows her to handle government investigations efficiently and resolve civil and criminal matters in a way that significantly reduces penalties sought by the government, while zealously advocating on behalf of her clients in litigation. She also works with companies to conduct cost-effective internal investigations.

Managing Director in Financial Services Consulting, EY

Bridget Traynor is a Managing Director in EY’s Financial Services practice based in Philadelphia, with over 15 years of experience. Bridget’s focus has been large market and regulatory-driven transformations across financial services. Prior to Ernst & Young, Bridget worked at Morgan Stanley within Operational Risk and in Operations.

Bridget helps lead EY’s global IBOR service offering, serving numerous institutions as they prepare for the transition to alternative reference rates, with an emphasis on consumer and commercial lending. Bridget has led impact assessments, provided program support, developed product and pricing strategies, communications plans, and model and system development planning.

Bridget also helps lead EY’s recovery and resolution planning services, supporting multiple G-SIBs and SIFMUs in their recovery and resolution planning efforts. She has also helped numerous firms in enhancing their risk management frameworks, with an emphasis on operational and enterprise risk.

Partner, Capital Markets Practice, Allen & Overy

John is a partner in the capital markets practice with extensive experience in SEC-registered offerings, private placements (Rule 144A, Regulation D and Section 4(a)(2)) and Regulation S offerings. He has represented issuers, underwriters, placement agents, trustees, and investors in corporate finance transactions, covered bonds, collateralized loan obligations and asset-backed securities, including securitizations of auto loans and leases, dealer floor-plan financings, credit card receivables, student loans, trade receivables, mortgage loans, servicer advances, tobacco fee settlement awards, tobacco quota payments, life settlements and utility stranded costs. John has represented numerous clients on the development of innovative structures involving structured finance products. His work also includes advising clients in connection with tender and exchange offers in liability management transactions and restructurings and in connection with asset purchases and dispositions.

John is actively involved in Diversity & Inclusion and mentorship initiatives at the firm, and acts as the partner lead of the U.S. Asian Affinity Network.

Digital Assets Compliance Lead, Citi

Kamil Zaidi is the Digital Assets Compliance Lead for Citi’s Institutional Clients Group (ICG). In this role, Kamil is responsible for working across ICG Businesses to develop, implement and monitor Citi’s Compliance Risk Management Framework for Digital Assets.

Prior to joining Citi, Kamil was part of Deloitte’s Compliance and Operational Risk Advisory team and advised various large institutions on matters such as Supervision, Conduct Risk, Governance & Management Information. Kamil earned his Master of Management Studies from Duke University, Fuqua School of Business.

Partner, L& DR practice, Clifford Chance

Celeste Koeleveld has over 25 years of experience in government enforcement, regulatory and civil litigation matters that span federal, state and local government in the United States. Over the course of her career, she has held senior positions in the US Attorney’s Office for the Southern District of New York (SDNY), the New York State Department of Financial Services (DFS) and the New York City Law Department.

Celeste represents clients, both corporates and individuals, with regulatory compliance, internal investigations, and all phases of civil, criminal and regulatory litigation, from inception through the appellate process. Her significant government experience imparts a particularly insightful perspective to her advice and counsel in matters involving regulatory agencies.

Prior to joining Clifford Chance, Celeste served on the executive committee of DFS, joining in 2016 as General Counsel, and ultimately serving as Deputy Superintendent and Special Counsel. During her time at DFS, she handled a broad spectrum of regulatory and enforcement actions, including disciplinary and enforcement proceedings, licensing matters, implementation of legislation and promulgation of regulations. In particular, as General Counsel, Celeste was instrumental in the development and implementation of DFS cybersecurity and transaction monitoring regulations.

Partner,, McGuireWoods LLP

Emily P. Gordy, partner at McGuireWoods LLP, advises her clients, financial institutions and personnel, on a wide range of compliance and enforcement issues. Emily has extensive AML experience, as well as experience in a wide variety of other regulatory issues. Emily is also well-versed in examination and enforcement practices of financial services regulators. Prior to joining McGuireWoods, Emily was Deputy General Counsel, EVP, at a large independent BD/IA, managing the regulatory program. Prior to her inhouse position, Emily spent many years as a regulator, serving in a variety of senior management positions at FINRA, including Deputy of Enforcement. Additionally, she served as SEC, Deputy Chief Counsel, Enforcement Division. She is admitted in Maryland and the District of Columbia. She received her JD, cum laude, from American University, Washington College of Law, and her BA, magna cum laude, from Gettysburg College.

Partner, Fried, Frank, Harris, Shriver & Jacobson

Andrew Barkan advises clients on corporate finance and capital markets transactions, including US and international public offerings and private placements.

Issuers and underwriters seek Andrew’s representation in initial public offerings; follow-on and secondary equity offerings; high-yield, investment grade, and convertible debt offerings; acquisition financings; debt tender offers and consent solicitations; and related capital market and private equity transactions. Clients also turn to Andrew in connection with securities law and corporate governance matters.

Andrew is recognized by Chambers USA as a leading individual in Capital Markets: Debt & Equity and by Legal 500 in the categories of Capital Markets: Equity Offerings, Debt Offerings, High-Yield Debt Offerings, and Global Offerings and recognized by IFLR 1000 as “Highly Regarded” in Capital Markets: Equity, Debt and High-Yield.

Director, Depositary, CSD & Issuer Services, GlobeTax

Greggory Lewis is the Director of Depositary, CSD, & Issuer Services at GlobeTax; he joined the company in 2002. GlobeTax provides a complete tax reclaim outsourcing solution to all four U.S. Depositaries issuing DRs (BNY Mellon, Citi, Deutsche Bank, and JPMorgan). Mr. Lewis manages a team of Tax Recovery Specialists who work with financial institutions to maximize the relief and reclaim of cross border withholding tax entitlements for their clients. He is a key member of the standards initiatives around withholding tax processing, which provide guidance to standards organizations like ISO, ISITC, XBRL, and others. Mr. Lewis received a Bachelor’s Degree in Economics from the State University of New York at Stony Brook.

John Hickman is a senior financial services leader with over 30 years of experience in single and multi-family secondary mortgage finance, asset-backed securities, consumer and commercial lending, payments, and treasury management. His expertise lies in product delivery, innovation, predictive analytics, and data science.John joined CSS in 2020 where he now leads the Product Office. This group is responsible for designing, developing, and delivering enhancements to the Common Securitization Platform and driving innovation.Prior to joining CSS, John was Managing Principal at Capco, where he led the Commercial Banking, Treasury and Cash Management practices across North America. Prior to Capco, John held leadership roles in Program Management

Partner, Skadden, Arps, Slate, Meagher & Flom LLP

Ms. Reed was a trial attorney with the Department of Justice’s Terrorism and Violent Crime Division and an assistant United States attorney in the Southern District of Texas. As a prosecutor, she handled criminal cases involving terrorism, public corruption, fraud, organized crime, drug trafficking, money laundering, environmental violations and tax offenses.

Ms. Reed’s practice includes representing corporations and individuals in a variety of complex civil and criminal litigation matters. She represents clients as plaintiffs and defendants and has served as lead trial counsel in more than 30 jury trials and arbitrations. She also regularly represents companies and their directors, officers and financial advisors in multiforum securities and fiduciary duty cases arising from mergers and acquisitions. She has represented clients in acquisition-related cases involving more than 100 billion dollars in transaction value.

Ms. Reed recently served as a member of Skadden’s Policy Committee, the firm’s governing body. She is a member of the American Law Institute and is listed in Chambers USA: America’s Leading Lawyers for Business, The Best Lawyers in America and Lawdragon 500 Leading Lawyers in America. Ms. Reed also was named Best Lawyers’ 2021 Houston Litigation – Mergers and Acquisitions Lawyer of the Year. During her tenure as a prosecutor, she also served as a trial advocacy instructor at the National Trial Advocacy Center, which provides litigation training to all federal prosecutors, and as an instructor at the International Law Enforcement Academy in Budapest, Hungary.

Managing Director, Protiviti

Doug is a Managing Director in the Risk and Compliance division of Protiviti’s New York office. Doug has over twenty years experience in financial services / capital markets and has worked on large scale consulting projects that range from financial close optimization to organization change management to large regulatory / technology projects for large banks, broker dealers, asset managers and custodians. These projects include work from the front office though operations, technology and finance. Prior to consulting Doug’s had extensive commodity and risk management experience.

Partner, Faegre Drinker Biddle & Reath LLP

Sandra Dawn Grannum a Partner in the Business Litigation Group at Faegre Drinker Biddle & Reath LLP serves on the Firm’s governing board and co-chairs the Firm’s nationwide Securities and Financial Services Litigation Team. Sandy is a Fellow of the American College of Trial Lawyers and concentrates her practice on securities litigation, broker/dealer arbitration, employment law and regulatory defense. Sandy has written and lectured widely on securities, employment, ethics and diversity, equity, inclusion and justice issues. Sandy chairs the full-day PLI Securities Arbitration Seminar conducted annually in NYC and regularly speaks at the SIFMA C&L Annual Conference, and on ABA and other CLE programs. Sandy earned her JD from Harvard and BA from New York University. She began her career as a litigation associate at Cravath, Swaine & Moore, moved in-house to PaineWebber, which later became UBS, handling securities litigation and there became SVP and Senior Associate General Counsel in UBS’s Employment Law Unit. In 2003, she founded Davidson & Grannum, with a former PaineWebber/UBS colleague. She joined Drinker in January 2016, which became Faegre Drinker in February 2020. Sandy has been honored for promoting diversity in the profession and advancing the professional development of other female lawyers.

Executive Director, Morgan Stanley

Rebecca Winters is an Executive Director at Morgan Stanley and Co-Head of the U.S. Litigation Department. Prior to joining Morgan Stanley in 2014, Rebecca served as counsel in the Litigation Department of Davis Polk & Wardwell, where she represented clients on a variety of civil matters, including antitrust, securities and M&A litigations, and in connection with a range of criminal and regulatory investigations. Rebecca received a B.A., magna cum laude, from Dartmouth College, and her J.D., magna cum laude, from Harvard Law School. She clerked for the Honorable Kimba M. Wood, U.S. District Court for the Southern District of New York, and the Honorable John M. Walker, U.S. Court of Appeals, Second Circuit.

Senior Director, Product Management, FIS

Martin Bentsen is an attorney and accountant and has been involved in the financial services industry his entire career. He brings more than 35 years of experience from a broad spectrum of domestic and international activities. He has served in senior positions on both the vendor and industry sides of the banking and securities businesses.

In his role with FIS, Martin is responsible for the direction and development of various Tax Information Reporting products FIS offers. Along with supporting its customer base in year-end tax statement preparations and return filings, Martin has focused on implementing new IRS regulations ranging from Section 6045 Cost Basis to the soon to be effective Section 1446(f) publicly traded partnership withholding rules. Relying on his understanding of IRS regulations and his ability to apply them to FIS Tax Information Reporting products, he is leading the FIS Product Management Team’s development of a Digital Asset Tax Information Reporting solution to meet the new 2023 information reporting requirements for brokers and digital assets.

Martin has a BBA in Accounting from Bernard M. Baruch College, and a Juris Doctor Degree from New York Law School. He is a current member of the New York Bar. He has also attended the FINRA Institute at Wharton where he attained the FINRA Certified Regulatory and Compliance Professional credential. Previously he was a member of the Information Reporting Program Advisory Committee (IRPAC), and a member of the Internal Revenue Service Advisory Council (IRSAC). He has previously carried the following securities licenses – Series 7 / 8 / 14 / 14A / 24 / 27.

Director of Internal Audit, Baird

David Cook is a strategically focused seasoned senior-level professional with over 35 years of delivering impact and value to the financial services industry. Innovative and efficient leader using consulting and critical thinking skills to provide solutions to his clients while successfully managing risk.

Currently the Managing Director and Director of Internal Audit at Robert W. Baird & Co. Incorporated, a privately held and employee-owned wealth management, capital markets, asset management, and private equity firm. At Baird, he is a member of the Senior Leadership team in Risk, leads the firm’s Internal Audit efforts, and co-leads the Data Analytics strategy for Risk Management. David has led agile, consulting, and audit projects in the United Kingdom, Germany, and China.

Previously, David worked as a Senior Auditor at Ernst & Young, LLP where he supervised staff auditors on manufacturing, retail, and government audit client engagements.

Partner and Head of Allen & Overy’s U.S. Financial Services Regulatory Practice, Allen & Overy

Barbara Stettner is the Head of Allen & Overy’s U.S. Financial Services Regulatory Practice, a member of the firm’s Global Financial Services Regulatory Steering Committee, and previously served as a member of A&O’s Global Board and Executive Committee and as the Managing Partner for the Washington, D.C. office. Barb represents multiple foreign and domestic banks, investment banks, broker-dealers, and asset managers, in structuring and implementing US-compliant domestic and cross-border securities distribution, fundraising, trading, asset management, and custody programs. Barb also applies this expertise to the cross-border sales, trading, and custody of digital assets.

Previously, Barb was at the SEC’s Division of Trading and Markets, as Special Counsel in the Office of the Chief Counsel, Attorney-Advisor in the Office of Risk Management and Control, and Senior Counsel in the Office of International Affairs. She is a current member of the Board of Advisors of the SEC’s Historical Society.

Barb is ranked Band 2 for Financial Services Regulation: Broker Dealer (Compliance) by Chambers USA. According to Chambers, Barb “receives accolades for the reasoned advice that she provides to broker-dealers and other financial institutions relating to regulatory compliance. Clients have enthused that “‘she has a very good knowledge of the law’ and ‘does an excellent job of spotting all the regulatory issues that might be implicated in a question and bringing all of those issues together.

Partner, Cleary Gottlieb Steen & Hamilton LLP

Giovanni P. Prezioso is a partner in the Washington, D.C. office of Cleary Gottlieb. He represents major corporations and financial institutions in securities regulation and enforcement matters, as well as corporate governance and regulatory matters.

From 2002 to 2006, Giovanni served as general counsel of the Securities and Exchange Commission during a time of unprecedented enforcement and regulatory activity. During his tenure, he was responsible for implementing the enforcement and regulatory provisions of the Sarbanes-Oxley Act.

He is distinguished as a leading lawyer by Chambers USA, The Legal 500 US and Benchmark Litigation, and was named one of the “Most Influential Lawyers of the Decade” by The National Law Journal. Giovanni currently serves as a member of the Executive Council of the Federal Bar Association Securities Law Committee (Chairman 2006–2010) and the Securities Board of Editors of the LexisNexis Publishing Company.

Director, KPMG LLP

Joe is a Director in the Digital Lighthouse, KPMG’s Data Analytics & AI center of excellence.

He has nearly 20 years of advisory experience developing enterprise data strategies, target operating models, and delivering advanced AI solutions spanning all industries and market caps. Currently, he is platform owner for KPMG’s AI Platform – Ignite, product owner for the KPMG Ignite Securities Analyzer, and lead for Ignite-based ESG solutions.

Partner, Ropes & Gray LLP

Fran Faircloth is a partner and core member in Ropes & Gray’s data, privacy, and cybersecurity practice. She represents clients handling complex data, privacy, and cybersecurity matters across a wide range of industries and sectors.

Fran has assisted clients in privacy and cybersecurity related class action litigation and enforcement actions by the FTC, state Attorneys General, the SEC, and other government agencies. She uses her experience managing incident response and handling complex investigations to help clients get to the root of inquiries and communicate complex cyber and data privacy issues to government regulators and boards of directors.

Fran advises clients on difficult data privacy, cybersecurity, and information law questions involving data breaches, ransomware, online brand protection, social media, e-commerce, and Internet governance. She regularly counsels clients on compliance with federal, state, and foreign privacy and security requirements related to the collection, handling, and protection of data.

Principal, Bressler, Amery & Ross, P.C.

Andrew W. Sidman is the Principal of the New York office of Bressler, Amery & Ross, a member of the firm’s Executive Committee and the head of its Securities Regulatory Defense practice. Andy also is a co-chair of the ABA’s Securities Litigation Committee’s Subcommittee on Self-Regulatory Organizations. He is invited to speak frequently at industry forums, including the SIFMA Compliance & Legal Society Annual Conferences, other public conferences and internal conferences sponsored by clients. Andy has been recognized in The Best Lawyers in America as a “Lawyer of the Year” in Administrative/Regulatory Law in New York. He regularly is listed in Super Lawyers, The Best Lawyers in America© and New York Magazine’s “New York Area’s Best Lawyers.” He is a graduate of Colgate University and American University Law School.

President & Chief Executive Officer, DTCC

Michael C. Bodson is President and Chief Executive Officer of DTCC. He is also President and Chief Executive Officer of DTCC’s principal operating subsidiaries, DTC, FICC and NSCC and a member of DTCC’s Board of Directors.

In his prior position as DTCC’s Chief Operating Officer, Bodson had enterprise-wide responsibility for all Information Technology and Operations and oversaw DTCC Deriv/SERV LLC and EuroCCP. He previously served as Chairman of various DTCC subsidiaries, including DerivSERV and Omgeo.

Bodson joined DTCC in 2007 as Executive Managing Director for Business Management and Strategy. Prior to this, he held a number of senior management positions with Morgan Stanley over a 20-year period. In his last position at Morgan Stanley, Bodson was Global Head of the Institutional, Retail and Asset Management Operations Department. He previously served as Divisional Operations Officer for the Institutional Securities Group and Head of the Enterprise Information Group. He served as Head of Finance, Administration and Operations for Morgan Stanley Japan in Tokyo, and prior to that, he held similar responsibilities for Morgan Stanley Asia in Hong Kong. Prior to joining Morgan Stanley, Bodson worked at Bear Stearns and Price Waterhouse.

Partner, Ropes & Gray

Michael Littenberg is a Partner at Ropes & Gray and the global head of the firm’s ESG, CSR and Business and Human Rights practice. He has more than 30 years of experience in these areas. Michael advises a significant number of leading companies, asset managers, asset owners and trade associations on ESG, CSR and business and human rights matters. He also publishes and speaks extensively on these topics and is included on numerous top practitioner lists.

In addition, Michael has extensive experience representing U.S. and foreign public and private companies, investment banks, private equity funds and other managers in transactional matters, including securities offerings and mergers and acquisitions, and governance and ongoing compliance.

Litigation & Dispute Resolution Partner, Clifford Chance

Daniel Silver is a Litigation & Dispute Resolution Partner in the New York office of Clifford Chance, where he focuses on white collar criminal defense and regulatory investigations. Dan joined Clifford Chance from the United States Attorney’s Office in the Eastern District of New York, where he served in several senior leadership roles, including as Chief of the National Security and Cybercrime Section. In the US Attorney’s Office, Dan supervised a team of more than one hundred federal prosecutors, led complex cross-border investigations, conducted more than a dozen jury trials, and argued numerous appeals. Dan is a past recipient of the New York City Bar Association’s Stimson Medal, one of the most prestigious awards given to federal prosecutors in New York City, and the FBI Director’s Award for outstanding performance in a counterintelligence investigation. In private practice, Dan represents individuals and corporate entities in matters before the DOJ, the SEC, and other federal and state enforcement agencies. Dan also conducts internal investigations, and counsels clients on risk mitigation strategies with respect to cybersecurity, anti-corruption, sanctions and anti-money laundering issues. Dan graduated from Brown University and received his law degree, magna cum laude, from New York University School of Law.

Shareholder, Greenberg Traurig

Philip I. Person focuses his practice on representing employers in wage and hour, wrongful termination, harassment, discrimination, retaliation, trade secret misappropriation, non-competition, non-solicitation, and whistleblower claims. Philip is an experienced litigator, having defended employers against single-plaintiff and class action litigation in both federal and state courts. He also represents employers in labor and employment arbitrations.

In addition to his employment litigation and counseling practice, Philip serves as Co-Host of Greenberg Traurig’s podcast, the Co-Chair of the Restructuring & Employment Due Diligence Subgroup within the Labor & Employment Group, Co-Lead of Greenberg Traurig’s California Wage & Hour Taskforce, Co-Chair of the Greenberg Traurig African American Inclusion Network (GAIN), and as a member of the Greenberg Traurig Justice Initiative.

Philip graduated from University of California at Davis School of Law and received his bachelors from California State University, Sacramento.

Managing Director, Business Resilience Management, DTCC

Dan Thieke is Managing Director and General Manager for Settlement & Asset Services at DTCC, responsible for overseeing the products and services for that business unit and driving the strategic development of key company initiatives such as its corporate actions transformation effort, dematerialization of physical securities, and leading continued structural changes to the U.S. settlement processes.

Dan currently serves as a member of DTCC’s Investment & Operating Committee, Management Risk Committee and is the Regional Administrative Manager for DTCC Jersey City. He is also on the Executive Committee of the Americas’ Central Securities Depositories Association (ACSDA) and an active member of the Securities Industry Financial Markets Association (SIFMA) Capital Markets Committee.

Dan earned a Bachelor’s degree in finance from the University of Notre Dame and holds a Masters of Business Administration from New York University’s Stern School of Business.

Executive Director, Clearance and Settlement, Product Management, DTCC

John Abel serves as Executive Director of Clearance & Settlement Product Management at DTCC, where he is responsible for managing DTCC’s Equity Clearance & Settlement business units. Within his role, John identifies, evaluates and develops strategic business opportunities to deliver new and increased value to the securities industry. John is responsible for leading many industry initiatives including shortening the standard US settlement cycle and the development of a DLT-based production equity clearance and settlement platform. He also chairs DTCC’s Clearance and Settlement Advisory Council.

John began his career at DTCC in 1987 and has over 35 years of experience in the financial services industry. He has held a number of operational related positions across the organization, including positions in Corporate Actions, Underwriting, and Settlement. In addition, John has extensive clearance and settlement product management experience holding key domestic and international clearance and settlement product management positions.

John holds a bachelor’s degree from St. Joseph’s University. He also serves on various industry committees and working groups. He is an active member of the T+1 Industry Steering Committee (ISC), T+1 Industry Working Group (IWG), and the Americas’ Central Securities Depositories Association (ACSDA).

Chief Analytics Officer, FICO

Scott Zoldi is chief analytics officer at FICO responsible for the analytic development of FICO’s product and technology solutions. While at FICO, Scott has been responsible for authoring 105 analytic patents, with 53 granted and 52 pending. Scott is actively involved in the development of new analytic products and Big Data analytics applications, many of which leverage new streaming analytic innovations such as adaptive analytics, collaborative profiling and self-calibrating analytics. Scott is most recently focused on the applications of streaming self-learning analytics for real-time detection of cyber security attacks. Scott serves on two boards of directors, Software San Diego and Cyber Center of Excellence. Scott received his Ph.D. in theoretical and computational physics from Duke University.

Partner and Chair of Government Investigations and White Collar Litigation Department, McGuireWoods

Noreen serves as the chair of McGuireWoods’ Government Investigations and White Collar Litigation Department and is a member of the firm’s Diversity & Inclusion Committee.
- [Danielle Noonan](https://sources.sifma.org/listing/danielle-noonan):

Associate Vice President, Legal Solutions, QuisLex

Danielle is an Associate Vice President, Legal Services with over a decade of experience in executing all aspects of e-discovery reviews for global clients, including hundreds of financial services cases, as well as in consulting with in-house legal teams to streamline and standardize their protocols, processes, and guidelines for all stages of the EDRM cycle. She received her Juris Doctorate cum laude with a concentration in Intellectual Property from Benjamin N. Cardozo School of Law and recently acquired an Advanced Masters of Law degree in Law and Digital Technologies from Leiden University in the Netherlands. Danielle joined QuisLex in 2010 after many years as an associate in the litigation department at Kaye Scholer LLP (now Arnold & Porter LLP) in New York.

CRA/FL/Consumer Compliance Lead Expert, Office of the Comptroller of the Currency

Seth M. Schwartz has been the Community Reinvestment Act/Fair Lending/Consumer Compliance Lead Expert since July 2020 in the Systemic Risk Identification Support and Specialty Supervision (SyRIS) group at the Office of the Comptroller of the Currency. He manages a team of subject matter experts that advise large and midsize bank supervision on complex compliance related matters and identify emerging compliance risks, trends and themes. Before serving in his current role, Mr. Schwartz served as the BSA/AML Lead Expert in SyRIS and as a compliance examiner in Large Bank Supervision, having joined the OCC in 2005. Before joining the OCC, Mr. Schwartz worked at a Big Four accounting firm providing advisory services to the financial services industry.

Mr. Schwartz earned his bachelor of arts in history from Trinity College and a master of science in Economic Crime Management from Utica College. Mr. Schwartz is also a Certified Regulatory Compliance Manager and a Certified Fraud Examiner.

Principal, Bressler, Amery & Ross, P.C.

Louis Mendez is a Principal at Bressler, Amery & Ross, P.C. in Birmingham, Alabama. Louis is in Bressler’s Financial Institutions and Insurance practice groups. He has experience in a broad range of litigation matters, including defense of securities arbitration and class action matters, defense of insurers in contestable life insurance claims and coverage disputes, and other commercial matters. Louis is also an active participant in Bressler’s pro bono and recruiting efforts and serves as Chair of the Firm’s Diversity Promotion Network. Louis currently serves as the Deputy Regional President of Alabama for the Hispanic National Bar Association and serves on the Board of Directors of the Mid Alabama Chapter of the American Red Cross. In 2022, Louis began teaching as an Adjunct Professor at the University of Alabama School of Law. He received his BA from Duke University and his JD from Georgetown University Law Center.

Managing Director & General Counsel, DTCC

Ann Shuman is General Counsel of DTCC, responsible for overseeing the company’s legal, compliance, regulatory & government relations functions. She was appointed General Counsel in February 2017. Ann has extensive experience with financial services regulation, particularly the regulation of central counterparties.

She joined DTCC in January 2014 as Managing Director & Deputy General Counsel. Prior to joining DTCC, she was Managing Director & Deputy General Counsel of CME Group Inc.

Ann received her J.D. from the University of Chicago Law School and began her legal career at Sidley & Austin in Chicago.

Partner, Financial Institutions, Davis Polk

Eric provides bank regulatory advice, including on financial services reform, regulatory implementation and the preparation of living wills. He has advised clients on the Bank Holding Company Act, the National Bank Act, the Home Owners’ Loan Act, and various other statutes and regulations applicable to financial institutions. His clients include U.S. and non-U.S. SIFIs, regional banks, non-bank subsidiaries of BHCs and investors in financial institutions.
- [Ben A. Indek](https://sources.sifma.org/listing/ben-a-indek):

Partner, Morgan, Lewis & Bockius LLP

Ben A. Indek is a partner at Morgan, Lewis & Bockius LLP. Mr. Indek focuses his practice on representing broker-dealers and their employees in governmental, self-regulatory organization, and state securities commission investigations and conducting internal investigations for financial services firms. He also counsels broker-dealers on regulatory and compliance issues, including the development and implementation of written compliance and supervisory procedures and new rules and regulations. Mr. Indek also has significant experience assisting firms in self-reporting matters under FINRA Rule 4530(b) and currently acts as counsel to a broker-dealer’s self-reporting committee. He has also represented a number of compliance officers in SEC and FINRA investigations. Mr. Indek previously served on FINRA’s Independent Dealer/Insurance Affiliate Committee, NYSE’s Electronic Communications Task Force, the NASD’s Market Regulation Committee, and on the Board of Directors of the NSCP.

Co-head of White Collar, Regulatory Defense & Investigations; Co-head of DEI Advice, Audits & Assessments, Moore & Van Allen, PLLC

For more than 25 years Valecia has brought her candor, pragmaticism, and diligence to bear on behalf of her clients, establishing herself as a go-to attorney in the investigations arena. Valecia has experience conducting large scale internal and governmental investigations reviews across the United States, Europe, Asia, and South America, with specific knowledge and experience in the areas of consumer finance, financial crimes, and employee conduct risk, including practice and company-wide reviews and racial equity assessments.

Valecia has represented clients in disputes, investigations, and negotiations involving domestic authorities, such as the Federal Reserve Board, OCC, CFPB, DOJ, SEC, HUD, FINRA, CFTC, DOA, OIG, Congress, State Attorneys General in the United States, and international authorities, such as the U.K. Financial Conduct Authority (FCA), the Japanese Financial Services Agency (JFSA), and the Comissão de Valores Mobiliarios (the Brazilian Securities Commission). She frequently uses her years of project management experience to lead sensitive, confidential internal investigations and civil rights reviews and assessments for Fortune 500 companies and recently led the team that published a racial equity audit report for CoreCivic, the largest private operator of corrections and detention facilities in the US.

Valecia has also served as a guest instructor at the Duke University School of Law, teaching a course on internal investigations, and has frequently been selected to speak regarding conduct risk management at the SIFMA C&L Annual Seminar. Valecia has also written or been featured in articles published by Bloomberg, American Banker, Corporate Compliance Insights, and Inside Counsel on the topics of internal investigations, financial services compliance, and risk management.

Vice President, Head of Tax Services Operations and Client Services, Broadridge Financial Solutions

Amy is a strategic leader with extensive experience guiding teams that build global utilities for complex business functions. She is widely recognized for her track record managing the successful delivery of large scale IT projects. Through her professional experiences, Amy has gained deep knowledge of the complex workflows of tax operations and client services. As a global leader, she is adept at developing cross-regional and off-shore delivery models that meet the requirements of customers and regulators. Amy’s areas of expertise also include Common Reporting Standards, foreign transaction tax reporting, FATCA reporting and 1446(f).

Partner and Co-Head, Global Finance Practice, Mayer Brown LLP

Stuart M. Litwin is a partner and co-head of the Global Finance Practice at Mayer Brown LLP. He also co-heads Mayer Brown’s Structured Finance and Capital Markets Practices.

Stuart is one of the leading and most experienced lawyers in the United States in the representation of originators, investment banks, marketplace platforms, warehouse lenders, underwriters, aggregators, ABCP conduit sponsors, hedge funds, commercial banks and investors (including mutual funds) in structuring, negotiating and documenting United States and international asset-backed and other securities transactions, structured financings and loan purchase transactions.

His experience has involved the securitization of virtually all asset types, and he is recognized as an expert in the securitization of retail and commercial auto loans and leases, consumer and small business marketplace loans (including payment processing loans), credit cards, FFELP and private student loans, dealer floorplan receivables, equipment leases and loans, cell phone device payment plan receivables, global trade finance assets, rental cars, commercial and residential mortgages, cross-border transactions, solar leases and power purchase agreements, synthetic risk transfers, money market fund investments and structured transactions in which banks and other clients seek advantageous treatment for accounting, regulatory capital or tax purposes.

Managing Director and Practice Lead, Communications & CX, Broadridge Financial Solutions, Inc.

Matt Swain is a recognized Customer and Investor Communications industry thought leader. From delivering keynotes around the world to defining best practices, hundreds of well-known companies have relied on Matt’s expertise and research for their current and future omni-channel communication initiatives. As Managing Director and Practice Lead for Broadridge Customer Communications Consulting – as well as Host of the “Reimagining Communications” podcast – Matt brings invaluable market research and consulting expertise to clients relative to benchmarking, customer experience optimization, and digital transformation.

Director, Financial Crimes, KPMG LLP

Michael is a Director in the New York Office of KPMG’s U.S. Financial Crimes practice and a graduate of Fordham Law School. Michael has nearly 10 years of experience providing BSA/AML and OFAC compliance services to the financial services industry within all three lines of defense.

Counsel, Mayer Brown LLP

Bradley Berman is counsel in Mayer Brown’s New York office and a member of the Capital Markets practice. He represents domestic and non-US issuers on domestic and international securities offerings of structured products linked to equities, commodities, interest rates, currencies and other underlying assets. Bradley has extensive experience with exchange-traded notes. He regularly advises issuers and dealers on the creation of proprietary indices. Bradley represents issuers on their shelf registration statements and medium term note programs and issuances exempt from registration under Regulation S, Rule 144A or Section 3(a)(2). He has worked on many bank note issuances by state and national banks. Bradley also advises broker-dealers on the FINRA communication rules and suitability issues. He has extensive experience with negotiating underwriting, distribution and dealer agreements and related deal documents, including indentures.

Bradley regularly advises large financial institutions on transitioning their medium-term and other rates-linked programs from LIBOR to SOFR, including setting up their programs with the latest SOFR interest rate provisions.

Vice President, Information Governance, Smarsh

Robert Cruz leads Smarsh’s global Regulatory and Information Governance team, whose primary objective is to help Smarsh customers stay apprised of regulatory developments and deploy best practices in the use of digital communications technology. Robert is a recognized author, speaker, and subject matter expert in the area of digital communications compliance and brings over two decades of leadership in the governance, risk, and compliance market. Robert is based in the Silicon Valley area and holds an MBA degree from the Stanford University Graduate School of Business.

Partner, Skadden, Arps, Slate, Meagher & Flom LLP

Alisha Q. Nanda’s practice involves a wide range of complex civil litigation matters, including securities class action defense, financial services and insurance. She has litigated in state and federal courts around the U.S. and represented corporations and individuals in matters before the Securities and Exchange Commission (SEC).

In 2019, she was appointed to the Massachusetts Judicial Nominating Commission, which advises the governor on candidates for judicial office across the commonwealth. Ms. Nanda is a member of the firm’s Attorney Recruiting and Diversity committees, a partner liaison for the firm’s Global LatinX Affinity Network and a member of the Hispanic National Bar Association.

Managing Directo, Capital Markets Consulting Practice, EY

Jonathan Firester is a New York-based Managing Director in the Capital Markets Consulting Practice at EY, where he leads the Front Office / Strategy offerings. Jon leads engagements to support clients in designing, building, and transforming capital markets businesses, often based on industry strategic opportunities, disruptive technologies and/or resource and cost efficiencies. Jon has over 30 years of financial services experience, both in management consulting and industry operating roles, including in electronic trading, prime brokerage, operations, technology, finance, regulatory, and risk management. Before joining EY in 2014, Jon managed the Equities portfolio at a $500+ million quantitative hedge fund. Prior to that, Jon was the Global Business Manager for Prime Brokerage at a top-tier investment bank. Before that, Jon led the Strategy Group for the Global Equities Division of a leading bank. Jon graduated from Harvard University with a degree in Abstract Mathematics.

Principal, Alabama, Bressler, Amery & Ross, P.C.

Mr. Jones is a principal in Bressler’s Financial Institutions practice group. He regularly represents brokerage firms and other financial institutions against claims asserted by their customers and employees. Mr. Jones is a co-manager of the firm’s Senior and Vulnerable Investor Group, whose lawyers provide end-to-end advisory solutions and litigation support for investment advisers, broker-dealers and other financial institutions confronting senior/vulnerable investor issues.

After receiving his Bachelor of Arts in English Literature from the University of Alabama, Mr. Jones earned his Juris Doctor from the Washington & Lee University School of Law.

Partner,, Morgan, Lewis & Bockius LLP

Christine Lombardo advises investment managers and broker-dealers on financial regulatory matters. She concentrates her practice on securities regulation for a broad range of financial firms including retail asset managers, private fund managers, family offices, broker-dealers, other professional traders, and high-net-worth individuals. Christine also counsels legal, compliance, and business personnel on the structure, operation, and distribution of advisory programs, including digital advisory offerings, and investment products, including hedge funds, private equity funds, venture capital funds, real estate funds, and other alternative investment products.

Partner, Jones Day

Charlotte Taylor is a skilled appellate advocate with extensive experience representing clients in industries subject to federal regulatory schemes. She helps clients develop and pursue successful litigation strategies from a case’s inception through all levels of trial and appellate litigation, often across multiple jurisdictions. She has briefed and argued numerous cases in federal and state courts of appeals and regularly practices before the U.S. Supreme Court.

Charlotte has particular experience litigating federal preemption, McCarran-Ferguson Act “reverse preemption,” and constitutional challenges to state laws. She has handled multiple lawsuits against state government entities in state and federal venues and has successfully navigated sovereign immunity issues to win judgments for clients. In addition, Charlotte has substantial experience defending class actions and with white collar defense work. She was part of the team that brought the federal bribery case McDonnell v. United States from district court to victory in the U.S. Supreme Court.

Charlotte’s pro bono practice includes matters before federal and state courts of appeals and the U.S. Supreme Court. Her work on a Texas child custody appeal was recognized by the Domestic Violence Legal Empowerment and Appeals Project as part of the 2017 Pro Bono Team of the Year.

Partner, Sullivan & Cromwell LLP

Sharon Nelles, Managing Partner of Sullivan & Cromwell’s litigation group and a member of the Firm’s management committee, represents global corporations and financial institutions — and their boards — in every aspect of critical company matters, including civil litigation, enforcement proceedings and criminal and congressional investigations. Sharon has been identified as one of the “Top 10 Practitioners in Securities” by Euromoney’s Benchmark Litigation, one of “25 Most Influential Women in Securities Law” by Law360, and has been ranked by Chambers USA for more than 15 years. She has been named a “Litigator of the Year” by The American Lawyer, a “Distinguished Leader” by the New York Law Journal, and a Litigation Trailblazer by the National Law Journal. Sharon has tried complex commercial cases in state and federal courts across the country.

Principal, Bressler, Amery & Ross

Kathryn Perreault, a principal at Bressler, Amery & Ross, is located in the firm’s Birmingham, Alabama office. As a member of Bressler’s Financial Institutions Group, Kathryn has practiced in all aspects of complex litigation. She litigates, arbitrates, and advises clients in a variety of areas, including securities, regulatory investigations, employment disputes with underlying sales-practices issues, and mortgage litigation matters.

Partner & Co-Chair, Securities Litigation, Stradley Ronon Stevens & Young, LLP

Paula Shaffner is widely recognized as a fierce advocate for clients in the financial services industry. For over 30 years, Paula has represented individuals and companies in securities litigation, and defended clients in regulatory matters before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Agency (FINRA) and various exchanges and state regulators. She also represents clients in litigation filed in court or arbitration.

Paula conducts internal investigations and provides compliance counseling. Her clients include public companies, mutual funds, hedge funds, investment companies and advisers, broker dealers and individuals associated with those entities.

Partner, Orrick, Herrington & Sutcliffe, LLP

Amy is a trial attorney, a former federal prosecutor and the former Chief of the Business and Securities Fraud Section of the U.S. Attorney’s Office for the Eastern District of New York. Amy is hired to handle high-stakes matters involving the government’s investigation or prosecution of her clients.

Senior Manager, Financial Accounting Advisory Services, EY

Jeff is a Senior Manager in EY’s Financial Accounting Advisory Services (FAAS) practice. Jeff has over 10 years of experience in the financial services industry, serving clients in both assurance and advisory capacities.

Jeff co-leads EY Financial Services Organization’s (FSO) efforts around sustainability metrics and reporting in the Americas. In this role, he leads a team responsible for monitoring regulatory and industry body developments that impact sustainability reporting, as well as develops approaches and offerings to assist EY’s financial services clients in both internal and external reporting.

General Manager of Equity Clearing and DTC Settlement Service, DTCC

Michele Hillery serves as General Manager of NSCC’s Equity Clearing and DTC’s Settlement Service at DTCC. In this role, she is responsible for setting business strategy and day-to-day management of equity clearing for trades executed on major U.S. exchanges and other equity trading venues. In addition, Michele oversees DTCC’s ongoing efforts to collaborate and build industry support for modernizing and transforming DTCC’s core businesses. She is also a member of DTCC’s Investment and Management Committee and Resiliency Committee.

Michele has over 20 years of experience in the financial industry, having held past roles within Product Management, Quality Assurance and Operations. Prior to joining DTCC’s Equity Clearing Product Management in 2013, Michele led FICC’s Mortgage-Backed Securities Division (MBSD) where she managed business operations and project development.

An active member of the industry, Michele often speaks at key conferences and events on topics that are shaping financial markets. She is also a member of SIFMA’s Operations and Technology Committee.

Frank J. Weigand is Chair of Cahill’s Trading & Markets Group and a member of the firm’s Digital Assets and Emerging Technology Group.

Frank focuses his practice on securities, commodities, and digital assets matters, and his clients include a broad range of market participants, including banks, broker-dealers, and funds as well as a full spectrum of participants across the digital asset markets.

Frank advises clients on both regulatory and transactional matters, with a particular focus on solving strategically complex problems and working with clients to develop new products. His many years of experience advising regulated entities in traditional markets gives him the depth and context needed to appropriately advise on regulatory implications relevant to digital asset matters.

From a subject matter standpoint, Frank possesses an intimate knowledge of broker-dealer and securities regulation having previously served as general counsel of two broker-dealers: HSBC Securities (USA) Inc, and Oasis Pro Markets, LLC. He also has spent the vast majority of his career advising on trading, derivatives, and structured transactions relating to asset classes, including equities, fixed income, FX, precious metals, and credit. From 2016 to 2021, Frank was the Americas Head of Legal for HSBC's Global Markets division, a role in which he was responsible for managing the legal and regulatory risk for HSBC’s trading and derivatives activities in the United States and throughout the Americas region. As a result of this firsthand experience advising numerous business lines within a global financial institution, Frank is capable of providing practical risk-based advice on a real-time basis, which is of critical importance to firms running trading businesses.

Frank has also advised clients on investigations and enforcement matters and has significant experience with large-scale global compliance matters from both a proactive and remedial standpoint.

Partner, KPMG LLP

Jim is a partner in KPMG’s New York Financial Services audit practice with 30 years of experience in accounting, financial reporting and auditing. During his career, Jim has served a variety of clients in the banking and capital markets industry including large global corporate and investment banking institutions, introducing and clearing broker-dealers, futures commission merchants, retail foreign exchange dealers, securities exchanges as well as regional and community banks. Jim is a former chair of the AICPA Stockbrokerage and Investment Banking Expert Panel and is also a member of KPMG’s SEC Review Partner program.

Jim received his MBA in Finance and BS in Accounting and is a member of the AICPA. Jim is a licensed CPA in the state of New York.

Managing Director, Information Reporting & Withholding, Financial Services Organization, EY

Jonathan Jackel is a managing director in the Financial Services Organization at EY.

Mr. Jackel’s practice includes a full range of information reporting and withholding issues, both under US law and the Common Reporting Standard (CRS). Mr. Jackel has been a widely quoted expert on issues such as section 1446(f) and the Foreign Account Tax Compliance Act (FATCA) and CRS. He advises both domestic and foreign clients with respect to all aspects of US IRW and CRS issues, such as sections 871(m) and 305(c), qualified intermediaries and withholding foreign partnerships and trusts, and other issues relating to information reporting (Forms 1099, 1042-S, 8805, and 8288-A).

Mr. Jackel joined EY in September 2015 after spending almost 19 years at Burt, Staples & Maner in Washington, DC. He served as a trial attorney with the Tax Division of the US Department of Justice from 1992 to 1996, and was a clerk for the Honorable Renato Beghe of the US Tax Court prior to joining DOJ.

Director, Business and Solutions Strategy, Capital Markets Solutions, FIS

Harry is responsible for RegTech for the Capital Markets business, and solutions strategy focused on our sell-side businesses. Harry synthesizes understanding of industry and customer with technology expertise to strengthen FIS Capital Markets position as a leading RegTech provider to the industry, and to shape solutions that provide maximum impact to our customers’ businesses.

Harry joined FIS with the acquisition of SunGard in 2015. He has over twenty years of experience in both sell-side and buy-side businesses, leading application development and solution delivery teams, as well as in consulting and strategy roles.

Harry has an MBA from Columbia University Graduate School of Business and an AB from Harvard College. He is based in New York City.

Co-Chair, White Collar Defense and Investigations Practice Group, WilmerHale

Ronald Machen, who has tried over thirty-five cases to verdict, has spent his entire career either prosecuting or defending high stakes criminal and civil litigation matters. From 2009 to 2015, Mr. Machen served as the United States Attorney for the District of Columbia, where he oversaw the investigation and litigation of major criminal and civil matters. Under his leadership, the U.S. Attorney’s Office focused on financial recoveries, including more than $1.5 billion in recoveries from banks in sanctions cases. In 2015, Mr. Machen returned to WilmerHale and his practice has focused on assisting Fortune 500 clients in navigating high profile crisis situations that garner the attention of multiple regulators, enforcement authorities, Congress and private litigants. He is currently handling securities and financial fraud investigations on behalf of financial institutions and litigating matters involving the state and federal False Claims Act, alleged breaches of contract, federal patent infringement, and consumer fraud. He is also a member of the firm’s global Management, Compensation, and Executive Diversity and Inclusion Committees and Co-Chair of the firm’s Investigations and Criminal Litigation Practice Group. In 2020, Mr. Machen was identified as a Criminal Law Trailblazer by the National Law Journal, recognized by Chambers USA for his white-collar crime and government investigations practice, and selected by his peers as one of the Best Lawyers in America for 2021.

Partner,, Sidley Austin

Jennifer is a partner in Sidley Austin’s Washington, DC office. Her practice focuses on cybersecurity, crisis management, internal investigations, and regulatory compliance, as well as complex administrative, civil, and criminal litigation. Jennifer advises organizations on significant cybersecurity matters, including destructive malware and ransomware incidents, and leads internal investigations related to complex cybersecurity matters. She advises clients in numerous industry sectors, including the financial services, retail, hospitality, transportation, healthcare, and technology sectors. Jennifer received her undergraduate degree from Georgetown University and her J.D. from the University of Virginia School of Law.

Engagement Partner, EY

Steve is a partner and has more than 30 years of experience serving financial services clients, focused on investment banks, broker-dealers, commercial and retail banks.

He has extensive experience in securities operations, settlement and custody, equities and fixed-income trading and financing activities, innovative financial instruments including digital assets/cryptocurrencies, broker-dealer regulatory compliance, including net capital and customer protection rules and related accounting and reporting matters.

He has served for more than 10 years as an EY representative to the AICPA Stock Brokerage and Investment Banking Expert Panel, having recently completed three years as chair of the panel. He also serves as an EY industry liaison to securities regulators including the SEC, FINRA, CFTC and NFA, among others.

Director of Regulatory Affairs, Eventus Systems

Chris brings over 25 years of compliance experience working with exchanges, broker-dealers and investment advisers to Eventus where he partners with client stakeholders, monitors for regulatory change to inform surveillance development, provides guidance on surveillance implementation to maximize effectiveness, and helps compliance and supervisory staff build best-in-class surveillance and monitoring capabilities. He most recently led the Compliance Services team at Jordan & Jordan managing their consulting practice and trade surveillance/regulatory reporting offering for Consolidated Audit Trail (CAT) and SEC Rule 606 reporting. Chris has previously held roles in surveillance, regulatory and testing for Deutsche Bank, Jefferies and Credit Suisse. He also served as Deputy Chief Compliance Officer for First Republic Investment Management, an SEC registered investment adviser. Chris began his career with the Enforcement Division of the New York Stock Exchange and later on with Surveillance Planning and Assessment in the Division of Market Surveillance. Chris received his J.D. from Brooklyn Law School and holds a B.A. in Economics from New York University.

Audit Partner, Deloitte & Touche LLP

Tracey Golden CPA, CGMA, is the Chairman of the American Institute of CPAs (AICPA) and serves as Chairman of the Association of International Certified Professional Accountants.

Golden has held several volunteer leadership positions at the AICPA, having previously served as a member of the Board of Directors and Governing Council, as well as chair of the Audit and Finance committee and Peer Review Board. In addition, she has served as the Board Liaison to the AICPA Foundation Board of Trustees and a member of the Relations with the Bar and National Peer Review committees.

Prior to recently retiring as an audit partner with Deloitte, Golden had responsibility for facilitating and coordinating reputation and risk related initiatives and matters and collaborating with member firm leadership to proactively identify emerging risk matters and monitor and facilitate managing existing risks in the Americas region.

Chief Risk Officer, Options Clearing Corporation

Vishal Thakkar is Chief Risk Officer at OCC, the world’s largest equity derivatives clearing organization.

In this role, Mr. Thakkar is responsible for implementing OCC’s Risk Management Strategy, which includes Enterprise Risk Management, Third Party Risk Management, Model Risk Management, Strategic Risk, Model Validation and Model Risk Governance areas.

Previously, Mr. Thakkar led the Enterprise Risk Management function for OCC and was responsible for designing a sound risk management framework with processes and systems to conduct risk assessments, support risk management decisions and prepare the company’s risk profile. He previously served as First Vice President of Financial Risk Management (FRM), Risk Advisory Services where under his leadership, FRM defined a transformation roadmap and significantly strengthened the risk and control environment to enhance process effectiveness and meet regulatory requirements. Mr. Thakkar first joined OCC in 2016 as First Vice President, Internal Audit and was responsible for leading Technology and Operations Audits for the company.

Managing Director, Chief Information Officer, DTCC

Lynn Bishop is Managing Director and Chief Information Officer (CIO) at The Depository Trust & Clearing Corporation (DTCC). As CIO, she is responsible for the ongoing development and testing of all the technology that supports DTCC’s post-trade infrastructure, communications networks, processing and messaging systems, as well as the IT applications underlying DTCC’s broad range of products and services. She is also a member of the firm’s Management Committee.

As a leader in DTCC’s technology team for over a decade, Bishop previously served as DTCC’s Chief Development Officer (CDO) and, before that, was Chief Technology Officer (CTO). She started her career at Accenture during which time she gained extensive experience delivering systems integration, architecture, project management, and business and information technology solutions for several large global financial institutions.

A champion for diversity and inclusion, she dedicates her time and shares her experiences to support the advancement of women in STEM careers. She was recently appointed as DTCC’s senior sponsor of Girls Who Code, a national non-profit organization working to close the gender gap in technology, and actively supports DTCC’s D&I efforts, including programs and initiatives that are helping to develop emerging talent and women in technology. Bishop graduated from Bucknell University with a Bachelor of Science degree in Business Administration.

Partner, Mayer Brown LLP

Stephanie has been a partner in Mayer Brown’s Corporate and Securities practice since joining the firm in 2005. Her work focuses on investment management clients, primarily SEC-registered investment advisers, many that are dually-registered investment advisers and broker-dealers. She advises investment advisers, dual registrants, investment companies (both registered and unregistered) and private funds, across a broad range of investment management and compliance needs. Her practice covers registration, compliance program designs and improvements, conflict and compliance breach issues, regulatory exams, and enforcement proceedings. Stephanie started her practice at the SEC (in the Division of Investment Management), spent a brief period of time in private practice and returned to the SEC for a second time. Since 1991, she has been with prominent law firms in Washington, DC.

Stephanie received her Bachelor of Arts Degree from the University of Maryland and JD from the University of Baltimore. She is recognized and ranked in Chambers (Band 1) and has been included in Best Lawyers in America since 2009.

Vice President, North American Capital Markets, Broadridge Financial Solutions, Broadridge

Mary Beth Law is a financial services technology professional with over 30 years of experience. She is Vice President at Broadridge Financial Solutions, working in the Capital Markets Product Management Group within Global Technology and Operations with responsibility for North American equities platforms.

Mary Beth was educated at the University of Toronto and lives and works in Toronto, Canada.

Partner, Global Tax Leader – Blockchain and Digital Assets, Deloitte Tax LLP

Rob Massey has over 20 years of professional experience in tax consulting for technology companies. Since 2013, he has focused on blockchain, digital assets, cryptocurrency and tokenization. He serves companies throughout the blockchain ecosystem inclusive of investors, miners, staking providers, payment processing, wallet hosting, exchanges, hedge funds, DAOs, tokenization and protocol development. Rob leads Deloitte’s blockchain efforts in tax for the global firm.

Rob’s blockchain expertise spans the comprehensive tax considerations of blockchain enabled transactions and the analysis of the tax impacts of tokenization and digital asset transactions across various business models and industries.

Managing Director, Deloitte Tax LLP

Bob advises the US companies on a full range of international tax issues and collaborates with Deloitte’s global member firms on international tax developments and initiatives, including those from the Organization for Economic Co-Operation and Development (OECD).

Bob joined Deloitte Tax from the US Department of the Treasury (Treasury), where he was the deputy assistant secretary for international tax affairs in the Office of Tax Policy. While there, he worked directly with the assistant secretary of tax policy and the international tax counsel in developing and implementing all aspects of US international tax policy, including treaties, regulations, and legislative proposals.

He also was the official representative of the Obama administration for international tax policy and represented the US government at the OECD where he was involved in all aspects of the Base Erosion and Profit Shifting initiative. Prior to joining Treasury, Bob had more than 25 years of experience in international tax matters, representing both corporations and individuals.

Managing Director, Tax, KPMG

Ted Jahn is a managing director in KPMG’s Information Reporting & Withholding Tax Services practice. He has extensive experience in advisory and operational implementation of both U.S. and non-U.S. indirect and operational taxes.

Prior to joining KPMG, Ted was a director in the corporate tax department of a global non-U.S.-based bank where he served as an adviser to his business and operations partners on matters related to indirect and operational taxes. Ted was also appointed the Responsible Officer for the bank’s Expanded Affiliated Group on Foreign Account Tax Compliance Act and qualified intermediary matters that included more than 700 entities. Prior to his role at the bank, Ted was an executive director at a global U.S.-based financial firm where he was responsible for all aspects of tax operations for the firm. In this role, Ted created a tax operations center of excellence that supported both the retail and institutional businesses.

Ted holds an MBA degree from St. John’s University and a BA degree from California University (PA). He is a certified public accountant, registered in New York.

Principal, EY

Grainne specializes in effectively delivering large transformation programs at top tier institutions. Grainne is as passionate about enabling productivity and creativity in people as she is about technology so the people agenda is always front and center in her transformation solutions. She assists EY’s clients with major change initiatives across front, middle and back office. Her current focus areas are digital transformation, sustainable finance and culture and conduct.

She has 25 years of experience in implementing technology, business, and regulatory change programs during her tenure at leading global institutions such as Goldman Sachs and Morgan Stanley.

Senior Client Relationship Manager, Global Class Actions, Broadridge

Fei Lu Qian is a Senior Client Relationship Manager at Broadridge Financial Solutions, Inc., where he serves as a client advocate and manages Broadridge’s global opt-in litigation team, supporting its clients through these complex roads to recovery. Prior to joining Broadridge, Fei was an attorney where he represented public pension funds, Taft-Hartley funds, and other institutional investors in various recovery opportunities. Fei has extensive experience in portfolio monitoring for institutional investors to identify asset recovery opportunities through securities litigation and in evaluating opportunities to maximize asset recovery as a lead plaintiff, class member, or an opt- out/direct plaintiff.

Fei received a JD degree from Albany Law School and a Bachelor’s degree in Political Science from Union College.

General Manager, Head of Asset Servicing, Broadridge Financial Solutions

Michael Wood is the general manager for Asset Servicing for Broadridge Global Technology & Operations International. He is responsible for leading the strategic direction and delivery of Asset Servicing solutions at Broadridge across Asia Pacific, Europe and the North American region to deliver a market-leading global product. Michael has over 30 years’ experience and joined Broadridge in 2016. Prior to this, Michael was the Global Head of Asset Servicing Technology for Barclays.

Partner, Morgan, Lewis & Bockius

Charlene (Chuck) Shimada is a partner in Morgan Lewis’s San Francisco office where her practice concentrates on securities litigation defense, corporate governance, class actions, and complex commercial litigation. She represents issuing corporations, officers and directors, underwriters, and public accounting firms, not only in private litigation, but also in government investigations and proceedings. She has been elected to The American Law Institute and named by Benchmark Litigation as one of its distinguished “Top 250 Women in Litigation” for 2017–2020. She has also been recognized by Chambers USA, Best Lawyers, The Legal 500, and Super Lawyers.

Chambers USA ranks Chuck, highlighting her “notable strengths acting for underwriters defending significant securities class actions, alongside wider strengths advising individual and corporate clients in litigation and regulatory investigations.”

A pioneer in the legal field, Chuck was the first Asian Pacific American woman partner in a major San Francisco law firm. She was also the first woman litigation partner, as well as the first woman of color partner, at a premier California firm known for its elite litigation practice. She served as the office managing partner of the firm’s San Francisco headquarters, one of the first women of color to hold that position in any major US law firm. She also served as the co-office managing partner of the San Francisco office of another international law firm.

Partner, Sidley Austin LLP

BARRY RASHKOVER, a partner at Sidley Austin, is a nationally recognized, veteran securities enforcement defense lawyer. He focuses on high-profile, high-stakes matters involving complex and emerging issues. Described as an “A-team player,” “absolutely fantastic,” “an excellent lawyer with keen insight,” “strategic,” and a “formidable” advocate in Chambers USA, and named a “National Practice Area Star” and “Litigation Star” (2021–2024) in Benchmark Litigation, he defends companies and individuals before the SEC, the DOJ, FINRA, the CFTC, and state attorneys general. While Barry co-headed Sidley’s global Securities Enforcement and Regulatory practice, it was named Chambers USA “Firm of the Year” for Financial Services and Securities Regulation (2019 and 2016); US News – Best Lawyers® “Law Firm of the Year” for Litigation – Regulatory Enforcement (2021) and for Securities Regulation (2020 and 2017). Before Sidley, Barry held senior positions at the SEC, including Co-head of Enforcement and Associate Director for the SEC’s Northeast Regional Office.

Partner, Winston & Straw LLP

Amanda serves on the firm’s Executive Committee and is co-chair of the Compensation Committee. She has successfully represented consumer product companies, national retailers, technology companies and lending institutions in high-stakes disputes since 1996. Amanda is recognized for her work in commercial litigation by Chambers USA and The Legal 500 USA, and has been named by the Charlotte Business Journal as an Outstanding Woman in Business.

Amanda has successfully represented consumer product and technology companies, national retailers, and lending institutions in complex commercial litigation since 1996. She focuses her practice on consumer class actions, business to business contract and tort disputes, and other high-stakes litigation matters. She has a national practice with a particular emphasis on California and its unique legal landscape, including its consumer fraud statutes, arbitration procedures and enforcement issues, and commercial law.

With her extensive experience with consumer protection statutes, Amanda successfully defends clients in consumer class actions by obtaining dismissal orders and summary judgment, and negotiating settlements with no cash payments by the client. These cases include nationwide consumer class actions brought on behalf of millions of plaintiffs, as well as statewide cases alleging false advertising, unfair competition, warranty claims fraud, and violation of consumer privacy statutes.

Principal - [Josh Horowitz](https://sources.sifma.org/listing/josh-horowitz):

Principal, Capital Markets Advisory, PwC

Josh is a Principal in PwC’s Banking and Capital Markets Advisory Practice, with over 20 years of industry experience working with financial services companies on business and regulatory change.

Josh leverages his knowledge of financial products, business processes and controls, and change management to lead and advise Banking institutions on a number of key significant Regulatory change engagements including: Swap Dealer Registration and Swap Dealer Compliance Program design, Uncleared Margin for OTC Derivatives (CFTC), Securities Based-Swap Dealer Program Design, and Volcker Rule Implementation. Josh has led Swap Dealer programs at over a dozen institutions covering over two dozen swap dealing entities.

Josh holds a Bachelor’s degree in Finance from Yeshiva University and a Master’s degree in Business Administration from New York University.

Audit Partner, KPMG

Peter is an audit partner in KPMG’s New York office. He has over 30 years of experience, primarily working with global financial services companies. He serves as KPMG’s National Audit Industry Leader for the Banking and Capital Markets practice. Peter also served as a member of KPMG’s Board of Directors, where he sat on the Firm’s Audit, Finance and Operations Committee, Compensation and Pension Committee, Professional Practice Ethics and Compliance Committee and Partner and Employer of Choice Committee.

Peter joined KPMG in 1988 and was promoted to partner in 1999. He has extensive experience leading large, complex audits. He has significant experience working with, communicating to and reporting to executive management and audit committees on current business, accounting, auditing and industry issues.

Peter has spent time in five KPMG offices both domestically and internationally. He spent two years in our Frankfurt office where he served as an audit partner on a large global bank and spent three years in our London office as a partner serving audit clients listed in the United States. He has also spent time in our Stamford and Charlotte offices.

Partner, Murphy & McGonigle

Howard Kramer represents companies in securities regulatory law, with particular emphasis on broker-dealer, market structure and compliance matters. He also represents clients in regulatory investigations, inquiries and examinations.

Mr. Kramer’s practice focuses on trading rules, derivatives, alternative trading systems, and broker-dealer regulatory and compliance issues. His clients have included major securities firms, equity and options market-making desks, securities and derivatives markets, electronic and Internet-based trading systems and hedge funds. He also provides counsel on the implications of artificial intelligence, machine learning, and blockchain for securities trading.

Prior to entering private practice in 1998, Mr. Kramer served for 16 years in several positions with the SEC, including Senior Associate Director and Associate Director (1993-1998) of the Division of Market Regulation (now the Division of Trading and Markets), where he was responsible for oversight and regulation of the securities markets generally, including stock and options exchanges, Nasdaq, and debt markets, and the formulation and implementation of the SEC’s national market system and other market structure programs.

Sam Markey is Division Executive for Maxit, a BetaNXT business. Sam is responsible for driving a commercially focused product framework and continually enhancing Maxit’s go-to-market strategy. He'll drive innovation, oversee product roadmaps and strategic vision, and help articulate our value proposition and commercial model.

Most recently, Sam was a Principal in the Portfolio Services Team at Motive Partners, working with the investing, operating, and portfolio company management teams focusing on value creation planning, large-scale program delivery, and value creation execution. Prior to Motive, Sam worked for Accenture’s strategy and consulting practice, guiding strategic technology change, and supporting complex transformation programs in capital markets and banking.

Vice President, Client Services, Broadridge Financial Solutions

Chip is currently Vice President of Client Services for Broadridge Financial Solutions. He has 30 years experience in the securities industry and has held positions managing various client service and operational areas including: Corporate proxy tabulation, client service and operational support for Contest, Consent and ADR processing, global operations, corporate actions processing and Master Limited partnership reporting. He has served on the board of the Corporate Action Division of SIFMA since 1997 and has been active in the Stock Transfer Association and the Shareholder Services Association. Chip was previously with the Independent Election Corporation of America (IECA) as Vice President Client Services.

Partner, WilmerHale

Andre Owens’ practice focuses on securities trading and markets activities. He counsels broker-dealers, securities exchanges, investment advisers and other clients on a variety of regulatory issues under the rules of the SEC, FINRA and various securities exchanges, including Regulation NMS; Regulation ATS; short sale regulation; sales practice rules, automated trading and risk controls and order handling matters. Mr. Owens also provides advice with respect to acquisitions of securities broker-dealers and investment advisers.
- [Bidhu Rusia](https://sources.sifma.org/listing/bidhu-rusia):

Mr. Rusia heads commercial and product functions for corporate actions software offerings at S&P Global Market Intelligence. He is responsible for the management and strategy of corporate actions solutions, specializing in complex product transformations, process automation and standardization. He works closely with customers and market infrastructure providers to define product roadmaps and oversees delivery and adoption by a wide spectrum of client segments including both buy-side and sell-side firms.

Mr. Rusia has more than 19 years of product management, business process re-engineering, business analysis, solution design & delivery experience in the capital markets domain, specifically in the asset servicing space where he has worked with clients in APAC, Europe, and the US across capital market segments.

He joined S&P Global in 2016 and holds a Bachelor of Technology in Computer Science and Engineering.

Tax Partner, Mayer Brown

Jared Goldberger is a Tax partner in Mayer Brown’s New York office. His practice is focused on providing U.S. tax advice relating to information reporting and withholding to financial institutions. Specifically, Jared advises U.S. and non-U.S. banks, trust companies, asset managers and other financial institutions in all aspects relating to FATCA, the qualified intermediary (QI) regime, and Chapters 3 and 61 of the Internal Revenue Code. Jared also advises clients on the tax aspects of a wide variety of transactions, including financing transactions and capital markets.

Jared received his Bachelor’s degree from University of Michigan, JD from Brooklyn Law School, and LLM in Taxation from New York University School of Law.

Partner, Financial Services Risk Management, Ernst & Young, LLP

Jamila Abston Mayfield is a Partner in the EY Financial Services Business Consulting practice where she provides risk, compliance, and regulatory consulting services to key wealth and asset management, private equity, hedge fund, and banking and capital markets clients. She is also the EY Financial Inclusion Leader, and she and her team assist financial services firms in developing strategies, products, and services that create access, equity, and inclusion opportunities for underserved communities. Jamila rejoined EY from the U.S. Securities and Exchange Commission (SEC), where she served as the Assistant Regional Director for the Office of Compliance Inspections and Examinations. In this role, Jamila served as an expert advisor for the SEC Examinations program, specializing in compliance program effectiveness, risk analytics, enterprise risk management, and cybersecurity for the asset management industry. She led and participated in hundreds of SEC Examinations and Enforcement investigations of investment advisers, investment companies, broker-dealers, transfer agents, alternative funds, and other industry participants.

Prior to the SEC, Jamila was a Manager in the EY Fraud Investigations and Dispute Services practice where she led restatements, investigations, and litigation support matters for healthcare, manufacturing, government, and technology clients. Jamila is a Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), and Certified in Financial Forensics (CFF). She has a BA in Accounting from Florida A&M University, a MS in Accountancy from the University of Virginia, and an MBA in Asset Management from Yale University. She was recently appointed to the SEC Investor Advisory Committee – a group that advises the Commission on regulatory priorities, trading strategies, fee structures, the effectiveness of disclosure, and other initiatives to protect investor interests.

Jamila is on the leadership team of the EY Black Professional Network and the EY Anti-Racism Task Force focusing on the recruitment, retention, and advancement of minorities. She is a Lifetime Member of the National Association of Black Accountants (NABA) and an active member of the American Institute for Certified Public Accountants (AICPA) and the Association for Certified Fraud Examiners (ACFE). Jamila also serves on the Yale School of Management’s Council for Anti-Racism and Equity (CARE) and is on the Board of Directors of Sanctuary for Families, New York’s leading service provider for domestic violence survivors. Jamila has received numerous accolades, including the Crain’s Notable Women in Accounting and Consulting Award, the Yale Alumni Association Leadership Award, and the SEC Community Service Award, among others.

Partner, Latham & Watkins

Danielle Conley, a trusted adviser with deep experience in the public and private sector, represents clients in high-stakes, multifaceted legal challenges at the intersection of law, government policy, and business.

Ms. Conley helps companies, educational institutions, and other large organizations navigate challenging regulatory, enforcement, and internal matters that involve substantial reputational risk. She provides strategic counsel to clients across all stages of:

Ms. Conley has significant experience conducting sensitive internal investigations following reported allegations of sexual misconduct and race- and gender-based discrimination, and has led multiple internal reviews and risk assessments on issues pertaining to racial and gender equity.

Partner, KPMG

Ryan is a partner in KPMG’s New York Financial Services audit practice with 20 years of experience in accounting, financial reporting and auditing. During his career, Ryan has served a variety of clients in the banking and capital markets industry including large global corporate and investment banking institutions, introducing and clearing broker-dealers, futures commission merchants, as well as regional and community banks. During 2014 through 2017, Ryan completed a 3 year rotation at KPMG’s Department of Professional Practice where he dealt with various Capital Markets accounting and auditing matters. Ryan is a member of the AICPA Stockbrokerage and Investment Banking Expert Panel and is also a member of KPMG’s Broker Dealer Review Partner program.

Ryan received his MBA in Finance with an undergrad degree in Accounting and is a member of the AICPA. Ryan is a licensed CPA in the state of New York.

Data, Privacy & Cybersecurity Group Leader, Ropes & Gray

Edward R. McNicholas is co-leader of Ropes & Gray LLP’s Data, Privacy & Cybersecurity practice. His practice focuses on clients facing complex information technology, constitutional and privacy issues. Recognized by the National Law Journal as a “Cybersecurity & Data Privacy Trailblazer,” Ed has significant experience with litigation and counseling matters involving cybersecurity, privacy and data protection, online advertising, and artificial intelligence. He is the editor and co-author of the leading cybersecurity legal treatise, “Cybersecurity: A Practical Guide to the Law of Cyber Risk.” Chambers USA and Chambers Global have highly ranked Ed as Leading Lawyers for privacy for more than a decade. Mr. McNicholas previously served as an Associate White House Counsel. Mr. McNicholas received his J.D. from Harvard Law School, where he was an editor of the Harvard Law Review. He received his A.B. from Princeton University, and clerked for the Honorable Paul Niemeyer on the U.S. Court of Appeals for the Fourth Circuit.

Partner,, Sidley

HARDY CALLCOTT’s practice concentrates on enforcement defense and regulatory counseling concerning securities market and regulatory issues for broker-dealers, investment advisers, mutual funds and others in the financial services industry. He provides securities enforcement defense before the SEC, Department of Justice, FINRA and other SRO and state regulators for members of financial services industry, public companies and officers and directors. He also conducts internal investigations.

Hardy is a member of Sidley’s global Securities Enforcement and Regulatory practice, which received the 2019 Chambers USA Award for “Financial Services Regulation Firm of the Year” and 2020 Chambers USA Band 1 for Financial Services Regulation: Broker Dealer (Compliance & Enforcement). Sidley was also named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. Hardy was ranked nationally in Chambers USA for Securities Financial Services Regulation 2008–2021, including the highest category, Band 1, in both Broker Dealer (Compliance) in 2020-2023 and Broker Dealer (Enforcement) in 2020-2023. He was with Charles Schwab & Co. Inc., as senior vice president and general counsel. He served in the General Counsel’s Office of the SEC as assistant general counsel for Market Regulation (now Trading and Markets)

Chief Commercial Diversity Officer, Broadridge Financial Solutions, Inc.

Frieda Lewis is an accomplished financial services professional, with more than 30 years of experience helping coordinate significant global relationships, executing diversity strategies, and deepening client relationships through strategic thinking in the financial services industry.

Frieda joined Broadridge in 2008, where she served as the Managing Director of Global Relationship Management and was responsible for coordinating global relationships that cross multiple lines of business. In this position, she helped to deepen and extend client relationships by understanding their tactical needs.

In 2017, Frieda was appointed as the Chief Commercial Diversity Officer to enhance Broadridge’s record of diversity. She currently serves as a business catalyst, executing a diversity strategy that enables Broadridge to win in the global marketplace. She also launched the Women’s Leadership Forum at Broadridge.

Senior Manager in the Financial Services Advisory Practice, Ernst & Young LLP

Anuj Puri is a Senior Manager in the Financial Services Advisory practice of Ernst & Young LLP. He has 17+ years of consulting experience with financial institutions and information technology firms in the Capital Markets and Wealth & Asset Management domain. Over the past few years, he has been helping Capital Markets and Wealth & Asset Management (WAM) firms define their compliance and surveillance target operating model, 1LOD vs. 2 LOD roles and responsibilities for compliance program elements (including surveillance), and provided advisory services for e-comm, voice and trade surveillance. During his most recent engagement he has been helping a large asset manager with reviewing their existing e-comm capabilities and perform a vendor assessment for mobile capture technology to identify, capture and retain SMS, text and WhatsApp communications. This has been a focus area for large broker dealers and WAM firms given the recent fines and regulatory sweeps.

Partner, Mayer Brown LLP

Tim Bishop is a Chicago-based partner in Mayer Brown LLP’s Supreme Court and Appellate Pratice. A former law clerk to Justice William Brennan, he is co-author of the treatise Supreme Court Practice (11th ed. 2019). Tim has argued seven cases in the Supreme Court and has participated in many of the Court’s securities fraud and class certification cases.

Managing Director, UBS/Credit Suisse

Maura Miller is a Managing Director at UBS and Credit Suisse within Compliance based in New York. She is the Global Head of the Investment Bank Compliance Program for Credit Suisse, the Americas Head of Credit Suisse Asset Management Compliance and the Americas Head of UBS Non-Core and Legacy Division Compliance. In addition, she is the Chief Compliance Officer for Credit Suisse Securities (USA) LLC, the firm’s US broker-dealer.

Prior to her current roles, Maura was responsible for managing the Firm’s Equity and Equity Derivatives Sales and Trading Compliance program. Maura joined Credit Suisse in 2003 from Merrill Lynch where she was a member of the Equity Compliance Group. She started her career with the Trading and Market Making Surveillance group of the NASD (now known as FINRA).

Maura holds a Bachelor’s Degree in Economics from the University of Notre Dame.

Counsel, Mayer Brown LLP

Christopher B. Horn focuses his practice on structured finance transactions, with an emphasis on asset-backed securities offerings in the public and private markets. He has experience representing issuers, borrowers and commercial and investment banks in a variety of public and private asset-backed securities offerings, commercial paper conduit facilities and other forms of financing involving a wide variety of assets, including auto leases, auto loans, equipment leases and trade receivables. Chris also has experience representing trustees in connection with RMBS litigation and regulatory matters.

Chris frequently advises on the regulatory aspects of securitization and structured finance transactions, with a particular focus on the evolving impact of the Dodd-Frank Act. He has published numerous articles on structured finance topics and authored multiple comment letters on behalf of clients and industry trade groups relating to the proposed rules under the Dodd-Frank Act and Regulation AB. He is also an active member of the Securitization and Structured Finance Committee of the American Bar Association.

Senior Manager - Advisory, Deloitte

Cecilia is a Senior Manager in Deloitte & Touche LLP’s Risk & Financial Advisory practice. She has more than 13 years of professional experience in developing, implementing, auditing and validating quantitative models in the financial industry. Cecilia also assists clients with the design or enhancement of their procedures for model development, implementation, and validation. Cecilia also assists clients with the development of Artificial Intelligence (AI) Governance Frameworks to enable trustworthy AI use. She helps client define processes for identification, management and measurement of AI-specific risks.

Advisory Managing Director, C&O Financial Services, KPMG US

Turgay serves as a Managing Director in the KPMG Customer and Operations (C&O) Financial Services practice and brings over 25 years of experience in global financial services within investment banks and FinTech service providers.

He has led and implemented large-scale operations and technology transformation programs. In addition, he has led projects on LIBOR transition, resolution planning, KYC / AML, prime brokerage, operations outsourcing, along with middle and back-office operating and technology model transformation for global investment banks. Turgay is also a part of the KPMG Connected Operations and LIBOR reform campaigns.

Prior to KPMG, he led change management, equity, and operations technology teams at an investment bank and was a product manager for a leading post-trade processing system.

Partner, Stradley Ronon

Jamie M. Gershkow is a Partner at Stradley Ronon in New York. Jamie focuses her practice on advising investment companies, independent trustees and investment advisers on regulatory and compliance matters and securities laws. She frequently counsels on the formation, registration, and ongoing compliance of investment companies, including exchange-traded funds (ETFs) and money market funds. Jamie assists clients with money fund management, operations, and regulatory compliance, including analyzing recently proposed amendments to Rule 2a-7, developing and reviewing compliance procedures, conducting training sessions for money fund personnel, advising on day‐to‐day portfolio management compliance matters for money funds and reviewing money fund regulatory filings.

Jamie is a frequent speaker on money market funds and ETFs and has been quoted in industry publications, including Ignites and BoardIQ. Jamie was named a Rising Star by Fund Intelligence in 2020. Jamie serves as Co-Head of Events and Education for the New York Chapter of Women in ETFs, an organization seeking to develop and sponsor talent, honor the achievements of women and invest in the ETF community. Jamie also serves as Chair of Stradley’s Hiring Committee. Jamie graduated magna cum laude from Drexel University School of Law and magna cum laude from the University of Maryland.

Co-Chief Operating Officer, Head of Regulatory Affairs, Dash Regulatory Technologies

Venu Palaparthi is responsible for the management of DASH’s non-trading operations as well as regulatory affairs. In this role, he also leads DASH Regulatory Technologies. Prior to joining DASH, Venu was a Managing Director at Tagomi, a digital-asset broker that was acquired by Coinbase.

Between 2014 and 2017, Venu was a member of the management team at Virtu Financial. At Virtu, Venu was responsible for compliance, government, and regulatory Affairs, and oversaw the company’s market-making activities at various US exchanges and non-exchange venues. Between 2011 and 2014, Venu was Vice President at Nasdaq. In this role, Venu oversaw many of Nasdaq’s regulatory and post-execution initiatives and was CEO of Nasdaq’s routing brokers as well as eSpeed. Before joining Nasdaq, Venu was the CCO at Instinet.

Venu served on the SEC Equity Market Structure Advisory Committee’s subcommittee on Market Quality. Between 2016 and 2017, Venu served as an International Advisor to the Shanghai Gold Exchange. Venu graduated with dual degrees in Economics and Computer Science from Birla Institute of Technology and Science, Pilani. He obtained his MBA from the University of Texas in Arlington in 1994. Beginning in 2017, Venu has been a Distinguished Fellow at the Center for Financial Markets and Policy at Georgetown University.

Member, White Collar, Regulatory Defense & Investigations, Moore & Van Allen PLLC

Frank has extensive experience conducting internal investigations for clients in the United States and abroad pertaining to a wide range of issues. He strives to develop creative solutions and strategic approaches when conducting internal investigations, responding to civil investigative and regulatory demands, developing and implementing response strategies, and negotiating and advocating on behalf of clients with the Department of Justice, Commodity Futures Trading Commission, and various U.S. Attorney’s offices. Frank’s investigations practice includes defense of companies, responding to government agency and regulator inquiries relating to Foreign Corrupt Practices Act (FCPA) violations, False Claims Act (FCA) violations, trading and benchmark manipulation, public corruption, various financial crimes, mortgage fraud, sales practice violations, and inquiries as a result of the release of the Panama Papers.

In his white-collar practice, Frank defends individuals in state and federal criminal court trials and appeals, but also has extensive experience prosecuting cases while sworn in as a local district attorney.

As a part of his practice, Frank also consults on merger and acquisition matters regarding FCPA and CFIUS related concerns.

Frank also brings a breadth of international experience to his practice. While working at Bank of America Merrill Lynch’s Asia Pacific Regulatory Inquiries Group in Hong Kong, Frank managed investigations and responded to government and regulator inquiries in countries across Asia, including China, Taiwan, India, Japan, South Korea, the Philippines, Singapore, Indonesia, and Thailand. In his practice at MVA, Frank has advised clients on government investigations and regulatory defense matters in Canada, Singapore, Hong Kong, and Brazil, and is currently advising clients regarding ongoing allegations of public corruption in Brazil and allegations of market manipulation in South Africa.

Whether assisting with responding to grand jury subpoenas, DOJ Civil Investigative Demands, or other criminal and regulatory inquiries and requests, Frank provides an insightful, but always practical, approach to each of his client’s matters.

Frank’s clients range from individuals and local privately held companies to multi-national companies, including a NC-based commodities trading company, a NC-based steel recycling company, a national group purchasing organization, a wholesale medical services provider, a global electrical distributor, a national steel manufacturer, a national conglomerate of companies managing various industry portfolios, and Fortune 100 companies and financial institutions.

Principal, Chief Compliance Officer, Vanguard Marketing Corporation

Erica A. Green is a leader in Vanguard’s Office of General Counsel (OGC) with specific responsibility for the Compliance teams for Vanguard’s distribution businesses and self-clearing broker-dealer, Vanguard Marketing Corporation. She joined Vanguard in 2018. Prior to her current role, she led the Disclosure and Governance team within the OGC. She and her team were responsible for the regulatory disclosures for the U.S. Vanguard funds, for providing guidance to the Vanguard boards on regulatory governance and for advising the Investment Stewardship team on matters of proxy voting and corporate governance engagement.

Erica began her legal practice at WilmerHale LLP focusing on securities law regulatory matters. Following her time in private practice and prior to Vanguard, she spent time at a global financial services firm in New York, NY providing legal support to its agency trading and market making businesses in the Americas and was General Counsel and Corporate Secretary of a financial services technology and clearing brokerage firm in Northern Virginia.

Erica earned her B.B.A with an emphasis in finance from the Stephen M. Ross School of Business at the University of Michigan and her J.D. from the University of Michigan Law School.

Partner, Skadden, Arps, Slate, Meagher & Flom LLP

Anita Bandy is a partner in the SEC Enforcement and White Collar practice of Skadden, Arps, Slate, Meagher & Flom LLP. She advises corporations, financial services companies, boards and their board committees, as well as directors, officers and other executives, on matters involving the Securities and Exchange Commission (SEC) and other U.S. and international law enforcement agencies. Prior to joining Skadden, Ms. Bandy served for 17 years at the SEC’s Enforcement Division, where she supervised, investigated and brought actions covering the entire breadth of the SEC’s enforcement authority, including in the areas of public company financial reporting, disclosures issues impacting investment advisers and financial services firms, auditor independence, trading practices, registration of securities and emerging areas such as SPACs, ESG and cyber. Ms. Bandy is a graduate of the University of Michigan, and she received her J.D. from American University.

Partner, PwC

Charles is a partner at PwC in the Financial Services Advisory practice and focuses on financial and capital planning, automation, and balance sheet allocation. Charles uses advanced statistical techniques and application of automated processes to enhance client businesses processes and analytics.

Charles came to PwC from the Federal Reserve Board, where he evaluated the portfolios and risk management practices of the largest bank holding companies. At the Fed, he had a number of roles related to stress testing and capital planning, including evaluating the banks’ forecasting methodologies and developing Fed internal models.

His work focused on credit products, including working on both the wholesale credit model development and horizontal evaluation teams. In addition, Charles helped to design the FY Y-14Q/M data schedules for retail and wholesale credit products. He was also a contributor to several pieces supervisory guidance, including Capital Planning at Large Bank Holding Companies: Supervisory Expectations and Range of Current Practice (August 2013).

Partner and Co-chair of Securities Litigation and Enforcement Practice, Stradley Ronan

Jan M. Folena is a partner at Stradley Ronon, where she serves as co-chair of the firm’s securities litigation and enforcement practice group. She is a nationally recognized trial and appellate lawyer with more than 20 years of federal government enforcement, investigation and litigation experience. She advises and represents clients on a wide range of matters involving federal securities laws and associated rules and regulations, including routine examinations, internal investigations, and, when necessary, enforcement-related litigation.

Prior to joining Stradley Ronon, Jan served as supervisory assistant chief litigation counsel at the U.S. Securities and Exchange Commission, leading some of the industry’s most complex and high-profile cases in the Enforcement Division.

Jan received her J.D. from Syracuse University College of Law and her B.A., magna cum laude, from the University of Delaware.

SVP, Division Executive, Solution Delivery, Capital Market Solutions, FIS

Cheryl is responsible for professional services at FIS. Guiding this team through transformation and modernization of delivery, accelerating customers time to value.

Cheryl has over 25 years of industry experience, with a strong background in wealth and asset management, fund administration and asset servicing operations in Europe, North America, Asia and Africa. Cheryl joined FIS from EY, where she delivered global operating model solutions and large digital transformation programs.

Cheryl is also a founder and co-chair of the Women of Capital Markets (WOCM). WOCM is the leading ERG within Capital Markets, with over 800 members, it has put a spotlight on Inclusion & Diversity strategy across Capital Markets and has also contributed to change at the enterprise level.

Partner, Clifford Chance

Michelle Williams is a member of litigation, regulatory, and white-collar practice group. She represents a range of clients including multinational companies, financial institutions, and other financial service providers in criminal and regulatory enforcement proceedings relating to potential economic sanctions, export control, anti-corruption, and anti-money laundering. She supports clients on employment law matters both in advisory work on training and compliance (including with respect to whistleblowers), as well as employee conduct reviews.

Executive Director, Asset Services Business Manager, Depository Trust & Clearing Corporation (DTCC)

Ann Marie Bria is an Executive Director, Asset Services Business Management at The Depository Trust and Clearing Corporation (DTCC) with responsibility for the Corporate Actions, Underwriting and Issuer Services businesses. She is responsible for driving development of strategic priorities within those businesses, which includes DTCC’s electronic CD (eCDs) issuance, Automated Voluntary Reorg Instructions and ClaimConnect initiatives.

Prior to joining DTCC in 2008, Ann Marie was a Director at Merrill Lynch in Investment Banking and Global Markets focusing on subprime mortgage securitization surveillance. Ann Marie also served as Vice President of Asset and Mortgage Backed Securities Analytics in Institutional Trust Services at JPMorgan Chase.

Ann Marie currently represents DTCC on the Board of Trustees for CUSIP Global Services. She received her Bachelor’s degree in economics from Trinity College in Hartford Connecticut.

1. Lived in 7 countries and speak 3 languages
2. Start-up founder, multi-time public company exec, and leader of outstanding teams and talents
3. Patent holder that has designed and delivered 10+ category leading products
4. 20+ years of experience in products, marketing, sales, and business development
5. Companies include RealNetworks, Check Point, Neoteris, Websense, Nexgate, and Proofpoint
6. Direct sales and BD roles resulting in multi-million dollar revenue delivery
7. Avid swimming and water polo enthusiast with a passion for adventure

Principal, US Financial Services Advisory and Financial Services Global Regulatory Network Co-Lead, EY

Marc Saidenberg is a Principal in EY’s Financial Services Advisory practice and is the co-lead of EY’s Global Regulatory Network. He focuses on risk- and regulatory-driven transformational change facing global financial institutions. He has worked with clients globally to enhance capital management and stress testing, liquidity risk management, risk governance, model risk management and recovery and resolution planning capabilities. Marc is currently working with clients on initiatives to address emerging challenges related to digital business and risk transformation, privacy and operational resilience.

Marc has over 20 years of banking experience and extensive cross-jurisdictional regulatory and supervisory experience, including more than 15 years with the Federal Reserve Bank of New York where he was a senior vice president and director of supervisory policy. While at the Fed, Marc was a member of the committee that developed the supervisory strategies and standards and oversaw the assessments of the US GSIBs. He was also a member of the Fed’s Comprehensive Capital Analysis and Review (CCAR) and Comprehensive Liquidity Analysis and Review (CLAR) executive committees. In addition to his senior leadership roles in Supervision, Marc also represented the New York Fed on the Basel Committee on Banking Supervision and served as co-chair of the Committee’s Working Group on Liquidity during the development of the Basel III capital and liquidity standards.

Marc was also a Managing Director at Merrill Lynch, working in its Finance and Treasury functions. He received a Ph.D. in Economics from the University of California at Berkeley and a BA in Economics from Vassar College.

Partner, Morgan Lewis

Sean Graber advises companies in the securities industry on investment management matters. Investment advisers, mutual funds, closed-end funds, private investment companies, registered funds of hedge funds, and exchange-traded funds seek his advice on organizational issues, registration, and ongoing regulatory compliance matters. He also serves as counsel to the boards of directors of mutual funds, and he advises insurance companies on regulatory matters relating to variable insurance products.

Sean counsels clients on regulatory and transactional investment management matters. These include the development of new products and services, US federal and state registration and compliance issues, and US Securities and Exchange Commission (SEC) enforcement actions. He advises clients on mergers and acquisitions involving investment companies and investment advisers, and addresses interpretive and “no-action” letter requests, SEC exemptive orders, and related matters.

Litigation Partner, Debevoise & Plimpton LLP

Arian M. June is a Debevoise & Plimpton LLP litigation partner and a member of the firm’s White Collar & Regulatory Defense Group. Recognized by The Network Journal as one of 25 Influential Black Women in Business (2020) and named to the Benchmark Litigation 40 and Under Hotlist (2020), Arian’s practice focuses on government and internal investigations, securities enforcement defense, whistleblower response, sensitive investigations, crisis management and white collar criminal defense. She has represented financial institutions, publicly traded companies, investment advisers and senior executives in complex regulatory matters before the SEC, DOJ, FINRA and numerous state attorneys general and state securities regulators. Arian’s representations include matters involving allegations of securities fraud, insider trading, accounting and corporate disclosure issues, violations of the Bank Secrecy Act, cyber-intrusions and sales practices violations, including matters involving foreign exchange products and the distribution of life insurance products.

Arian also advises boards of corporations, educational institutions and other organizations in sensitive investigations, including board-directed independent inquiries of allegations involving sexual misconduct, racial intolerance and related matters. She lectures and writes frequently on government investigations, SEC enforcement issues and corporate whistleblowers.

Experienced financial services executive with strong experience in financial regulation, compliance and operations management. Most recently leading a team responsible for the protection and segregation of client assets and operating as CASS-expert for a major financial services organisation. Self-motivated, driven, focused, and detail-oriented.

Managing Director of Global Metaverse & Extended Reality (XR) Services, Sia Partners

With over 15 years of management consulting experience, Robert specializes in the strategy, development, and scaling of emerging technology in Augmented Reality (AR), Virtual Reality (VR), and The Metaverse. He oversees global delivery efforts of XR and Metaverse solutions with Sia Partners customers across 18 countries and 36 offices worldwide. As an early adopter and advocate of AR/VR solutions, he is singularly focused on evangelism and advocacy for this growing technological revolution. He is firmly committed to partnering with clients to learn, define strategy, and leverage the capabilities of The Metaverse for enterprise enablement.

Vice President, Business Development & Client Solutions, Wealth Management, Broadridge Financial Solutions

Ramprasad ‘RP’ Sandilya is Head of Client Solutions and Business Development for Broadridge’s Wealth Management business. RP leads go-to-market and partner development for our innovative wealth solutions. He collaborates with sales, marketing, product management, and strategy to drive sales and revenue growth, by helping clients transform their businesses using next generation products and services. With 25+ years of experience in financial services technology & operations, RP brings experience building comprehensive process automation solutions for capital markets and wealth clients.

General Counsel, Edward D. Jones & Co., L.P.

Edward Jones Principal Chris Lewis is general counsel, responsible for leading all associates who provide legal support to the firm and for Compliance and Government Relations.

He serves on the Edward Jones Executive Committee, which helps define the future of Edward Jones with the vision of improving the lives of clients, their families and their communities.

Chris joined Edward Jones in 2007 as a principal and deputy general counsel in the Legal division. He was named general counsel in 2015. A graduate of Columbia University School of Law as a Harlan Fiske Stone Scholar, Chris is a member of the Securities Industry and Financial Markets Association (SIFMA) General Counsel Committee.

Partner, Sidley Austin LLP

Kevin Campion is a partner in Sidley Austin’s Washington, D.C. office, advising a wide array of financial services firms including investment and commercial banks, broker-dealers and hedge funds — on a broad variety of regulatory, enforcement, compliance and transaction matters. He focuses his practice in particular on broker-dealer and market regulation matters, with emphasis upon regulations governing short sales (Regulation SHO), short interest reporting, Regulation M, LOPR reporting, beneficial ownership reporting, FINRA advertising rules, clearance and settlement, and broker-dealer registration and compliance issues. Mr. Campion has represented the Securities Industry Financial Markets Association (SIFMA) with respect to comment letters submitted to the SEC, and in obtaining a variety of no-action letters from the SEC Staff relating to Regulation SHO and Rule 10a-1, including working with the SIFMA Prime Brokerage Committee on the new Prime Broker Letter. Before Sidley, Kevin worked for over four years with the SEC’s Division of Market Regulation.

Senior Manager, EY

Matt is a New York-based Senior Manager in Ernst & Young’s Financial Services Consulting practice, specializing in Capital Markets and Post Trade Operations. He brings over 17 years of experience in trade operations management, regulatory reform, process re-engineering and process control design. Matt is the co-lead of EY’s Capital Markets Operations Transformation Service line and is leading the Accelerated Settlement / T+1 offering.

Prior to joining EY, Matt spent 7+ years in various middle office and back-office roles within global markets operations.

He has deep experience assisting clients in addressing business and operational implications of both industry / regulatory change and business process design.

Director, Investment Management Tax, Deloitte EMEA

Suzi Evans is a Director in the Deloitte EMEA Investment Management Tax & Reporting team. Currently on a two year assignment in Luxembourg, Suzi and her team support global investment managers on navigating the evolving tax landscape, primarily focused on the taxes a fund and other institutional investors suffer on the investments held. Suzi is well known in the industry for her expertise on transfer taxes such as UK, Irish, HK stamp taxes and the more recent French, Italian and Spanish financial transaction tax regimes. Her experiences helps asset servicers, depository’s, managers and investors understand the tax risks associated with in kind activity resulting from ETF creates/ redeems, fund mergers and rationalization programs and in kind subscriptions and redemptions. Wealth managers benefit from the services Suzi’s team provide by ensuring that internal and white labelled operational platforms contain required coding for operational compliance. Larger institutional investors including pension schemes and sovereign wealth funds are able to better manage their returns and protect investment value with greater awareness of these portfolio costs.

Suzi has a collaborative work style with both internal and external stakeholders, tax authorities included. Working closely with her colleagues she ensures that her clients are optimizing their withholding tax position and accruing accurate non-resident capital gains for compliant fund pricing. This investment tax management and reporting universe is becoming increasingly automated. Suzi has a passion for making maximum use of technology in her client work and was integral in the recent launch of the Deloitte global fund tax reporting suite, iPACS Fund Tax Reporting.

Senior Vice President, Global Sales Operations, FIS

Jack Baxter joined FIS in 2016 from Bloomberg, LP where he held the same position. Jack has more than twenty-five years of experience in sales, marketing, and strategy across multiple industries including financial services data & technology, healthcare, and human capital management.

Partner, Milbank LLP

George S. Canellos is a partner in the law firm of Milbank LLP and heads its litigation department. In 2014, Mr. Canellos rejoined Milbank, where he had been a litigation partner from 2003 to 2009. Until January 2014, Mr. Canellos served as Co-Director of the Securities and Exchange Commission’s Division of Enforcement. He earlier served as the Division’s Acting Director and Deputy Director. In these positions, Mr. Canellos was responsible for supervising the SEC’s nationwide enforcement efforts. From July 2009 until May 2012, Mr. Canellos was Director of the SEC’s New York Regional Office, which has responsibility for oversight of many of the leading broker-dealers, investment advisers, and other SEC-registered financial institutions. Mr. Canellos began his career as an associate at Wachtell, Lipton, Rosen & Katz. In 1994, he became an Assistant United States Attorney in the Southern District of New York. During almost nine years at the U.S. Attorney’s Office, Mr. Canellos held a number of positions, including Chief of the Major Crimes Unit, Senior Trial Counsel of the Securities and Commodities Fraud Unit, and Deputy Chief Appellate Attorney. Mr. Canellos is a graduate of Harvard College and Columbia University School of Law.

Partner, Mayer Brown

Tram Nguyen is the office practice leader in Washington DC for Mayer Brown’s Corporate & Securities practice. She advises private equity funds, credit funds, hedge funds, venture funds and other investment funds on all aspects of fund formation, fund structuring and capital raising. She has extensive experience representing asset managers and financial institutions on complex regulatory matters, including registration, examinations and reporting requirements. Additionally, Tram was the inaugural branch chief of the Private Funds Branch at the SEC Division of Investment Management in Washington DC, where she served from 2010 to 2013. At the SEC, she led the development and implementation of new rules under the Dodd-Frank and JOBS acts for private fund advisers.

Managing Director & General Manager, Wealth Management Services and Asset Services, DTCC

Ann Bergin is Managing Director and General Manager, Wealth Management Services and Asset Services, for The Depository Trust & Clearing Corporation (DTCC). She is responsible for a business portfolio that supports domestic and global mutual funds, insurance and alternative investment products, and further enabling client delivery synergies across Asset Services.

Ann joined DTCC’s National Securities Clearing Corporation (NSCC) subsidiary in 1997. Before joining DTCC, Ann was Senior Vice President at Bisys Fund Services, Inc.

She also spent four years with Concord Financial Group as Senior Vice President of Administration. Ann started her career with The Dreyfus Corporation. In 2007, Ann was honored with a Fund Operations Award for Leadership by SourceMedia for bringing efficiencies and scalability to the managed solutions market and was similarly honored in 2003 for leadership to the mutual funds industry.

Jim has dedicated his career to winning civil and criminal cases. He has prosecuted and defended dozens of appeals. Jim advocates for clients in regulatory and criminal investigations and cases conducted by the Department of Justice, the SEC, the IRS, the CFTC, and various state attorneys general among others. When an internal investigation is the best path forward, he brings all of his experience to the design and conduct of all aspects of the engagement.

Working with counsel in Europe, South America, and Asia he has represented clients engaged in internal investigations, regulatory and criminal investigations, as well as a range of civil cases and appeals. His international work has included Latin America, the U.K. and the European Union, as well as the Asia-Pacific region, including Hong Kong, Korea, Thailand, and Australia.

Regardless of the matter, Jim’s clients can expect careful planning, meticulous preparation, innovative analysis, transparent communication, and productive partnerships with advisors and co-counsel. Jim believes that there is no substitute for listening to his client, really listening.

Principal, Ernst & Young LLP

Mark is a Principal at Ernst & Young LLP in the Financial Services Consulting practice, with a focus on capital markets strategy and business transformation.

As part of the US firm’s Capital Markets Leadership Team, Mark leads our work across institutional digital assets, capital markets growth and innovation, and collateral management, which includes the U.S. Treasury Clearing Rule.

Mark is a chartered management accountant and a graduate of the University of Nottingham and has a bachelor’s degree in Finance, Accounting and Management.

Senior Manager, Deloitte Advisory, Deloitte

Mara Gauger is a New York-based senior manager with Deloitte & Touche LLP focused on the Regulatory and Capital Markets marketplace assisting clients on regulatory and operational risk topics, including securities operations, regulatory reporting, and risk management programs.

Mara has a comprehensive working knowledge of securities operations and regulatory reporting. She focuses on broker-dealer operational requirements, non-financial regulatory reporting, and risk management for her clients. At Deloitte, she focuses on helping firms to enhance their operations through assessment of the current-state and the design of technology solutions in data management, automation, and controls. Mara has assisted leading several industry transformation programs including the project office for CAT NMS, LLC. to operationalize the CAT NMS Plan to comply with SEC Rule 613 Consolidated Audit Trail and the T+1 Shortened Settlement Cycle.

Principal, Bressler, Amery & Ross

David Buffa is a principal of Bressler, Amery & Ross, located in the firm’s New York City office. Dave focuses his practice on defending financial firms and executives in regulatory investigations, internal investigations and civil litigation before FINRA arbitration and state and federal court. He also advises clients on fund formation, securities registration and firm and individual registration issues, and advises firms on developing compliance programs across multiple business lines.

Partner, Cahill Gordon & Reindel LLPAnirudh Bansal is partner at Cahill Gordon & Reindel LLP, where he represents financial institutions, public companies, boards, and officers and directors in criminal and regulatory investigations and civil securities litigation. Prior to joining Cahill, Anirudh served as a federal prosecutor in the U.S. Attorney’s Office for the Southern District of New York, where he headed the Complex Frauds and International Narcotics Trafficking Units, was a member of the Securities and Commodities Fraud Task Force, and conducted 18 criminal trials. Anirudh is recommended as a leading lawyer by Chambers USA and The Legal 500 for white collar criminal defense, and is recognized as a Future Star by Benchmark Litigation. Anirudh is a graduate of Princeton University and NYU Law School, where he was on the NYU Law Review, and following law school he served as a law clerk to the Hon. Alfred J. Lechner, Jr., U.S. District Judge for the District of New Jersey.

Vice President, Securities Services, Broadridge

John joined Broadridge in January 2021 and is responsible for leading the planning for the Securities Services business. Prior to joining Broadridge John spent 5 years at JP Morgan and 21 years at Citi where he had various leadership roles in Operations, including Head of CIB Asset Servicing and Head of Trading Servicing Operations.

John has been involved in industry thought leadership throughout his career; he has been Chair of the ISSA Corporate Actions Working Group and Chair of The Securities Institute Operations Committee. He has also been involved in numerous industry working groups.

Partner, EY

Victoria Migliaccio is a New York-based Partner in the Financial Services Office of Ernst & Young LLP. She has over 14 years in experience in providing assurance services to a variety of financial services clients, focusing mainly on banks and broker dealers. Victoria has several years of experience leading audits for large clearing and introducing broker dealers and banks. She has focused primarily on accounting, operations, financial and regulatory reporting, and compliance matters of broker-dealers and banks. Victoria has also provided advisory services to investment banks and broker-dealers at EY. Victoria was a key member in leading the firm’s initiative to create market leading guidance for changes to the SEC Broker Dealer Rules as well as assisted with the creation of new training materials for the updates in the SEC Broker Dealer Rules. Victoria also leads the annual EY clearing broker dealer roundtable. She is also the co-chair on EY’s LINC committee, which as a platform to build relationships with women executive. The initiative provides a focused, co-developed approach to developing peer-to-peer networks. Victoria is also a board member and audit committee chair of Third Street Music School Settlement.

Partner, Murphy & McGonigle, P.C.

Joseph Facciponti is a former federal prosecutor with in-house experience whose practice focuses on cybersecurity, data privacy, compliance counseling, and white collar matters. For nearly nine years, Mr. Facciponti was a prosecutor at the U.S. Attorney’s Office for the Southern District of New York, where he handled cases involving a wide-range of financial and computer crimes. In 2010, he received an FBI Director’s Award for outstanding cyber investigation, based on his work in investigating and disrupting a major international computer hacking ring that targeted financial institutions. After leaving the U.S. Attorney’s Office, Mr. Facciponti held a supervisory position in the legal department of HSBC, where he led global internal investigations and advised HSBC regarding its financial crime compliance programs.

Mr. Facciponti teaches a cyber and privacy law course at Cornell Law School and Cornell University’s Tech Campus on Roosevelt Island and is Chair of the Cybersecurity and Cybercrime Subcommittee of the New York City Bar Association’s Information Technology and Cyber Law Committee. He has been certified as an information privacy professional (CIPP/US) by the International Association of Privacy Professionals.

Mr. Facciponti graduated, magna cum laude, from Cornell Law School and obtained a B.A. in Philosophy from Yale University.

Partner, Paul, Weiss, Rifkind, Wharton & Garrison LLP

Loretta E. Lynch, the former United States Attorney General, is a partner in the Paul, Weiss Litigation Department. Ms. Lynch advises clients on government and internal investigations and on high-stakes litigation and regulatory matters.

Principal, Bressler Amery & Ross, P.C.

Sara Soto’s practice encompasses a broad range of business litigation and arbitration matters. She has represented brokerage firms, banks, corporations and individuals in arbitration and litigation involving customers, employees, other institutions and individuals.

Sara offers her clients decades of tangible experience representing broker-dealers in arbitrations brought by customers involving equities, fixed income, structured products, limited partnerships, options, managed accounts, margin and other financial products. She is also adept in navigating her clients through regulatory proceedings and internal investigations.

A tenacious litigator and problem solver, Sara is involved in state and federal court litigation and in arbitrations involving commercial and employment disputes, such as claims for injunctive relief and damages for violation of restrictive covenants, theft of trade secrets, wrongful/constructive termination, whistleblowing, raiding, breach of contract, fraud and tortious interference, among many other topics. Sara has also resolved literally hundreds of business disputes through negotiation and mediation, eliminating both the cost and risk of litigation. She is valued by her clients for her pragmatic approach toward business litigation.

Principal, Financial Services Advisory, PwC

Christopher is a Principal in PwC’s Banking and Capital Markets Advisory Practice. In addition to his responsibilities leading some of PwC’s relationship with some of their largest FS clients, Chris is one of the leaders of PwC’s Capital Markets Digital Consulting Practice. He is also leading PwC’s efforts related to industry-level broker dealer initiatives such as the Bulk Transfer Initiative, the Consolidated Audit Trail and Reg SCI and works closely with industry associations such as SIFMA and FIA.

Christopher has served numerous Fortune 100 clients including broker/dealers, investment banks, asset managers and exchanges in the capital markets arena. He has performed consulting services that range from strategy formulation and business process reengineering through large-scale systems integration. He specializes in engagements focused on transformational strategies including the implementation of regulatory driven business and technology solutions.

Prior to joining PwC, Christopher served as President and CEO of an online Futures Brokerage company, and as the CIO of a Futures Commission Merchant along with leadership roles in consulting at EY and BearingPoint.

Partner, Steptoe

Dave Stetson is a partner at Steptoe & Johnson LLP in New York. He advises clients on economic sanctions and related anti-money laundering (AML) and export control issues, providing compliance advice; assisting with regulatory inquiries and internal investigations; and representing clients in license applications, interpretive guidance requests, and delisting petitions, among other matters. Mr. Stetson previously spent more than eight years in legal and compliance roles at Goldman Sachs, including nearly five years as global co-head of sanctions compliance. Prior to joining Goldman Sachs, he was an attorney-advisor from 2008 to 2012 in the Office of the Chief Counsel at the U.S. Treasury Department’s Office of Foreign Assets Control (OFAC), where he handled a wide range of enforcement, licensing, sanctions targeting/listing, and legislative matters. Mr. Stetson graduated cum laude from Harvard Law School in 2003 and was a law clerk to then-Judge John G. Roberts, Jr. on the U.S. Court of Appeals for the District of Columbia Circuit.

Executive Vice President, Compliance, Global Relay

Chip has over 36 years of leadership experience in financial regulation, including 19+ years with the Financial Industry Regulatory Authority (FINRA), where he managed Member Relations & Education. Chip lends his regulatory expertise to help drive the strategic growth of Global Relay’s financial services solutions.

Managing Director, Bates Group

Ira D. Hammerman is a Bates Group Managing Director with almost 40 years’ experience in the financial services industry. Before joining Bates Group in 2023, Mr. Hammerman was Executive Vice President, General Counsel and Secretary of SIFMA, where he oversaw SIFMA’s legal advocacy efforts and outside counsel relationships since 2004. His tenure covered a wide range of strategic issues impacting the industry, from its response to the Credit Crisis of 2008 to the Dodd-Frank Act of 2010 and from SIFMA’s advocacy on SRO Reform to its pursuit of the best-interest standard of care for broker-dealers, the preservation of the commission brokerage model of financial advice for retail clients, and the industry response to the effects of the COVID-19 pandemic.
- [Emmet Bulman](https://sources.sifma.org/listing/emmet-bulman):

Director, Financial Services Tax, PwC

Emmet is a Director in PwC’s Financial Services Tax practice in London specialising in advising financial services institutions, in the face of ever increasing regulation and complexity, on how best to develop and maintain appropriate governance and risk management arrangements in respect of their tax affairs.

Emmet’s key areas of focus include Tax Strategy & Policy, Tax Control Frameworks, the new EU Mandatory Disclosure Regime (“EU MDR / DAC 6”), the UK Corporate Criminal Offence rules, HMRC’s regimes in respect of Business Risk Reviews, Senior Accounting Officer rules, and Code of Practice on Taxation for Banks, as well as SOX requirements in respect of the financial reporting of tax.

Emmet has over 25 years of financial services experience with broad commercial exposure gained across a range of tax, finance and risk management roles in both professional practice and large financial services organisations. Emmet has previously been the Head of Tax Governance, Risk & Control for a UK Headquartered Global Bank.

Co-President, Investor Communication Solutions, Broadridge Investor Communication Solutions

Mike was appointed Co-President of our Investor Communication Solutions business segment in September 2023. In addition to this joint leadership role, he directly oversees our Mutual Fund Regulatory, Retirement and Workplace, Corporate Issuer, and Data & Analytics businesses. Throughout his career at Broadridge, Mike has served in several leadership positions, including as the Head of Strategy and M&A, and Chief Transformation Officer. Before joining Broadridge, he was the Director of Investments for the Troubled Asset Relief Program at the U.S. Department of Treasury and held positions at Merrill Lynch and McKinsey & Company.

Partner, Morgan, Lewis & Bockius LLP

G. Jeffrey Boujoukos is the leader of our securities enforcement practice. The former regional director of the Philadelphia Regional Office of the US Securities and Exchange Commission (SEC), Jeff defends public companies, financial services clients, and their executives in SEC, self-regulatory organization (SRO), and state enforcement matters. Combining his government and private practice experience, Jeff advises clients in collaboration with Morgan Lewis’s securities, white collar defense, and investment management practices. He is admitted in Pennsylvania and Massachusetts only, and his practice is supervised by DC Bar members.

Partner,, Steptoe & Johnson LLP

Erica Gerson is a Partner at Steptoe & Johnson LLP (Steptoe), where she co-leads the firm’s Financial Services Investigations and Enforcement group. Erica joined Steptoe from the Financial Industry Regulatory Authority (FINRA), where she served as an Associate Director in the National Cause and Financial Crimes Detection Program within Member Supervision. Previously, Erica was a Senior Counsel in FINRA’s Enforcement Department.

At Steptoe, Erica defends public companies, financial institutions and individuals in FINRA and U.S. Securities and Exchange Commission examination and enforcement matters, and in commercial disputes before courts and arbitration panels. Erica also conducts internal investigations for financial services clients.

Erica has a J.D. from American University Washington College of Law and a B.A. from the University of Maryland College Park.

Partner,, Sidley Austin

Ranah Esmaili is a partner in Sidley Austin’s Securities Regulatory Enforcement Practice Group. Ranah joined Sidley from the SEC’s Division of Enforcement, where she served as Assistant Director of the Asset Management Unit. Based in the Washington, D.C. office, Ranah represents clients in regulatory and government investigations, and provides compliance advice and counseling. Ranah received her law degree from the University of California, Berkely School of law, and masters degree from the Johns Hopkins Paul H. Nitze School of Advanced International Studies.

Partner, Orrick, Herrington & Sutcliffe LLP

Michael Delikat, a partner in the New York office, was the previous Chair of Orrick’s Global Employment Law Practice for over twenty years, which has employment law teams in the European Union, Asia as well as the United States. He also is the founder of the firm’s Whistleblower Task Force. He previously served as the Managing Director of Orrick’s Litigation Division.

He currently has an active practice performing sensitive internal investigations and advising major corporations and Boards of Directors on ESG, and in particular, DEI and Human Capital Management initiatives and disclosures Mike is published and quoted frequently on a variety of employment law issues in major academic and business publications and has been a frequent speaker at SIFMA C&L conferences and other national and international programs. He is the outgoing management chair of the ABA International Employment Law Committee. He also is an Advisory Board Member of the Harvard Law School Program on Corporate Governance. About the HLS Forum on Corporate Governance (harvard.edu)

Director, PwC

Deanna Hohman is a Director in PwC’s Financial Services Risk Assurance practice. With more than fifteen years of experience in our external audit and IT audit practices, she has extensive experience with process improvement, assurance and compliance work over technology, financial, and regulatory areas.

Deanna currently serves as the lead Director on numerous external audits (SOX) and service organization audits (SOC 1, SOC 2) focused on the assessment of our clients’ information technology environments, business processes and regulatory compliance programs. Her project experience includes leading service delivery of attest reports, internal audit, and external audit.

Her experience is primarily with Financial Services clients. Experience includes planning and completing design and operating effectiveness (adhering to AS5) using and understanding of the COSO components, financial statement risks and assertions. Deanna’s ITGC work includes access to programs and data, program development, program change (application development and maintenance) and computer operations.

Partner, Morgan Lewis

Lindsay B. Jackson counsels broker-dealers, investment advisers, banks, insurance companies, institutional investors (including ERISA plan fiduciaries), and various intermediaries on the standards applicable to designing and providing advisory, brokerage, banking, custodial, and administrative products and service offerings. Lindsay has in-depth knowledge of the developing rules and market practices in the distribution of advice products, services, and offerings to retail investors, including, in particular, those investing through IRAs, SEPs, SIMPLES, 403(b) plans, and ERISA plans.

Chief Diversity Officer, Sidley Austin LLP

María D. Meléndez, Chief Diversity Officer, leads Sidley’s efforts to further advance and increase diversity and inclusion across the firm’s global offices and within the legal profession as a whole. Her role is committed to the principle that having lawyers of all backgrounds greatly enriches Sidley’s perspective of the legal landscape and enhances its ability to serve clients. It also furthers the firm’s ability to develop, support and encourage new generations of lawyers to carry on its commitment to excellence, integrity, diversity and inclusion, and collegiality. As Chief Diversity Officer, María works closely with firm management to administer and support the firm’s efforts to recruit, hire, develop and promote exceptionally talented lawyers around the globe.
- [Ken Bouyer](https://sources.sifma.org/listing/ken-bouyer):

Americas DEI Recruiting Leader, Ernst & Young

As EY Americas Diversity, Equity & Inclusion Recruiting Leader, Ken is responsible for developing and implementing the global EY organization’s recruiting strategy to build and attract diverse and inclusive talent pools for member firms in the Americas. Ken frequently serves as an EY industry group spokesperson on both diversity and recruiting trends at a range of events and with leading media outlets. Ken has served in a variety of roles since joining the Assurance practice of Ernst & Young LLP in 1990. Prior to his current role, Ken was a Leader in the firm’s Consulting Services practice, supporting various global internal audit clients.

Ken is a member of the Executive Leadership Council and serves on the Board of Trustees for his alma mater, Manhattan College. He also serves on North Carolina A&T’s Dean’s Advisory Council, Howard University’s Center for Accounting Education and Arizona State University’s Accounting Advisory Board. He serves on the Audit committee for the Charter School Growth Fund. He is a lifetime member and a current Corporate Advisory Board Member of both the National Association of Black Accountants (NABA) and the ALPFA (Association of Latino Professionals for America) organizations and was honored with a ALPFA Lifetime Achievement Award. Ken was awarded the 2022 AACSB Influential Leader Award.

Partner, Jones Day

Jay Tambe, who serves as leader of Jones Day’s Financial Markets Practice, advises financial institutions on litigations concerning complex financial products including derivatives, credit default swaps, collateralized debt and loan obligations (CDOs and CLOs). He has litigated significant claims involving derivatives and structured finance investments in the New York state and federal courts, including many precedent-setting CDO litigations. He also led the team that prevailed in the very first appeal before ISDA’s external review panel for CDS. For nearly 10 years Jay represented Lehman Bros. Holdings, Inc. and its affiliated debtors in more than 50 separate derivatives disputes, including several evidentiary hearings and trials. Jay also represents global financial institutions in the defense of antitrust class actions on products such as municipal bonds, corporate bonds, CDS, and interest rates. Jay routinely provides prelitigation advice and training on practices and procedures, documentation and risk mitigation.

Partner, Jones Day

Beth Heifetz heads Jones Day’s Issues & Appeals Practice. She litigates complex cases in federal and state appellate courts, including the U.S. Supreme Court, and trial courts across the country. She has successfully representing clients in significant constitutional, tax, securities, antitrust, insurance, and bankruptcy matters. In the U.S. Supreme Court Beth represented clients on issues including the First Amendment, federal constitutional challenges to state taxes, predatory behavior in the antitrust context, and state regulation of federally chartered banks. Significant recent experience includes representing the City of Detroit in its bankruptcy, representing holders of Puerto Rico issued bonds in takings claims and other litigation under PROMESA, and representing government contractors in False Claims Act cases.

Beth served as law clerk to Judge Abner Mikva of the U.S Court of Appeals for the DC Circuit and to Justice Harry A. Blackmun of the U.S. Supreme Court. She received her undergraduate degree from the University of Wisconsin and her law degree, cum laude, from the NYU School of Law. Beth previously co-chaired the Appellate Practice Committee and the Pro Bono Committee of the American Bar Association’s Litigation Section. By Presidential appointment, Beth served on the Council of the United States Holocaust Memorial Museum (2013-2016).

Partner, Debevoise & Plimpton LLP

ANDREW J. CERESNEY is a partner in the New York office of Debevoise and Co-Chair of the Litigation Department. Prior to rejoining Debevoise in 2017, he served as the Director of Enforcement at the SEC under Chair Mary Jo White. In that role, he oversaw approximately 1,400 SEC personnel, supervising law enforcement efforts in 12 offices throughout the country. As Director of Enforcement, he worked closely with the high-level leadership of other regulators including the Department of Justice, many U.S. Attorney’s offices, CFTC, New York Attorney General, New York Department of Financial Services, FINRA and CFPB. Prior to joining the SEC in 2013, Mr. Ceresney Co-Chaired the White Collar & Regulatory Defense Group at Debevoise. He played an integral role in negotiating the historic $25 billion national mortgage settlement between the federal government, 49 state attorneys general and some of the country’s largest banks. Prior to joining Debevoise in 2003, Mr. Ceresney served as a Deputy Chief Appellate Attorney in the U.S. Attorney’s Office for the Southern District of New York. During his tenure at the US Attorney’s Office, he was a member of the Securities and Commodities Fraud Task Force and the Major Crimes Unit. He received his J.D. in 1996, from Yale Law School. He obtained his B.A. summa cum laude Phi Beta Kappa, from Columbia University in 1993. Member of the Board of Advisors of the Yale Law School Center for the Study of Corporate Law.

Managing Director, Head of Talent Management and Diversity, Equity & Inclusion, DTCCKeisha Bell is Managing Director – Head of Talent Management and Diversity, Equity, and Inclusion (DEI) at DTCC. She is responsible for

acquiring and retaining best talent and developing DTCC’s next generation of leaders. Keisha believes in changing mindsets, forging

progressive practices and viewing each employee as an agent of change and positive outcomes. She partners with business leaders to

leverage employees to achieve strong business outcomes, focus on talent growth and mobility, and to ensure diversity, equity and

inclusion are fully integrated into the firm’s workplace practices. Additionally, Keisha leads Corporate Social Responsibility, where she

oversees DTCC’s ESG strategy and corporate giving priorities focused on STEM education and persistence, economic empowerment, and environmental sustainability.

Keisha has vast experience as a business and technology leader. Prior to this role, she was Managing Director of DTCC’s Risk Management Reporting, Governance, Analysis and Program Management group. She successfully led the firm’s Board and Management Risk Committees, regulatory, audit and compliance reporting, management control testing, and program management of the Financial and

Technology Risk initiatives. She also served on the Wealth Management Services team. Before DTCC, Keisha worked for Seligman Funds and Park Avenue Securities spanning broker/dealer operations, technology transformations, program management and business analysis. She was also a member of DTCC’s Global Diversity and Inclusion Council, a founding leader of the firm’s LGBTQA professional network and represented DTCC at The Alliance, an inaugural gathering of the world’s most influential LGBTQ leaders. She currently serves on the advisory council of The Alliance and on the Board of Directors of the New York City Anti-Violence Project. Until April 2021, Keisha served on the Board of Directors of FTX US Derivatives.

Keisha has over 20 years of experience in the financial services industry, including broker/dealer operations, technology transformations, program management and business analysis. She has been recognized for a number of awards, including the 2021 World Federation of Exchanges Women Leaders List and the 2020 OUTstanding LGBT+ Role Models – Top LGBT Executives. Keisha earned her B.S. in Organizational Behavior from New York University.

Strategic Expertise and Innovation: Empowering Your Financial Growth and Compliance

Operating at the forefront of the Investment & Securities Industry, this dynamic company specializes in delivering comprehensive strategic consulting and execution services tailored for wealth management and financial advisory firms. The firm’s commitment to empowering organizations shines through expert guidance and innovative technological solutions. With a deep understanding of the complexities faced by players in this industry, the company’s consultants bring invaluable insights, optimizing business operations for long-term growth and ensuring adherence to evolving regulatory standards. Whether collaborating with established enterprises or emerging industry players, the organization provides the support needed to help firms meet their strategic goals.

This company's distinctive approach to consultancy is driven by a team of seasoned professionals who have shaped the wealth management landscape with their extensive real-world experience. They offer unparalleled expertise in key areas such as compliance, risk management, strategic planning, and mergers and acquisitions. The firm’s state-of-the-art platform integrates various compliance functions into one cohesive system, revolutionizing how clients tackle regulatory challenges. With their unique blend of industry experience and innovative solutions, the firm partners with clients to transform challenges into opportunities, solidifying its position as a pivotal ally in navigating the ever-changing financial landscape.

Robert founded Market Data Company in 2012 as a global boutique consultancy providing financial firms with the unique capabilities and expertise required to support investment professionals. MDC was acquired by Sia Partners in 2021.

MDC’s approach has pioneered a better way for investment professionals to access highly specific product and business knowledge, by connecting clients with industry expert practitioners who possess valuable frontline data product knowledge and expertise.

Through the firm’s on-demand management software tools, Big Bloom & RADR, and benchmarking services, Robert has helped clients access highly valuable content to make effective decisions when acquiring 3rd Party market data sets. These tools accelerate the business performance while uncovering inefficiencies, improving how workflows and disciplines are managed within clients’ operating models. The firm is client-centric with the objective of channeling new innovative ideas, providing thought leadership, and optimizing data consumption.

Partner,, WilmerHale LLP

Jason Chipman is widely recognized as a leader in handling complex regulatory matters associated data security, the Committee on Foreign Investment in the United States (CFIUS), and related export controls. Mr. Chipman has advised companies in nearly every sector of the economy on data security best practices and incident response. He is frequently asked to assist with corporate due diligence for transactions involving complex data security and privacy issues. Mr. Chipman currently serves as a non-resident fellow at the National Security Institute, and he is the editor of Cybersecurity, a global cybersecurity guide, and he regularly speaks to groups about cyber preparedness and related issues. He joined WilmerHale in 2012 after serving as Senior Counsel to the Deputy Attorney General at the US Department of Justice (DOJ), and after having previously served as Counsel for National Security Law and Policy in the Department’s National Security Division.

Managing Director, Global Head of Strategy & Innovation, DTCC

Jennifer Peve is Managing Director, Global Head of Strategy and Innovation at DTCC. In this role, Jennifer has overarching responsibility for the firm’s global corporate strategy, digital product development and strategic partnerships and alliances, working across the business, and with clients and third-party providers, to identify opportunities for new product development as well as potential acquisitions, partnerships and mergers to broaden DTCC’s capabilities. She is also responsible for defining the firm’s strategy for new and emerging technology innovation, leading efforts related to the exploration and experimentation of fintech and working with her colleagues and the industry to advance dialogue on key topics and develop thought leadership. Jennifer is also a member of the firm’s Management Committee.

Jennifer joined DTCC in 2015. Prior to that, she worked at CME Group where she served as Executive Director of OTC Product Management with responsibility for CME’s cleared OTC credit default swaps (CDS) business, including growth strategy, business development, and go-to-market activities.

Jennifer has over 25 years of financial markets expertise, including consulting and practical experience as well as the design, development and deployment of business strategies in a dynamic environment. She has extensive knowledge across the entire product life cycle, including OTC, FX and FX Options, OTC Metals, Stock Lending, OTC Credit Default Swaps, OTC Interest Rate Swaps and Swaptions, OTC Total Return Swaps, F&O, Energy and Equities.

Partner, Mayer Brown

Anna Pinedo represents issuers, investment banks and other financial intermediaries as well as investors in financing transactions, including public offerings and private placements of equity, equity-linked and debt securities. She also advises on structured products and derivatives matters.
- [Cornelia Dagdag](https://sources.sifma.org/listing/cornelia-dagdag):

Managing Director, APAC Marketing & Communications and APAC Regional Manager, DTCC

Cornelia Dagdag is Managing Director for APAC Marketing & Communications and Regional Administrative Manager for Asia Pacific at DTCC. Based in the Philippines, Nellie is responsible for ensuring a fulsome approach to engaging clients in Asia Pacific by delivering integrated marketing, communications and client engagement programs in support of Asia Pacific sales, revenue targets and business objectives. Nellie also spearheads establishing a strong industry presence and company reputation in the region through client events and partnerships with key infrastructure providers and industry association.

Apart from her Marketing & Communications responsibilities, Nellie provides senior leadership guidance and mentoring to DTCC’s business operations in Asia Pacific, driving strategic initiatives to accelerate the growth of DTCC’s community of broker/dealers, custodian banks and asset managers operating in the region. She also provides senior leadership to DTCC Manila, the firm’s key operational center in APAC.

Nellie is also a Philippine representative/member of the ASEAN+3 Bond Market Forum (ABMF) and was also a member of the ASEAN+3 Group of Experts (GOE), two regional groups tasked by member countries with identifying barriers to liquidity in fixed income trading and settlement in ASEAN+3. ASEAN+3 is an aggrupation of the 10 ASEAN member-countries plus Japan, Korea and China.

Partner, Covington & Burling LLP

Jeremy Newell represents a wide range of U.S. and foreign banks and other financial institutions on regulatory and public policy matters. He advises on all aspects of the regulatory framework for foreign and domestic financial institutions, including control of supervised banks, structuring of new products and investments, regulatory compliance matters, and mergers, acquisitions, and other strategic transactions. His practice also focuses on assisting financial institutions on compliance with international capital and liquidity standards and other strategic regulatory policy matters.

Prior to joining Covington, Mr. Newell served as Executive Vice President, General Counsel & Chief Operating Officer at the Bank Policy Institute (BPI), and held similar roles at its predecessor organization, The Clearing House Association (TCH), where he oversaw regulatory affairs, strategy, and advocacy. He also previously served as counsel in the Legal Division and then regulatory policy advisor in the Banking Supervision & Regulation Division to the Board of Governors of the Federal Reserve System, where he developed and implemented financial regulatory policy with a focus on issues affecting large complex financial institutions, including implementation of significant aspects of the Dodd-Frank Act and Basel III, negotiation of international standards for large banks, and other prudential regulatory policy issues. He also advised clients in private practice and as in-house counsel to two prominent financial institutions, one based in the United States and one based in the European Union, and is a frequent speaker, writer, and teacher on U.S. bank regulation and international regulatory policy for financial institutions.

Mr. Newell received his J.D. from Yale Law School and received his undergraduate degree from Union College.

Mike is President of Wealth Management at Broadridge, with leadership responsibility for the Broadridge Wealth Platform; the next-generation industry-level open platform that uniquely address Wealth Management firms’ need to transform their technology and business models. Prior to joining Broadridge, he was Senior Vice President of Operations at Charles Schwab.

Partner, Sidley Austin LLP

SUSAN MERRILL is a partner in Sidley’s New York office. Susan assists broker-dealers, investment advisers, financial institutions, exchanges and Fortune 500 companies across the U.S. in investigations before the SEC, CFTC, FINRA and state securities regulators. She also conducts internal investigations and advises clients on regulatory compliance matters. Susan is the former head of enforcement at FINRA, where she oversaw the establishment and development of its enforcement program. Susan has earned accolades from leading publications, including The Best Lawyers in America’s Securities Lawyer of the year (2020), Law360’s Most Influential Women in Securities Law, The Best Lawyers in America, The Legal 500 US and Chambers USA. Susan received her B.A., cum laude, from the University of Maryland, and her J.D., summa cum laude, from Brooklyn Law School.

Managing Director, Protiviti

Shelley Metz-Galloway is a Managing Director in Protiviti’s Metro D.C. Office and has more than 25 years in the financial services industry. Shelley offers expertise in business and regulatory performance and risk analytics, strategic planning, project management, process reengineering, and the development and execution of strategies to address critical business needs.

Shelley has served as the Regulatory Compliance and Fair Lending Practice lead of a nationally recognized consulting firm, the technology development lead of a TILA RESPA Integrated Disclosure Rule software application and Vice President/Enterprise lead for HMDA, CRA and GSE relations of a top 10 financial institution.

Shelley specializes in advising clients on all aspects of consumer regulatory compliance, including TILA-RESPA Integrated Disclosures (TRID) implementation and compliance testing; fair lending analytics; the Community Reinvestment Act (CRA); the Consumer Financial Protection Bureau (CFPB)’s Mortgage Rules; and Unfair, Deceptive, or Abusive Acts or Practices (UDAAP).

Managing Director, PwC

Jessica is a Managing Director at PwC in the Cyber, Risk and Regulation practice group. Jessica manages client engagements centered around trade surveillance, market manipulation, risk assessments, fraud investigation, and other CEA regulatory compliance matters.

Prior to joining PwC, she worked in conjunction with numerous government agencies and regulators to provide detailed analyses of key information in support of investigations and litigations, these agencies included: the FBI, DOJ, IRS, CFTC, NFA, FCA, and other foreign regulators. Jessica has also managed audits of NFA member firms, prepared audit reports, analyzed financial statements to ensure integrity, and conducted investigations to discover fraud and rule violations.

Jessica received a Bachelor of Business Administration from Western Michigan University and Master of Engineering, Systems Engineering from the University of Virginia.

Managing Director, Federal Affairs, PwC

Michael E. O’Brien is a Managing Director in the Office of Government, Regulatory Affairs & Public Policy at PricewaterhouseCoopers. In his current role, Michael represents the firm and its interests before Congress, the Executive Branch, and Federal regulatory agencies. He has represented the firm on matters including the implementation of Sarbanes-Oxley and Dodd-Frank, state and federal taxation, International Financial Reporting Standards, litigation reform, and the competitiveness of the U.S. capital markets. He coordinates with firm leadership to develop positions on important public policy issues and helps manage the political risk strategy for the Firm. Michael researches and develops periodic political analyses for firm distribution and regularly provides political update presentations to firm leadership, sectors and markets, engagement teams and external audiences.

Prior to joining PwC in 2005, Michael served as a Legislative Specialist in the Office of Legislative Affairs at the Securities and Exchange Commission under Chairman William Donaldson. Michael served as Senior Advisor to Assistant Secretary for Financial Institutions Sheila Bair at the Treasury Department prior to joining the SEC. He began his career in the Office of U.S. Senator Daniel R. Coats of Indiana, serving as a Legislative Assistant and Senior Advisor for five years.

A native New Yorker, Michael received his BA from Georgetown University in 1994 and his MBA in Finance and Public Policy from George Washington University in 2002. He lives in Chevy Chase, Maryland with his three daughters.

Partner, PwC

Greta is a Partner with PwC’s Customer Transformation practice focused on Customer Data and Analytics. She is a proven insight and analytics leader with 25+ years of experience helping top tier financial services institutions leverage customer, CX and operational data to drive customer growth and delight.

Greta earned her master of arts in international economics and finance from Brandeis University and a bachelor of arts in history and economics, magna cum laude and Phi Beta Kappa, from Cornell College.

Executive Vice President and Chief Operating Officer, Options Clearing Corporation

Scot Warren is Executive Vice President and Chief Operating Officer of OCC, the world’s largest equity derivatives clearing organization.

As COO, Mr. Warren has oversight responsibilities for OCC’s operations, project management, business process optimization functions, finance, business development, and human resources. He was previously Chief Administrative Officer, a position he assumed in 2016 after joining OCC in 2015 as Executive Vice President of Business and Product Development.

Before joining OCC, Mr. Warren served as Senior Managing Director – Equity Products and Index Services at CME Group. In that role, he managed CME’s equity index futures business product line and also led CME’s entry into index services via the acquisition of Dow Jones Indices and the subsequent formation of the S&P Dow Jones joint venture with McGraw-Hill Financial. Previously, he was Vice President, Securities Division at Goldman Sachs, where he served as Chief Financial Officer for America’s Trading, and prior to that, he served as President of Hull Transaction Services. Mr. Warren also held senior positions at Chicago Corporation/ABN AMRO and Arthur Anderson.

Partner, Cleary Gottlieb Steen & Hamilton LLP

Victor L. Hou’s practice focuses on litigation, including government enforcement work, white-collar
- [Sharon A. O’Shaughnessy](https://sources.sifma.org/listing/sharon-a-oshaughnessy):

Partner, Davis Wright Tremaine LLP

Sharon defends financial services firms and their employees in regulatory and government investigations and enforcement proceedings by the SEC, FINRA, and various state regulators. She advises on compliance with regulatory requirements and on cybersecurity and data privacy issues, and performs due diligence of exchange-traded funds and cryptocurrency exchange assets. Sharon has represented companies and individuals accused of business crimes, public corruption, securities law violations, and fraudulent practices by the Department of Justice, State Attorneys General, District Attorneys’ Offices, and the SEC. She has also represented financial services firms and their employees in federal and state court matters, as well as FINRA arbitrations, relating to commercial and employment issues.

Sharon is actively committed to diversity, equity, and inclusion, as well as pro bono service. She regularly speaks on the advancement of historically underrepresented lawyers in the financial services community, and she participated in the 2021 Leadership Council on Legal Diversity Fellows Program, which recognizes diverse attorneys who have distinguished themselves as leaders in the legal industry.

Sharon was a Partner, as well as the Chief Diversity, Equity and Inclusion Officer and Pro Bono Manager at McGonigle, P.C., before the firm combined with Davis Wright Tremaine.

Partner,, Allen & Overy

Claire Rajan is a partner in Allen & Overy’s Litigation group and leads A&O’s Political Law practice. Claire focuses on anti-corruption issues, particularly political law regulation, which broadly refers to the laws that regulate efforts to influence government decision-making, and to prevent or detect corruption or its appearance. Claire advises multinational companies and financial institutions on laws related to campaign finance, lobbying, procurement, “pay-to-play”, government ethics, gifts to public officials, conflicts of interest, placement agents, and foreign influence and compliance. Claire’s experience also includes cross-border litigation, anti-corruption and FCPA investigations, and building, maintaining, and testing compliance programs with respect to political law risk and anti-corruption risk.

Claire’s political law expertise is grounded in her seven years at the Federal Election Commission, conducting investigations and federal appellate and U.S. Supreme Court litigation on constitutional campaign finance issues. Claire is a graduate of UCLA and American University Washington College of Law.

Principal, Ernst & Young

Rob Mara is a New York-based Principal in Ernst & Young’s Consulting practice who leads the Risk & Regulatory Compliance Technology and Operations practice. He has over 20 years of experience in the industry serving multiple capital markets, retail, asset management, and banking clients in the areas of Sanctions, AML, brokerage compliance, enterprise compliance, reporting, and fraud management as well as multiple engagements with self-regulatory organizations and regulators.Rob has led assessments and transformation projects across multiple aspects of regulatory compliance programs for multiple large, global, regional, and specialty banks and other non-bank financial institutions in response to regulatory mandates, annual assessments, and program improvement initiatives. These have included institutions regulated by a variety of US and foreign regulators including the OCC, FRB, FDIC, FINRA, SEC, CFTC, HKMA, MAS, IIROC, FCA, AUSTRAC, OSFI and multiple other agencies.

Rob’s more recent experience includes evaluating and mitigating the impact of new technologies and products in the compliance & risk space.

Managing Director, Protiviti

Keith Zielenski is a managing director with Protiviti and leader of its Security and Privacy practice for the financial services industry. Based in New York, he has more than 20 years of experience in recommending, developing and implementing comprehensive cybersecurity programs for global clients.

Before joining Protiviti, Zielenski was a managing director for Application Security and Cyber Risk Services at a Big Four accounting firm, where he led its Secure Software Enablement practice. Earlier in his career, he served in several other leadership roles, including Vice President of Professional Services and Senior Director of Customer Engagement. Since 2016, Zielenski has also held the position of Adjunct Professor of Cybersecurity at Fordham University.

Zielenski holds a master’s degree in engineering management and a graduate certificate in information security management from George Washington University. He earned a bachelor’s degree in geology from George Mason University and was a Fulbright Scholar in information security at the University of Göttingen in Germany. Keith is a Certified Information Security Auditor and served as chairman of the board of the Fulbright Academy of Science and Technology from 2009-2011.

Co-head of Financial Regulatory Advice & Response, Moore & Van Allen PLLC

Ed is the former Global General Counsel of Bank of America Corporation. Having also headed or served as a senior executive with Bank of America's compliance, technology, human resources, and operations functions, Ed’s broad experience includes all aspects of investigations, litigation, regulatory compliance, governance, cybersecurity, compensation, and risk management. His regulatory compliance practice includes working with clients with respect to BSA/AML, anti-bribery/anti-corruption, resolution planning, stress testing, and responding to regulatory inquiries.

Managing significant and complex bank issues, Ed’s experience ranges from supervisory issues to consent orders. He also understands bank operations, including emerging technologies such as artificial intelligence, on which he has addressed at international and national industry conferences. As the chair of the Clearing House Association, the industry association of the largest banks, Ed supported and approved the creation of the Real Time Payments system.

Ed has represented financial institutions before the U.S. Congress and the U.K. financial regulatory authorities, global agencies and courts, as well as the Federal Reserve, the Department of Justice, the Securities and Exchange Commission, the Office of the Comptroller of the Currency, the Consumer Financial Protection Bureau, the Federal Deposit Insurance Corporation, the Equal Employment Opportunity Commission, and multiple state attorneys general.

Ed is recognized for his legal and public service, including his service on the Thomson Reuters Legal Executive Advisory Board, Leadership Council on Legal Diversity, Charlotte Center for Legal Advocacy Center, Board Chair of the United Way of Central Carolinas, and President of Council for Children’s Rights Board. Ed is a Life Fellow of the American Bar Foundation and also serves on the U.S. Global Leadership Coalition’s North Carolina Advisory Committee, and has served on the Best Lawyers’ Board of Advisors. He regularly speaks and publishes on bank regulatory issues, cybersecurity, and legal risk management. He is a co-author of the Regulatory Investigative Chapter in the treatise, Successful Partnering Between Inside and Outside Counsel, published by Thomson Reuters and the Association of Corporate Counsel.

Senior Manager - Risk, Regulatory, & Compliance, Sia Partners

Kerry Gutknecht is a Senior Manager with Sia Partners and is a compliance attorney providing advisory and consulting services on governance and risk program management. Kerry served for several years in the General Counsel’s office of the White House Office of Management and Budget (OMB) during the Obama, Trump, and Biden Administrations, where he advised clients including the Office of Information and Regulatory Affairs and the U.S. Digital Service on regulatory procedural compliance, procurement policy, information security and controls, and litigation discovery privileges. Kerry has led the revision of regulations on privacy and information access and was a contributor to the last four editions of the annual Budget of the United States. Prior to joining OMB, Kerry was a Consultant for Deloitte Consulting providing compliance assessment and advisory services to technology and telecommunications industry and government clients.

Kerry graduated from The Evergreen State College in Olympia, Washington, where he majored in Economics and Political Science and in 2014 received his J.D. from The Catholic University of America Columbus School of Law in Washington, DC, where he was Managing Editor of the Journal of Law and Technology. He clerked for the FCC’s Administrative Law Judge, the EPA’s Office of Enforcement, and served as a Legal Fellow to the House Energy and Commerce Committee.

Audit & Assurance Partner & East Region Diversity, Equity & Inclusion Leader, Deloitte & Touche

Reese Blair is an audit partner in Deloitte’s Investment Management Services group who has supervised, managed, and directed audits and other attestation services for a wide variety of clients in the financial services industry. He brings more than twenty years of experience focused on the audits of closed and open-end mutual funds, ETFs, broker-dealers, investment advisers, as well as alternative investment funds, including fund-of-funds, hedge funds and private equity funds, where he specializes in valuation, derivatives, and internal controls testing.

He facilitates several industry specific trainings each year for both clients as well as employees of the firm. His areas of specialization are in staff development, resolving legal and regulatory compliance issues, data transfer and security, and overall audit engagement workflow management. He is the Diversity, Equity & Inclusion Leader within Deloitte’s Eastern region (spanning Maine to Florida and including Puerto Rico) where he focuses on promoting an inclusive culture in which firm employees and external stakeholders collaborate on professional development, recruiting and community engagement initiatives. Reese is also the partner champion for Deloitte Greater Philadelphia’s focus on education, specifically influencing college and career success. He has been a mentor to many young people, including through the firm’s signature Deloitte Academy program.

Reese’s loyalty to his work extends beyond the office into the community. He leads several community service projects throughout the year, always focusing on the importance of giving back. He also aligns these efforts with Deloitte’s skills-based volunteering approach, leveraging his business knowledge to strengthen the infrastructure of the nonprofits with which he works. He currently serves as the Co-Chair of the Audit Committee for the National Association of Securities Professionals and also serves on the board of the PICPA Foundation.

Partner, Sullivan & Cromwell LLP

Sarah Payne is managing partner of Sullivan & Cromwell’s Palo Alto office and is co-head of the Capital Markets Group. Sarah has a broad-based corporate practice advising clients on a wide range of transactions, focusing on capital markets, M&A and venture capital and other private investments. Regularly recognized by a number of leading legal publications, Sarah has been ranked by Chambers USA in Capital Markets: Debt & Equity: California and in Capital Markets: Debt & Equity: Western U.S.; named to the Daily Journal’s “Top Women Lawyers,” a list of the most powerful lawyers in California; and recognized for Capital Markets, esp. Technology by Lawdragon 500 Leading Dealmakers. Sarah is a frequent speaker, lecturer and author, particularly in the areas of mergers and acquisitions, corporate governance and securities law. Sarah received her B.A. from Yale University and her J.D. from UC Berkeley School of Law.

Partner, WilmerHale

Stephanie Avakian is a partner at WilmerHale and chair of the firm’s Securities and Financial Services Department. As the former Director of the US Securities and Exchange Commission’s Division of Enforcement, Ms. Avakian is well positioned to help clients address the enforcement, governance and compliance issues presented by today’s markets. With decades of experience in government and private practice, she leads the firm’s Securities and Financial Services Department in counseling and defending public companies, investment banks, asset management firms, accounting firms, boards of directors and individual executives through the challenges of government investigations.

Senior Manager, Deloitte

Josh is a Senior Manager in Deloitte’s financial services practice with over fourteen years of experience and specializes in advising broker-dealers and registered investment advisors on regulatory and business operations topics. He has advised many of the US and Canada’s leading financial institutions on the transformation of their oversight, supervision and surveillance functions with the objective of increasing efficiency and effectiveness through more holistic approaches using enhanced analytics and technology capabilities.

Partner, Cadwalader Wickersham & Taft LLP

Jodi is the chair of the white collar defense and investigations group at Cadwalader, where she practices in the DC office. She was a federal prosecutor in the EDNY and the Department of Justice for 15 years and served as the chief of staff of the U.S. Drug Enforcement Administration. Her practice consists of representing clients across a host of industries in a wide range of matters involving allegations of criminal, civil and ethical wrongdoing, but she focuses much of her time on representing financial instiutions on Bank Secrecy Act, Sanctions and FCPA compliance and enforcement matters.

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