Karen Wuertz | AMCC Chair and Senior Vice President, Strategic Planning and Development, National Futures Association (NFA), USA
As NFA's Senior Vice President of Strategic Planning and Development, Ms. Wuertz is responsible for NFA's international activities, Member educational initiatives, investor education, corporate communications, media, and legislative issues. Ms. Wuertz joined NFA as it was being created. Throughout her NFA career, Ms. Wuertz has had extensive experience in the areas of rule-making, examinations, investigations, system development and enforcement.
Ms. Wuertz also had the opportunity to step aside from her derivatives regulatory career to lead the development and construction of a 33 story office tower in Chicago. This experience prepared Ms. Wuertz to tackle the unexpected, to negotiate and build consensus among many entities with various motives, build extensive networks, and manage budgets and spending of hundreds of millions. Ms. Wuertz also spent part of her career at the Chicago Stock Exchange overseeing its financial operations.
Ms. Wuertz is currently Chair of the Affiliate Members Consultative Committee of the International Organization of Securities Commissions (IOSCO). She co-chaired an IOSCO subcommittee to develop and publish a formal paper entitled “Model for Effective Self-Regulation”.
She holds a CPA in Illinois, a Masters in Management from the Kellogg Graduate School of Management at Northwestern University and a Bachelor of Science degree in Accounting from the University of Illinois.
Nandini Sukumar | CEO, World Federation of Exchanges (WFE)
Nandini Sukumar is the Chief Executive Officer of the World Federation of Exchanges, the global association for exchanges and CCP’s. The WFE represents more than 250 exchanges and clearing houses globally, educating stakeholders on the vital role played by market infrastructures in the real economy and as a standard setter, finding the consensus on issues among the global membership. WFE exchanges are home to nearly 45,000 listed companies, the market capitalization of these entities is over $82.5 trillion and around $81.8 trillion in trading annually passes through the infrastructures that the WFE members safeguard. Ms Sukumar is Vice Chair of IOSCO’s Affiliate Members Consultative Committee and Chair of the AMCC’s DLT Workstream.
Ms Sukumar has been CEO of the WFE since March 2015. Prior to this, she served as Acting Chief Executive Officer from November 2014, having been recruited by the WFE Board as Chief Administrative Officer in May 2014 to run the Federation on a daily basis and work with its global network of members as a proponent of the benefits of fair, orderly, public markets. Ms. Sukumar came to the WFE after a 14-year career at Bloomberg where she created, grew and ran their coverage of market structure, exchanges and UK regulation.
Paul P. Andrews | Secretary General | International Organization of Securities Commissions (IOSCO)
Paul Andrews was appointed as Secretary General in December 2015 and joined IOSCO in March 2016. In this role, he is responsible for supporting the pursuit of IOSCO’s strategic objectives and leading the General Secretariat.
Prior to joining IOSCO, Mr. Andrews spent 18 years at the Financial Industry Regulatory Authority (FINRA) in Washington DC. From 2003 to March 2016, he served as Vice President and Managing Director, International Affairs, at FINRA, the largest independent regulator for all US securities firms. In this capacity he directed FINRA's international engagements and worked closely with key regulators and regulatory bodies worldwide, including IOSCO.
Prior to FINRA, Mr. Andrews spent eight years at the U.S. Securities and Exchange Commission.During this time, he worked in the Division of Market Regulation (now Trading and Markets) and the Office of the General Counsel.In these capacities, he led the international affairs office in Market Regulation, analyzed various legal and policy issues concerning the structure of securities markets, market intermediaries, and dispute resolution.Prior to the SEC, Mr. Andrews spent four years in private legal practice in Washington, DC.
Jennifer Levin | Manager, OTC Derivatives, National Futures Association (NFA), USA
Jennifer C. Levin joined NFA in 2014 as the OTC Derivatives examination program was being implemented. Jennifer has worked in many areas within the OTC Derivatives department including managing swap dealer exams, reviewing swap dealer registrations, participating in swap dealer initial margin model projects, and developing and presenting examiner trainings.
NFA recently took on the role as Chair of the Affiliate Members Consultative Committee (AMCC) of IOSCO. Jennifer is involved in a host of IOSCO initiatives relevant to the AMCC, C3 (Committee on Regulation of Market Intermediaries), C7 (Committee on Derivatives), and the Committee on Emerging Risks.
Jennifer is a CPA, holds a Bachelor of Science degree in Accounting from the University of Illinois, and a JD from the John Marshall Law School in Chicago.
Andrew J. Kriegler | President and CEO, Investment Industry Regulatory Organization (IIRO), Canada
Andrew has been President and Chief Executive Officer of the Investment Industry Regulatory Organization of Canada (IIROC) since late 2014. Before becoming a securities regulator at IIROC, Andrew was Deputy Superintendent of the Office of the Superintendent of Financial Institutions (OSFI) where he was responsible for the prudential supervision of Canada’s federally regulated financial institutions.
Prior to OSFI, Andrew spent some 25 years in the private sector, mostly recently as Treasurer of CIBC from 2008 to 2012. Before joining CIBC, he was Senior Vice President & Chief Human Resources Officer of Moody’s Corporation, parent of the credit rating agency Moody’s Investors Service, where he had also been the Country Managing Director from 2000 to 2006. His earlier experience includes work as a treasury executive and as a securitization and debt capital markets banker all of which followed his start as first an analyst and then a trader on a mortgage-backed securities trading desk.
Christophe Caillot | Directorate of Investigation and Inspection Division, Autorité des marchés financiers (AMF), France
Christophe Caillot, 56, was an attorney at Law in Paris for ten years before joining, in May 1997, as an investigator, the investigation division of the “Commission des Operations de Bourse”, the French Market Authority, which became the "Autorité des Marchés Financiers" in November 2003.
He is in charge of investigations on suspected market abuse cases, such as price manipulation, insider trading and dissemination of false information.
He’s also the AMF representative in 2 IOSCO groups dealing with cooperation and enforcement among securities regulators: (1) since 1997, at the IOSCO's Committee 4, "on enforcement and the exchange of information", and (2) since its creation in 2002, at the “Screening Group”, on the IOSCO Multilateral Memorandum of Understanding (MMOU), and now the newly adopted EMMOU (Enhanced MMOU). As such, he has reviewed and analysed the applications of more than a 130 securities commissions which were candidates to sign the IOSCO MMOU and EMMOU, and also helped several jurisdictions to draft their applications, as part of a technical assistance program set up by IOSCO.
Until February 2011, he also represented IOSCO at the Financial Action Task Force meetings, on money laundering.
Luiz Felipe Amaral Calabró | Executive Manager and Chief of Legal Department, BM&F BOVESPA
BSM Market Supervision’s Chief of Legal Department – Executive Manager. Law Graduate – Pontifical Catholic University of São Paulo (PUC-SP), 1999. Post Graduate Program in Civil Litigation – PUC-SP, 2001. Masters Program in Civil Law – PUC-SP, 2005. PhD in Commercial Law – University of São Paulo (USP), 2010. Professor at FIA – Foundation Institute of Administration. Visiting Professor at INSPER – Institute of Teaching and Research and at FGV–SP. Member of the Investment Funds Committee of the Brazilian Financial and Capital Markets Association (ANBIMA). Author of the book “Regulation and Self-regulation of the Stock Market: Stage-Audience Theory” (Almedina, 2011) and Co-author of the book “System and Topical in the Interpretation of the Rules” (Manole, 2006).
Dinesh Soni | Vice President, Head of Inspection, Enforcement and Exchange Compliance, National Stock Exchange of India
Dr. Dinesh Kumar Soni is a seasoned market professional with 22 years of experience (6 years of leadership roles) in development of markets, new products, policy making, risk management, IT projects, institution building, regulation, supervision and compliance in prestigious organisations across developmental banking space, regulatory bodies and exchange.
He presently heads the Inspection, Enforcement and Exchange Compliance Divisions of the National Stock Exchange of India. In this role he is responsible for supervision of members of the Exchange to ensure compliance with bylaws, rules and regulations of the exchange/regulator (SEBI) and enforcement actions against members in the case of non-compliances. He also oversees the compliance of the Exchange with the various regulatory requirements.
In his prior assignments, Dr. Soni has had opportunity of working with various development financial institutions in India in policy and process designing roles. In an earlier assignment with the regulatory body of the Commodities Market in India, Dr. Soni had the opportunity to attend the CFTC Annual Symposiums in Chicago multiple times. Dr. Soni has also made presentations in the IOSCO general conference held in Jamaica in 2017 and the AMCC Mid-year meeting held in Mumbai in 2017.
Peter G. Salmon | Senior Director, Operations and Technology, ICI
Peter G. Salmon is Senior Director, Operations & Technology, of the Investment Company Institute, responsible for the Institute’s Technology Committee, Chief Information Security Officer Advisory Committee, ICI Global’s Information Security Officer Committee, and ICI’s Business Continuity Sub-Committee. During the last 19 years Mr. Salmon was also responsible for the Institute’s Small Funds Committee, and End of Day Pricing Forum. Prior to joining the ICI in 1999, Mr. Salmon spent 11 years with The NASDAQ Stock Market, Inc., most recently as Director of NASDAQ International Market Initiatives, Inc., where he was responsible for the general management of a NASDAQ subsidiary that assisted in the development of foreign equity markets from a technological and regulatory perspective.
Mr. Salmon represents the ICI on the Financial Services Sector Coordinating Council for Critical Infrastructure Protection and Homeland Security, United States Department of the Treasury, the Financial Services Information Sharing and Analysis Center, Federal Bureau of Investigation’s INFRAGARD, the United States Secret Service’s Electronic Crimes Task Force, and the National Cyber Forensics and Training Alliance. Mr. Salmon is a graduate of Villanova University, where he earned a BA in Economics, and The American University, where he earned a MA in Economics. Mr. Salmon has also earned Certificates in Financial Planning from Georgetown University and Cyber Threat Analysis from the National Cyber Forensics and Training Alliance.
Mark Morrison | Senior Vice President and Chief Security Officer, Options Clearing Corporation (OCC), USA
Mark Morrison started at Option Clearing Corporation in June 2017 as a Senior Vice President and Chief Security Officer providing strategic direction and leadership for OCC corporate information security program. He is responsible for the development, implementation and execution of a comprehensive information security and risk management strategy across the technology and business units to ensure OCC information is protected from unintentional, malicious or unauthorized disclosure, misuse, alteration, destruction, loss and/or damage.
Mr. Morrison has more than 35 years of experience in information systems and network security engineering, policy, risk management and computer network defense. Prior to joining OCC, he was the global Senior Vice President and Chief Information Security Officer for the State Street Corporation. Before retiring from Federal Government service in June of 2103, he served as the Deputy Chief Information Security Officer for the US Department of Defense; the US Intelligence Community Chief Information Security Officer; and the Chief Information Security Officer at the US Defense Intelligence Agency among other information security positions across the US Intelligence Community.
Mr. Morrison has received the Presidential Rank Award of Meritorious Senior Professional; the Director of National Intelligence Exceptional Service Medal; and the Director, Defense Intelligence Agency Exceptional Civilian Award.
He received a Bachelor of Arts degree from the University of Massachusetts at Amherst. Mr. Morrison and his wife have three children and three grandchildren.
Gloria Dalton | Senior Director International, Financial Industry Regulatory Authority (FINRA), USA
Gloria Dalton is head of the International team at FINRA. In this capacity, she facilitates FINRA’s international engagements and cooperation efforts on business conduct and market conduct issues, both bilaterally and multilaterally. She also coordinates FINRA’s cross-border investigative assistance, negotiates information-sharing arrangements with foreign authorities, and supports FINRA’s representation in IOSCO and other multilateral efforts.
Prior to joining FINRA, Ms. Dalton spent 17 years at the U.S. Securities and Exchange Commission. During this time, she served as the Assistant Director for Supervisory Cooperation at the SEC’s Office of International Affairs and, prior to that, was Counsel to the Director. In these capacities, she worked on international regulatory policy matters and advised the SEC’s National Exam Program on cross-border issues. Ms. Dalton also spent three years at the U.S. Commodity Futures Trading Commission as a staff attorney in the Division of Trading and Markets.
Ms. Dalton received her Juris Doctor from George Mason University School of Law and her Bachelor of Science degree in Finance from Virginia Tech.
Josina Kamerling | Head, Regulatory Outreach, CFA Institute, USA
Josina Kamerling is Head of Regulatory Outreach for the Europe, Middle East, and Africa (EMEA) region for CFA Institute, and is based in the Brussels office. She is responsible for supporting CFA Institute policy development in the region, advancing the impact of advocacy efforts, and promoting capital market integrity and investor protection issues.
Josina is a frequent speaker in conferences on EU policy in Financial markets and ethics issues in the financial profession. Within CFA institute, Josina is a member of the task forces on financial education and also on pensions, as well as promoting the debate on ethics by serving as a member of the jury for the global Ethics in Finance prize.
Prior to joining CFA Institute, Ms. Kamerling was a specialist adviser on financial services in the European Parliament for six years, advising most significantly the Economic and Monetary Affairs Committee and the Special Committee on the Financial, Economic and Social Crisis on all aspects of financial services policy issues and technical information. Prior to this, Ms Kamerling was a banker for 15 years in a variety of functions and locations, most notably as a senior banker in the global clients division of ING and prior to that as head of sales in the financial markets division of ING group.
Josina holds a Bachelor of Arts with Honours in Law and Modern Languages from Cambridge University. She is a Dutch national having lived and worked in five European countries and speaks five languages fluently.
Michel Janna | President, Autorregulador del Mercado de Valores de Colombia (AMV)
Michel Janna is the president and CEO of AMV, the self-regulating organization for securities markets in Colombia, since 2017. Prior to AMV, Michel served as General Director of Public Credit and the National Treasury of the Republic of Colombia, as Vice President of Risk Management and Advisory for financial institutions and sovereigns at Goldman Sachs, New York, and as Financial stability Specialist at the Central Bank of Colombia. He has been a member of the board of directors of several corporates and financial institutions in Colombia.
Michel holds a Ph.D. in Economics from Northwestern University, and a M.Sc. and B.A. in Economics from Universidad de los Andes.
Noel Maye | CEO, Financial Planning Standards Board (FPSB), USA
Noel Maye is CEO of Financial Planning Standards Board (www.fpsb.org), the nonprofit standards-setting body for the global financial planning profession and owner of the international CERTIFIED FINANCIAL PLANNER certification. For over 20 years, Noel has held leadership positions in the U.S. and global financial planning standards-setting and certification communities, advocating for competency, ethics and professional practice standards for financial planners to benefit the global community. Through participation in IOSCO’s AMCC, IOSCO C3 and C8 consultations and partnership with IOSCO’s World Investor Week through World Financial Planning Day, Noel advocates for regulators to align the interests of the public and the professional advice community to create better regulatory and consumer outcomes. An Irish and U.S. national, Noel holds the Certified Association Executive credential, and completed his engineering degree at Trinity College Dublin, an MBA at the University of Colorado, and INSEAD’s Executive Certificate in Global Management.
Benoît Gourisse | Senior Director, European Public Policy | International Swaps and Derivatives Association, Inc. (ISDA)
Benoît Gourisse has worked for ISDA for more than 8 years as Senior Director of European Public Policy.
He is notably dealing with clearing related issues (CCP supervision, CCP Recovery and Resolution), MiFID, European supervisory architecture and is leading the ISDA work stream on commodities in Europe and the EU effort on implementation of margin rules for non-cleared derivatives.
He is the ISDA primary contact to the International Organization of Securities Commissions (IOSCO).
Prior to ISDA, Mr. Gourisse spent five years at the French Banking Federation in Paris, where he was Deputy Head of Corporate and Investment bank department. In this role, he advised the executive management of French banks on issues relating to financial markets, corporate services, custodian activities, asset management and distribution of financial instruments to retail investors.
He also worked for the French Savings Banks as head of legal department and for Société Générale as compliance officer.
Mr. Gourisse has a Master Degree in tax and business law from Paris XI University.
Richard Metcalfe | Head of Regulatory Affairs | World Federation of Exchanges (WFE)
Richard Metcalfe is Head of Regulatory Affairs at the World Federation of Exchanges (WFE) – the global trade association for exchanges, CCPs and central securities depositories. He leads a dedicated regulatory affairs team, focusing particularly on issues of international and cross-border policy around markets-based finance, central clearing and the management of markets infrastructure. Before taking up his WFE post in March 2018, he worked on MiFID implementation at the Markets Division of BNY Mellon in London. He also has extensive experience in wholesale financial services and policy issues, with particular emphasis on asset management and on derivatives, including central clearing. In addition to working at ISDA and the IA, he has worked for SWIFT. Earlier in his career, he wrote for and edited various financial publications. He lives in London and studied languages at university.
Jennifer Peve | Managing Director, Business Innovation | DTCC
Jennifer Peve is Managing Director of Business Innovation at DTCC. Within this role, she oversees business development activities across the DTCC Solutions portfolio, 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.
She joined the firm in 2015. Prior to DTCC, Jennifer 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 product 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.
Jennifer currently serves on the Technology Advisory Committee of the U.S. Commodity Futures Trading Commission (CFTC) as well as FINRA’s FinTech Industry Committee and is the former Chair of the Enterprise Ethereum Alliance (EEA)’s Banking Working Group. She is a member of SIFMA’s Blockchain Roundtable and is a regular speaker at industry conferences, with past participation at Consensus, SIFMA, ISDA and AMF events.
Clare Dawson | Chief Executive | Loan Market Association
Clare joined the Loan Market Association in 1999 after spending two years in the syndications department at Sumitomo Bank, working on loans in Europe, the Middle East and Africa. Prior to this she spent two years at the British Museum Development Trust raising funds for the Museum's Great Court project. Before joining the British Museum, Clare had spent some eight years at Sumitomo in the international department, including two years at the bank's head office in Tokyo, where she helped establish a syndications desk. In London she worked mainly on origination in various Western European and Nordic countries.
Clare has an honours degree in Modern and Medieval Languages from the University of Cambridge. She is a member of the Bank of England’s Working Group on Sterling Risk-Free Reference Rates and chairs the Sterling Loans sub-group.