AGENDA summary
TUESDAY - 20 Sept 13.00 - 17.00 CET
all times are CET
13.00 - 13.10 - Welcoming Remarks
13.10 - 13.40 - P1 Opening Address
13.40 - 14.30 - P2 Conduct, Culture and Behaviour: Lessons from the Pandemic
14.30 - 14.50 - Coffee Break
14.50 - 15.50 - GROUP I WORKSHOPS (concurrent - choose on the day)
W1 Compliance Risk Assessment and Controls Testing
W2 Environmental, Social and Governance Issues
W3 Outsourcing
15.50 - 16.10 - Coffee Break
16.10 - 16.55 - P3 The Evolving Role of Compliance
16.55 - 17.00 - CLOSE OF DAY
WEDNESDAY 21 Sept 13.35 - 17.15 CET
all times are CET
13.35 - 13.45 - Welcoming Remarks
13.45 - 14.15 - P4 The European Regulatory Agenda
14.15 - 14.30 - Coffee Break
14.30 - 15.30 - Group II WORKSHOPS (concurrent - choose on the day)
W4 Challenges and Opportunities in Monitoring and Surveillance
W5 Regulatory Change Deep Dive: The Impact on Compliance
W6 Corporate Social Media - Control and Governance
15.30 - 16.00 - Coffee Break
16.00 - 16.30 - P5 Address by CEO HSBC Bank
16.30 - 17.15 - P6 In Conversation with Internal Audit
THURSDAY 22 Sept 13.00 - 17.00 CET
all times are CET
13.00 - 13.10 - Welcoming Remarks
13.10 - 13.40 - P7 Sustainable Finance: latest developments and challenges ahead
13.40 - 14.30 - P8 Regulatory Divergence Post-Brexit
14.30 - 14.50 - Coffee Break
14.50 - 15.50 - Group III WORKSHOPS (concurrent - choose on the day)
W7 Crypto Assets
W8 Market Abuse: Challenges and Trends
W9 Post Pandemic Future of Work Models: Risks and Challenges for Compliance
15.50 - 16.10 - Coffee Break
16.10 - 16.55 - P9 Heads of Compliance Panel: Looking to the future
16.55 - 17.00 - CONFERENCE CLOSING REMARKS
Thursday 22 Sept 18.00 CET onwards
In-person - Networking Opportunities
London, Frankfurt, Amsterdam
… and other cities
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Emily Ballisat
Emily is ‘of Counsel’ in the Simmons and Simmons financial services regulation practice in London and spent 15 years in-house in Legal and Compliance regulatory change roles in European and UK wholesale and investment banks. Emily specialises in a range of UK and EU regulatory matters including advising financial institutions on MiFID 2, MAR, Brexit implementation and divergence, the Consumer Duty, cross border regulation, prime brokerage, CFTC swap dealer, short selling and conduct rule changes. She has interacted with UK, EU and US regulators on a range of policy, conduct and supervisory items. Emily has been actively involved in sell side industry association discussions including the AFME Compliance Board and MAR working group, and AFB Compliance work on Brexit items. This included the response to the FCA and PRA approach to international firms papers.
Emily qualified as a solicitor in 2003 at Linklaters. She returned to private practice at Simmons & Simmons in January 2022.
Colin Bell
Chief Executive Officer HSBC Bank plc and HSBC Europe Colin Bell was appointed Chief Executive Officer HSBC Bank plc and HSBC Europe in February 2021. Prior to this Colin was Group Chief Compliance Officer. Colin joined HSBC in July 2016 and was appointed a Group Managing Director in March 2017. He previously worked at UBS, where he was the Global Head of Compliance and Operational Risk Control.
Born in Fife, Scotland, Colin joined the British Army in 1990 after graduating from Durham University. He served for 16 years in a variety of command and staff appointments and completed the Joint Services Command and Staff College in 2001. He joined UBS Investment Bank in 2007, working in the Risk function prior to moving into Compliance and integrating the Compliance and Operational Risk functions.
Jonathan Bibby
Jonathan is the Chairman of the TECC 2022 Planning Committee. He has over 30 years experience in financial services regulation and compliance. A former regulator, he has held senior compliance roles at JP Morgan, ING and most recently UBS. He is currently a director of RIZQ Money Ltd and Milenna Homes Ltd.
Bharat Bhushan
Bharat is a Technology Partner at KPMG. A Technologist with 28 years of experience in designing and delivering complex systems and applications.
He particularly enjoys solving business challenges that require creative thinking, emerging technologies and co-creation with clients and industry partners.
Bharat is a former IBM Distinguished Engineer and a Fellow of the British Computer Society.
Teunis Brosens
Teunis Brosens is ING’s Head Economist for Digital Finance and Regulation. His focus areas include digital currencies, disintermediation, the rise of digital platforms and increasing importance of data. He likes to view these developments through an economist’s lens, assessing impacts via credit, money, balance sheets and regulation. He also translates these trends into priorities for ING to discuss with policymakers, regulators and supervisors.
Roxana de Carvalho
Roxana de Carvalho is the Head of Corporate Affairs Department at the European Securities Markets Authority. ESMA is an independent EU authority that ensures the integrity, transparency, efficiency and orderly functioning of securities markets, as well as enhancing investor protection.
Roxana’s role covers the coordination of relations with the EU institutions, support to ESMA senior management and governing bodies, and coordination of ESMA’s relationships with the private sector, consumer representatives and market participants, as well as international counterparties. Roxana was coordinating ESMA work in relation to Brexit impact on EU financial markets.
Previously, Roxana led ESMA work in the area of corporate reporting, corporate finance, credit rating agencies policy and securitisation. Before joining ESMA, Roxana was Senior Manager in Global Capital Markets Department with PricewaterhouseCoopers France.
James Coulson
James Coulson joined HSBC in January 2021 as Head of Audit for Compliance, Conduct and Legal, reporting to the Group Head of Internal Audit.
Prior to joining HSBC, he was Chief Compliance Officer of Credit Suisse International between 2015 – 2020 and previously he held a succession of Chief Operating Officer and Compliance roles during 18 years with Société Générale in London.
James graduated from Oxford University in 1988 and spent the first 7 years of his professional career serving as an officer with the British Army Gurkhas, primarily based in the Far East.
Stuart Crotaz
Stuart is a Partner in our Financial Risk practice leading Conduct and Compliance for Banking and Capital Markets. Having previously worked in industry and at the regulator, he covers Non-Financial Risk and Regulation including Conduct effectiveness, Market Abuse, ESG and IBOR transition. As firms transition out of Covid-19 lockdown into BAU and hybrid working, Stuart is part of the EY global response team supporting clients in establishing new working practices.
Siân Dalrymple
Siân Dalrymple is a global Compliance and Risk professional with over 30-years experience and is the Group Chief Risk Officer for Crestbridge Limited, a Jersey-headquartered fund administration, fiduciary, accounting, management and governance solutions firms with offices in Europe, the UK, US, Cayman and Bahrain.
Prior to that Siân led the group Compliance function (including being the group MLRO) for four years at The Bank of N.T. Butterfield & Son Limited, an NYSE-listed offshore financial services firm where she was also a member of the Executive Committee. Whilst at Butterfield she oversaw a detailed Financial Crime remediation programme; was the Compliance lead on 3 acquisitions which saw two new regulated offices being set up in Singapore and Jersey as well as a second shared service centre in Mauritius. During her assignment Siân also reviewed and implemented group-wide outsourcing and data protection programmes.
Prior to Butterfield, Sian worked for Deutsche Bank for ten years in a variety of senior roles in the UK and Hong Kong, lastly as the Regional Head of Compliance for Asia-Pacific.
Prior to that she has held a variety of roles for UK-based global financial institutions.
When not working, she and her husband are restoring a Grade 2 listed property, old walled garden and vine house and trying to train a Chesapeake Bay Retriever and a Golden Retriever (and losing). She is passionate about Welsh rugby, is an avid cricket fan and proud mother of three sons.
Mita Dave
Mita is a KPMG banking risk and regulatory Partner in the UK with over 20 years regulatory and compliance experience as both an industry practitioner and professional adviser.
She has advised financial services clients on a range of risk and regulatory matters and enjoys helping clients on their risk and compliance transformation journeys.
She also leads the D&I programme at KPMG called RaiseYou.
Monika Dissen
Monika Dissen is a Director at Deutsche Bank. She started her career as a Corporate and M&A lawyer with Clifford Chance, Hengeler Mueller and EY Law. Prior to joining Deutsche Bank in 2014, she was a managing director with the German Deposit Insurance Scheme. Monika has held a number of different roles in Deutsche Bank in Frankfurt and London and currently is Director Strategy, Change and Oversight in the Business Selection & Conflicts Office and the Compliance ESG Lead at Deutsche Bank in London.
Dorian Drew
Dorian is a solicitor advocate and former barrister. He specialisesin providing advice to financial services businesses in distressed situations, including during complex investigations, regulatory enforcement action, and associated litigation, which often involves multiple jurisdictions.
Dorian has represented clients, including banks, consumer credit firms, insurance companies, asset managers and their senior management during investigations and disciplinary action brought by a range of domestic and international regulators, including the FCA, PRA, OFSIand SFO in the UK and the DoJ, SEC and DFS in the US.
Anna Eskelin-Heino
Anna is a senior member of the TECC Planning Committee and also Head of Conduct, Advisory and Products Compliance team, within the Asset & Wealth Management Compliance unit in Group Compliance in Nordea Bank AB. In her role she is responsible for the oversight and group wide focus activities of matters related to conduct, financial advice and product governance in Nordea.
She has worked in the financial industry for the past two decades, in a variety of positions primarily with Nordea Bank. She holds a Masters in Law from the University of Helsinki, Finland.
Christian Everts
Christian Everts is Head of Compliance and Anti-Financial Crime at Vanguard Group Europe.
Prior to joining Vanguard he worked at DekaBank Deutsche Girozentrale, Deutsche Bank, CORE SE and Accenture Strategy in various compliance roles.
Christian holds Masters Degrees in Finance & Accounting and Law.
Melissa Gallagher
Melissa Gallagher, EMEA Chief Compliance Officer
Originally from Brisbane, Australia, Melissa was appointed Chief Compliance Officer for EMEA in June 2019. In this role, Melissa leads the regional Compliance function and is a member of the Global Compliance Management team.
Melissa joined JPM in September 2013 as EMEA Head of Fixed Income Compliance and in October 2017 she was appointed EMEA Head of Markets Compliance and Global Lead for Equities Compliance.
Prior to joining JPM Melissa held senior compliance roles at Morgan Stanley and Lehman Brothers.
Oliver Geffroy
Oliver Geffroy is a Managing Director at Bank of America and Co-head of EMEA Compliance and Operational Risk.
Oliver joined the firm in 2015 as head of EMEA Private Side Compliance. Prior to that, Oliver was Head of Compliance for EMEA at The Royal Bank of Scotland and held various senior Compliance roles at Barclays, including Head of Continental Europe and Head of Africa.
Before Oliver moved into Risk and Compliance functions in 2008, Oliver was a Director in M&A/Corporate Finance at Dresdner Kleinwort and worked in Credit Suisse First Boston’s Legal team. Admitted to the German Bar as attorney-at-law in 1998, Oliver started his career as partner in a German law firm, specializing in commercial and criminal law, before he became a lawyer in M&A/Corporate at Linklaters LLP.
Oliver studied Law in Germany with stages in Konstanz, Tübingen, Stuttgart and Zürich. He holds a law degree from Eberhard-Karls-Universität Tübingen where he was also an assistant professor at the chair of Prof. Dr. Dr. Hans von Mangoldt.
Oliver is a member of the Executive Faculty of University of St. Gallen, Switzerland, and of the Board of the UK’s Compliance Association SHCOG. He acts as Chairman of The European Compliance Conference TECC and has been a frequent speaker on regulatory and legal matters at banking industry conferences in the UK and Europe. Oliver serves as a Non-Executive Director on the board of The Politics Project, a Community Interest Company focusing on learning and political education of young people in the UK. He also provides executive sponsorship and other support to various internal and external environmental, social and governance activities of BofA.
Mark Goulden
Mark Goulden is Divisional Head of Investment Bank Compliance, UK&I Regional Head of Compliance and a member of the Deutsche Bank Compliance Executive Committee and relevant business executive committees, managing a global team of Compliance professionals. Mark has over 29 years’ experience in Investment Banking and Markets Compliance and previously spent 11 years at JPMorgan as Head of EMEA Markets Compliance, Global Head of Equity Compliance and CFTC-registered Chief Compliance Officer for JP Morgan’s EMEA Swaps Dealer. Prior to this Mark was Head of Equity Compliance for UBS (formerly Swiss Bank Corporation and SG Warburg during his 14 years tenure).
Mark has developed product expertise across equities, fixed income, FX, commodities, research, capital markets and corporate finance as a consequence of the roles he has held during his career. Mark has also managed AML remediation and MiFID implementation programmes, managed the integration of multiple Compliance teams through the acquisitions of Bear Stearns, Cazenove and Sempra Commodities and spent periods as interim Head of Compliance in Singapore and South Korea.
More recently, Mark has had significant involvement in high profile global regulatory issues.
Mark is Chairman of the Securities Houses Compliance Officer Group which, with over 100 corporate members, provides education, training and networking opportunities for Compliance professionals in the UK and Continental Europe.
Stephen Hanks
Stephen has worked for various UK public authorities over the last 30 years, focusing on financial services since 2002. Currently he is a member of the Trading and Wholesale Conduct Policy Team at the FCA working on issues related to the UK MiFID framework.
Marjolein van Hellemondt
Group Chief Compliance Officer – Santander
Amsterdam, 1964
Marjolein is Group Chief Compliance Officer of Banco Santander since end 2019.
After working in a law firm and front office functions in banks, she made Compliance her career. She has more than 20 years of experience as Group Chief Officer in the global financial services industry in Switzerland (Zurich Insurance), the Netherlands (ABN AMRO, ING Bank, NN-Group and DLL), Brazil (Banco ABN AMRO Real) and Spain (Santander). Leader of regulatory compliance and compliance risk management programs in listed, regulated companies. Trusted adviser on compliance matters, business ethics and integrity to all stakeholders, both internally as well as externally.
She holds a Master of Dutch Law from the University of Amsterdam and an Executive Program from Singularity University, among others.
She has been secretary of the Global Insurance Chief Compliance Officers (CCO) Forum and Conference Chair and Member of the Planning Committee of The European Compliance Conference (TECC)
Marjolein speaks Dutch, English, Portuguese, basic German and is learning Spanish.
Christian Hunt
Christian is the founder of Human Risk, a Behavioural Science led Consulting and Training Firm, specialising in the fields of Ethics & Compliance.
He was formerly MD at UBS where he was Head of Behavioural Science — a role created specifically for him, following his pioneering deployment of it within Compliance.
Christian joined the Firm in Compliance & Operational Risk Control, leading the function globally for UBS Asset Management and regionally for UBS Europe, Middle East & Africa (ex Switzerland).
Prior to joining UBS, he was Chief Operating Officer of the UK Prudential Regulation Authority (PRA), a subsidiary of the Bank of England responsible for regulating financial services. Christian was Head of Department, International Banking Supervision at the PRA and its predecessor the Financial Services Authority.
He has also been a Principal in a Family Office and worked for Deutsche Bank, London in Investment Banking. While at Deutsche, he spent two years on secondment at the Panel on Takeovers & Mergers, the UK Takeover Regulator. Christian began his career at Arthur Andersen working in regulatory and financial consulting.
He is a Fellow of the Institute of Chartered Accountants of England & Wales (ICAEW), an ICAEW Business Finance Professional, a Fellow of the Royal Society of Arts and holds an Masters from the University of Oxford. He is a Member of the Global Association of Applied Behavioural Scientists (GAABS).
Christian speaks and writes regularly about Behavioural Science and human risk. He also hosts and produces the Human Risk podcast.
Uche Iwuchukwu
Uche is currently an Executive Director and EMEA Head of Compliance Testing at Morgan Stanley, where he is broadly responsible for the planning and delivery of the Compliance Testing programme in EMEA.
He joined Morgan Stanley from HSBC where he spent 6 years and half years and was responsible for Compliance Assurance for the Global Wealth and Personal Banking globally, and before that, as the European Head of Regulatory Compliance Risk Assurance for its Asset Management, Wealth and Personal Banking businesses.
Uche’s career spans over 21 years as a senior regulation and compliance professional. He has previously held senior roles in Regulation/Compliance/Monitoring/Testing/Assurance at Insight Investment, BNY Mellon, Goldman Sachs, and the Financial Services Authority (now FCA).
Uche holds a Bachelor of Science (BSC) degree in Economics from City University London, and a Masters (MSC) degree in Financial Regulation and Compliance Management from the London Metropolitan University, as well as some industry qualifications in regulation and compliance.
Jochen Kindermann
Jochen is a partner in Simmons + Simmons’ financial services practice in Frankfurt. He has been advising financial institutions in relation to regulatory issues for more than a decade, in particular with regard to compliance matters, MiFID implementation and Brexit restructurings. Furthermore, he has gained extensive experience in asset management.
Jochen specialises in cross-border activities of regulated entities, in particular the promotion of financial instruments. As a former compliance officer he has gained considerable insight into the day-to-day business of banking institutions and investment firms. Jochen has set up fund structures inside and outside Germany and advised asset managers in relation to their buy-side and sell-side activities.
Jochen is a frequent author and speaker in relation to financial market regulation. He is for example a co-author of “FinTech”, a handbook regarding the regulation around FinTech firms. Furthermore, he is also one of the initiators of crypto reviewer, a cross-jurisdictional know-how source for crypto requirements and he is a contributor to Simmons+Simmons’ navigator services.
Julia Kolbe
Julia is Head of Markets and UK Policy in the Government & Regulatory Advocacy Team at Deutsche Bank. Her focus is on setting the capital markets regulatory policy engagement strategy globally as well as on leading Deutsche Bank’s engagement with UK policymakers and developing positions on the UK regulatory framework. Julia has been with DB for eight years and is based in London.
Prior to joining Deutsche Bank, Julia has been working in the mergers & acquisitions department of a global law firm in Frankfurt.
She holds a Masters degree in International Commercial Law from King’s College, London.
Brenda Kramer
Brenda Kramer works as Senior Advisor Responsible Investment at the Dutch asset manager PGGM. She is also a core member of the European Platform on Sustainable Finance. Due to her role in the development of the European taxonomy for sustainable finance she is part of the top 50 most influential women in Sustainable Finance in 2021 and 2022.
Previously Brenda worked 10+ years as strategic advisor for the Dutch Finance Ministry and the President of the Eurogroup, gaining deep expertise on European legislation and politics. In the her work around Sustainable Finance she combines this experience with her expertise on ESG integration and impact investment to contribute to a European classification system for green activities – the taxonomy- .
At PGGM, Brenda has co-developed the taxonomy for investments in the Sustainable Development Goals and works on implementation of EU legislation.
Brenda is also guest lecturer at the UvA-Academy. She is driven by the ambition to create positive societal impact alongside financial returns.
Wiecher Mandemaker
Wiecher Mandemaker is the Group Head of Compliance Testing and Monitoring services for the Nordea Group. In his role he is responsible for the development, oversight and delivery of the compliance testing and monitoring programme across all compliance risk taxonomies, as well as the independent risk assessment, risk appetite framework and reporting for compliance within the Nordea Group. He brings over 25 years of experience in the Financial Services industry, developing programmes to address key risk management obligations and regulatory requirements.
Before working at Nordea, he held global roles at HSBC and MUFG in Financial Crime Compliance, with roles establishing the Financial Crime Compliance testing programme at HSBC and the Financial Crime Compliance conformance programme covering monitoring and quality oversight at MUFG. Prior roles include the Head of Financial Crime Compliance (FCC) for HSBC in the Middle East and Head of FCC Personal Financial Services for HSBC in the US. Prior to his Compliance roles, Wiecher held a variety of roles in Personal, Commercial and Government and Institutional Banking in sales and operations.
Wiecher holds a Master’s degree in Business Economics from the Vrije Universiteit in Amsterdam. He and his wife have lived in various locations in the US, Dubai and London and they currently live in Copenhagen, Denmark.
Pam McDonagh
Head of Audit Professional Practice, UBS
Miki Mellegard
Miki has been at Deutsche Bank in London for almost 5 years. He is the Regional Head of Surveillance for UK/EMEA as well as the Global Head of Product Risk & Strategy. Before joining DB, he spent 5 years at the FCA, running the Surveillance Team.
His background is in trading, having spent around 20 years as a fixed income bond trader, 14 years of which was at Morgan Stanley, in the New York, Tokyo and London offices.
Wim Mijs
Wim Mijs (1964) was appointed Chief Executive Officer of the European Banking Federation in 2014.
Between 2007 and 2014 Wim served as CEO of the Dutch banking association NVB. During this tenure he transformed the NVB into a modern industry association, positioning it as the key representative of the banking sector in the wake of the financial crisis.
Wim studied law at the University of Leiden in the Netherlands, specialising in European and International law. After his studies he worked at the International Court of Arbitration at the Peace Palace in The Hague. In 1993 he joined ABN AMRO in Amsterdam before moving to Brussels to head up the bank’s EU liaison office. Wim moved back to The Hague in 2002 where he became the Head of Government Affairs for ABN AMRO.
Wim is a member of the Advisory Board of the BBVA Center for Financial Education and Capability, the Industry Chair of the European Parliamentary Financial Services Forum and member of the Advisory board of Leiden Law School.
Between 2011 and 2018, Wim held various institutional roles within the international and European financial/banking community: chairman of the International Banking Federation; chairman of the Executive Committee of the EBF; and chairman of the Board of Euribor, now known as the European Money Market Institute.
Wim is married and has two children.
Rob Moulton
Rob Moulton is a partner in the London office of Latham & Watkins and Global Co-Chair of both the firm’s Financial Institutions Group and Financial Regulatory Practice.
Henning Lykke Nielsen
Head of Market Abuse Surveillance, Nordea
Isabelle O’Hara
Isabelle is Executive Director, Compliance and Operational Risk Control at UBS.
She has worked in compliance for over 20 years, joining UBS’s Compliance and Operational Risk Control department in January 2011. She currently covers Data Protection and Privacy in the US and Canada as well as communications and social media topics globally. Prior to joining UBS, Isabelle worked in Compliance at Merrill Lynch and was an examiner with FINRA before that. Isabelle received a BA from Connecticut College and an MBA from NYU. She is a Certified Information Privacy Professional/Europe through the International Association of Privacy Professionals (IAPP) and holds Series 7, 9, 10 and 24 licenses.
John Polanin
John is Head of Compliance and AML Risk at Macquarie Bank Europe.
He is an accomplished Senior Management and Leadership Executive, and qualified lawyer, with extensive experience managing global Compliance divisions for major investment banks across the Americas, Europe, Asia and Australia.
Polished communicator with natural authority and authentic leadership style, using strong interpersonal skills to instil trust and confidence in key relationships with national and international Regulators, Boards, senior management and staff.
Supportive, outcome-focused manager with a practical, commercial approach to compliance risk management, building consensus to lead and empower multi-cultural, cross-functional teams to achieve goals in partnership with business.
Simon Quick
Simon is Head of Social Media Governance at UBS. He is an Anglo-Swiss citizen. Originally an architect, ARB member, having run a private practice in Exeter, England; later working for Santiago Calatrava in Zürich, Switzerland. He was also a commercial mediator and is still a member of CI-Arb'.
He has been with UBS since 2010, initially running internal and external digital projects; and since June 2016, establishing and leading the social media governance team, within Communications & Branding.
Privately, he is married to Petra, general counsel, head compliance, and partner, at a private wealth management company in Zürich. He is a keen photographer (simonquick.ch), and golfer.
Hartmut Renz
Hartmut T. Renz studied law in Heidelberg and is a licensed attorney.
Until this year, he was the BaFin registered Head of Compliance at Citigroup Global Markets Europe AG in Frankfurt. At Citi he was responsible for compliance advisory and monitoring of all Citi activities within Germany and its legal entities, including Citigroup Global Markets Europe AG and its European subsidiaries.
From 2016-2018, as Group Chief Compliance Officer of LBBW Landesbank Baden-Württemberg in Stuttgart, he was responsible for LBBWs global and group-wide compliance-function. During this time, he successfully restructured this function with a focus on effectiveness and efficiency as well as implemented internal governance structures while promoting a holistic risk management approach.
Prior to that, as Counsel in the Frankfurt office of Kaye Scholer LLP, he advised on all financial and capital markets regulatory issues, both legal and organizational. One focus of his practice was compliance advisory, particularly with regard to capital markets compliance and real estate compliance, as well as corporate law and corporate governance. Anti-corruption, anti-fraud and data protection are further areas in which he has many years of extensive experience.
Previously, he headed the Compliance unit at Landesbank Hessen-Thüringen Girozentrale (Helaba) in Frankfurt for more than 10 years as Compliance Officer / Group Compliance Officer Capital Markets. In this function, he was, among others, a member of the Sanctions Committee of the Frankfurt Stock Exchange.
Prior to that, he was in charge of the investment banking policy department at DZ Bank AG and was responsible for capital market law issues.
Hartmut T. Renz began his professional career at the BVI Bundesverband Investment und Asset Management (Federal Association of Investment and Asset Management), where he dealt with issues relating to old-age provision on an investment fund basis.
Hartmut T. Renz has been holding seminars on capital market law issues and questions of securities law for many years, regularly publishes on these topics and is, among other things, co-editor of a practical commentary on securities compliance as well as an organizational handbook on the securities compliance function. He is also a lecturer at the Frankfurt School of Finance and Management as part of the "Certified Compliance Professional Program (CCP)" and was a lecturer at the University of St. Gallen, Switzerland, as part of the "Executive Master of Business Law Program (M.B.L.)". Furthermore, he is a founding member of the Frankfurt Compliance Circle as well as the BDCO Federal Association of German Compliance Officers. He is a member of the advisory board of Creditreform Compliance Services GmbH as well as a member of the impartiality committee of TRECCERT GmbH.
Bharat Samani
Bharat Samani is Head of Compliance, UK & Europe at BBVA. He is a Senior Compliance Head with good experience in managing and leading large and small teams with different product sets and across jurisdictions. Experienced in trading room products, corporate finance advisory, research and central compliance. Also responsible for Financial Crime teams including re-mediation projects. Experience of retail markets in banking and broking.
Industry participation: Co-chair of the Compliance Committee at the Association for Financial Markets in Europe (AFME) , Chair of the Compliance Panel at the Association of Foreign Banks (AFB)
Mark Starbuck
Mark is currently Chief Auditor at Credit Suisse AG with responsibility for coverage of regulatory and people risks, including the assessment of risk culture.
Mark previously held roles within Compliance, as the Chief Compliance Officer for Gartmore Investment Management plc, and subsequently within the Group Compliance function at UBS AG.
Mark started his career as a Chartered Accountant within the external audit practice of Deloitte (London and New York).
Helena Sundin
Helena Sundin is Head of Compliance for Sweden & Finland, JP Morgan.
Helena has over 20 years compliance experience holding Senior Compliance roles at Alfred Bergs/ABN AMRO Bank, Nordea Bank and Handelsbanken.
Helena has a legal and regulatory background and was legal counsel at the Swedish Financial Supervisory Authority.
Helena has been a board member at the Swedish Securities Market Association and Compliance Forum; she is currently a member of the TECC Planning Committee.
Arden Vega
Arden is Head of Compliance Markets at ING Bank, leading Conduct and Compliance for Financial Markets and Capital Markets. Focus areas are MiFID, MAR and Transaction reporting regulations. Arden has been with ING for 20+ years and is based In Amsterdam.
Jan Willem van der Velden
prof. dr. Jan Willem van der Velden is professor of financial law at the University of Amsterdam and lawyer at Keijser Van der Velden. He advises parties that are active in the financial sector on regulatory matters and company law. His clients include banks, investment firms, AIFMs, insurers and pension funds.
Before founding this firm in 2009, he worked as a lawyer in Amsterdam and New York. He combined his law practice with teaching at Nijmegen University, where he wrote a PhD on “Investment Funds under Civil Law”.
Jan Willem is a deputy judge in the Court of Appeal of 's-Hertogenbosch, a supervisory director at a number of listed investment institutions and a board member of an NGO for development cooperation. The combination of legal practice, science and other social involvement gives him daily pleasure and inspiration.
Kate Vetch
Kate joined Macquarie in September 2019. As part of her role, Kate is the Senior Manager and registered Compliance Officer for seven of the regulated entities that operate within EMEA.
Kate has 20 years of compliance experience and has worked at a number of global investment banks including JPMorgan, Citigroup and BAML. Prior to joining Macquarie, Kate was the Global Head of Investment Banking Markets Compliance and Operational Risk at UBS.
Kate started her career at Coopers and Lybrand. On qualifying as a Chartered Accountant, Kate spent six years working in Australia for PwC, and latterly JPMorgan and Citigroup. Kate obtained a first-class honours degree in Chemistry from Bristol University.
Susanna Zwick
Susanna Zwick is an Executive Director at Morgan Stanley Europe SE and Head of the Central Outsourcing Control Office of the EU Group of Morgan Stanley where she is broadly responsible for the development, implementation and assurance testing of outsourcing governance frameworks and processes.
She has been working in the financial industry for more than 25 years which included roles at Clearstream, Deutsche Bank and Allianz Global Investors. She has been focussing on outsourcing governance, regulation and management for more than 10 years, in both 2nd and 3rd Line of Defence roles.