The Innoxcell Asia Pacific Summit is the most extensive legal, regulatory, compliance, risk and fraud gathering in Hong Kong, Beijing, Shanghai, Singapore, Australia and the United States. IAS is the only event of its kind that will run multiple paths covering the great diversity of topics in the area of bribery, fraud, investigation, financial crime and legal technology.
Innoxcell aims to provide a knowledge-driven platform for legal and compliance executives and professionals from different industries to explore the latest best legal and business practices, catch-up with latest regulatory updates, establish networking with prominent legal professionals around the Globe, as well as visit the legal technology and solutions exhibition. IAS is a legal and compliance community gathering you should attend.
Over 20 Sessions
Managing Director, Head of Legal, Singapore and SE Asia, Nomura
Jonathan Wise is a Managing Director and Head of Legal for Singapore and Southeast Asia at Nomura. He has over 20 years of experience as a lawyer advising on a broad range of corporate, transactional, regulatory and dispute resolution matters in both developed and emerging markets. He also has deep experience building and managing teams of lawyers across multiple jurisdictions and managing significant legal budgets.
In his present role, Jonathan leads a twenty person legal team based in Singapore, Hong Kong, Bangkok, Jakarta and Mumbai that provides legal coverage to Nomura's Global Markets, Investment Banking, and Private Wealth Management businesses across the region as well as Corporate and Strategy functions supporting such businesses. He also serves as a member of various local and regional governance, risk, and executive committees of the Firm including the Singapore Executive Committee.
Prior to joining Nomura, Jonathan was a senior legal counsel with Lehman Brothers and was involved in integration of the two firms' legal departments following the purchase by Nomura of Lehman's Asian and European businesses.
Jonathan has previously been based in Hong Kong, Tokyo, New York and London and is a member of the New York State Bar.
Chief Information Officer, Kommerce
Markus has over 20 years experience in research and technology-driven innovation. His career spans across academia, dedicated research centers as well as industrial research and incubation labs (including NUS, A*STAR, HP Labs, Visa Labs and various startups). He has extensive experience in payments analytics & processing (at extreme scale) and risk management (compromise & fraud detection and prediction).
Reshmi Khurana is Managing Director and Head of South Asia in Kroll’s Investigations and Disputes practice, based in the Singapore office. Reshmi has more than 15 years of experience in the United States as well as in South and Southeast Asia conducting complex corruption investigations, litigation support projects, and due diligence on the management, operations, and business models of organizations. Her experience includes helping clients identify and bridge gaps in internal controls and corporate governance through people, processes, and technology.
Reshmi advises a wide range of clients, such as asset management companies and banks; corporations in the mining, oil and gas, consumer packaged goods, retail, and pharmaceutical industries and law firms.
Reshmi joined Kroll in 2003 in New York, where she worked for six years. She then moved to Kroll’s Singapore office, where she oversaw the operations in Southeast Asia before joining Kroll’s Mumbai office in 2011. Recently, she has led assignments in India, Bangladesh, Sri Lanka, Nepal, Maldives, and Mauritius.
Prior to joining Kroll, Reshmi was a consultant with McKinsey & Company in India, where she advised clients on strategy and operations in the telecom, retail, and consumer packaged goods sectors. Reshmi is an Independent Director on the Board of a leading Indian retail company.
Regional Head of Financial Crime Assurance, Barclays Bank PLC
Richard in his current capacity with Barclays Bank PLC is responsible for Financial Crime 2nd line of defence Assurance ensuring that Barclay’s Asian businesses, (Corporate & Investment Banking, Wealth & Investment Banking), are in compliance with FCA and local regulatory requirements and to ensure that Asian business are updated in line with industry’s best practices. He is also responsible for the Financial Crime Intelligence Unit in APAC.
Initiatives undertaken include Big Data Analytics, Continuous Control Monitoring and Emerging Risks Scanning. He has 20 years experience covering a broad range of Compliance based roles for banks and consultancy services across Toronto, New York, London, Frankfurt, Hong Kong and Singapore. Areas covered include Sanctions, AML, KYC, Fraud, Bribery, Corruption advisory, target operating models, data analytics, systems selection, regulatory compliance health checks, and program implementation. Education includes: BA Psychology (Canada), MBA (UK), Msc Marketing (New York).
Managing Director, Wirex Asia
Seimin has 17 years’ experience in growing and nurturing business in new geographies; I'm passionate about history; you will find me mostly sipping coffee at an eccentric cafe somewhere on the globe; my favorite destinations are the Caucasus, the Atlas and the Himalaya; one surprising fact about me is I can hang in a headstand for half an hour.
Brian is co-founder and CEO of InvoiceInterchange and an advocate for alternative finance. Having worked in accounting firms and investment banking, he understands the financial constraints business owners face and how the lack of access to funding is holding back good businesses. Brian is driving innovation at InvoiceInterchange using technology to connect businesses to non-bank funds and making obtaining short-term finance online and simple for today’s businesses.
Brian has over 14 years of experience of which 8 years were with investment banks in London including Credit-Suisse, Lehman Brothers and HSBC. His focus was on asset valuations, credit risk, product profit & loss and business management with exposure to Fixed Income and Credit derivatives products.
Qualifying as a professional accountant (CPA Australia) in 2006, Brian worked on statutory and internal audits, due diligence and forensic investigations at Ernst & Young and Deloitte.
Chen Jee Meng
Country MLRO, Commerzbank
Jee Meng has been delving into financial crimes since Year 2000. I'm passionate about writing and medical forensics; you will find me mostly reading and researching new topics of interest; my favorite destination is Taiwan; one surprising fact about me is that I ended-up in Compliance, the very one area I once held in-contempt.
Chin Yong Kwek
Associate Managing Director, Investigations and Disputes, Asia Pacific, Kroll
Chin Yong Kwek is an Associate Managing Director with Kroll’s Investigations and Disputes practice, based in the Singapore office. Chin Yong has a broad skill set in the legal sector and is skilled at working with clients to address pretransaction issues such as those surrounding due diligence, business intelligence, market entry, as well as post-transaction issues such as dispute resolution, asset tracing, and investigative projects in support of litigation.
Chin Yong joined Kroll from the Financial and Technology Crimes Division of Singapore's Attorney-General's Chambers, specializing in the prosecution of complex financial crime, including corruption, fraud, market manipulation, and money laundering. He is an experienced litigator and was part of Singapore's Financial Action Task Force team, providing advice on whether Singapore's anti-money laundering and countering of terrorist financing (AML/CFT) regime was consistent with international standards. He has also advised on various other matters such as production and seizure orders under the Criminal Procedure Code, banking secrecy, and insurance-related regulatory offences.
In addition, Chin Yong spent a year with the Singapore Exchange (SGX), the primary securities and derivatives exchange in Singapore. He was attached to the department charged with regulating entities listed on the exchange and providing advice on whether listed entities were compliant. Chin Yong was also engaged with the department tasked with real-time trade monitoring conducted through the exchange, and advised on whether trades were in violation of the exchange’s rules or the local statutory laws.
CEO & Co-Founder, CoAssets
Getty has a decade of experience in Real estate investments, I'm passionate about allowing crowdfunding to be accessible for all; you will find me mostly grooming talents at CoAssets; my favorite destination is the Maldives; one surprising fact about me is I have completed a 250km extreme marathon across the Gobi desert.
VP of Engineering, Funding Societies
Ishan Agrawal is the VP of Engineering at Funding Societies, the leading digital peer-to-peer lending platform in Southeast Asia, where he helps improve access to credit for SMEs in Southeast Asia. He has worn several hats in the field of Data over the past 8 years in Singapore and Silicon Valley in Adtech, Payments, and Video on Demand companies. He was also a Data Analytics instructor at General Assembly. Ishan went to National University of Singapore and Stanford for his education in Computer Science and Business.
Head of Tech Risk & Compliance, Maecenas Fine Art
Javier Tamashiro is the Head of Technology Risk & Compliance at Maecenas Fine Art. The world’s first blockchain platform for art investment. Maecenas is set to make the fine art market more transparent and protecting investors against illegal activities and obscure practices. Prior joining Maecenas team, he worked at Credit Suisse, Standard Chartered Bank and Standard & Poor's, focusing on risk compliance and product implementation. Having now spent over 3 years advising on blockchain projects, Javier has committed his professional career to seeing this technology achieving its full potential, helping financial institutions to be regulator-ready and reduce illegal transaction processing risk. He holds a MSc. in Data Mining from the University of Tokyo, having studied as a visiting scholar at Imperial College London.
Head of Countries, luno
Vijay is Head of Countries at Luno. Prior to this, he worked at Google in roles across YouTube, Chromecast, and Adwords. Vijay also spent a number of years at PwC and Ipsos, where he ran consulting projects for private and public sector clients on engagements ranging from network security and risk management to market entry strategies. Vijay holds a degree in electrical engineering from IIT in India and an MBA from INSEAD.
Director of Sanctions Investigations, ASEAN and South Asia, Standard Chartered Bank
Dane Shelly is Director, Sanctions Investigations for ASEAN & South Asia at Standard Chartered Bank in Singapore. He has 10 years’ experience in financial intelligence and investigations with the U.S. Government, including working as a Sanctions Investigator at the Office of Foreign Assets Control (OFAC), an intelligence analyst for the U.S. Defense Department, and as a U.S. Diplomat in India.
Chief Technology Officer, JEDTrade
Ernie Teo is a tech economist with a specialization blockchain and fintech; with a keen interest in building inclusive socio-economic systems. He is Chief Technology Officer at JEDTrade, where he leads the research and development of blockchain technology for inclusive finance. Ernie is active in the blockchain community in Singapore, giving talks and seminar both in the industry and in the universities. He is also adjunct lecturer at the National University of Singapore where he teaches a course on “Blockchain and Distributed Ledger Technologies”. His last position was as a Research Scientist at the IBM Center for Blockchain Innovation. Ernie received his PhD in Economics from the University of New South Wales, Australia. He’s also held academic positions in Nanyang Technological University and Singapore Management University.
Founder and CEO, CREDITS
Igor is a founder and CEO of Credits project. It is a blockchain platform with it's own cryptocurrency and advanced smart contracts, capable of performing of performing up to 1 mil transactions per second with commission as low as $0.001.
The concept of CREDITS was created back in 2016 by Igor. He was able to attract first venture investors, contributing $200 000 in his project. The active development of the platform has begun sometime between Jan-Feb of 2017. Igor's approach is to do tasks with a help of his staff while delegating min outsourced work. His team has already gone through blockchain startup establishment: MVP, Pre-ICO, ICO, Alpha-release, listings on exchanges.
Igor started as as fintech specialist. His first projects involved creation and development of online financial services in banking and credits.
Igor is passionate about blockchain and hence heavily popularizes it. Apart of his project, he consults clients from all over the world about proper and practical implementation of such technology and related smart contracts.
Chief Compliance Officer, StashAway
Mark has over 14 years of financial services experience in North America and Asia across business/functional lines and enterprise setups, with the past half-decade focused on risk management. As much as he is constantly seeking the equilibrium between business goals and risk management objectives, he is passionate about finding balance through yoga. Other than hitting the yoga studio while in town, he tries to find time for travels and exploring new places. His favourite destination to-date is Tel Aviv, which is a vibrant FinTech hub. Despite being a risk manager, he enjoys reasonable risks in adventurous activities and has done bungee-jumping, para-gliding, para-sailing and scuba diving.
Vice President, Head of Global Regulatory Compliance, Wirecard
Royston joined Wirecard in 2017. Between 2012 to 2017, Royston was variously the Head of Legal for South East Asia and North Asia for PayPal, one of the world’s leading e-payment service providers. He was responsible for responding to all legal matters, including working closely with compliance on the interpretation and application of all local laws and regulations. He was also entrusted as an authorized signatory for the international headquarters and was separately appointed an Ethics Officer for the company.
Before PayPal, Royston was in General Electric, firstly as General Counsel of the GE Money Singapore personal and auo-financing business, where he led the Legal and Compliance team. He was subsequently elevated to the Corporate level as the Corporate Compliance Counsel for General Electric across all business lines in Asia Pacific, where he drove compliance training, policy compliance, investigations, and assisted in corporate M&A due diligence. He was charged with developing the Global New Hire Training for a workforce of about 250,000 employees.
Royston also has experience as legal counsel for DBS Bank Ltd, one of Asia’s largest banks, providing wing-to-wing legal support for the bank. In particular he advised the compliance team on mandatory sales training and mis-selling allegations. Royston also represented the bank at all consumer disputes at the industry dispute tribunal, winning all cases in which he represented the bank.
At the outset of his career, after qualifying as an attorney, Royston joined the civil service as State Counsel and Deputy Public Prosecutor, acting for the state in a wide variety of criminal matters, including capital murder and drug-trafficking cases. He also represented Singapore at the United Nations. Royston was later elevated to the bench, where as a judge he presided over criminal, civil and family cases.
Royston holds an Upper Honours degree from the National University of Singapore. He was called to the bar as Advocate and Solicitor in 2001, after chambering in Drew & Napier, one of Singapore’s top litigation firms. He previously certified with the Association of Certified Anti-Money Laundering Specialists as an Anti-Money Laundering Specialist.
Head of Legal, Shipping, Corporate Services, BW Group
Stephen Harper is the Head of Legal, Shipping based in Singapore for the BW Group. He is a member of the BW Group Anti Bribery Committee and is the Convenor of the Tanker Working Group of the Maritime Anti-Corruption Network. Stephen initially joined BW in Singapore in January 2014 as General Counsel of BW LPG.
He has over 25 years’ experience as a maritime lawyer in private practice with law firms in England and Australia in wet (Admiralty), dry and commercial shipping matters. After completion of degrees in Law & Arts at the University of Melbourne, Stephen undertook Articles of Clerkship at Mallesons in Australia. He was a Solicitor at Sinclair Roche & Temperley in London and in 1992 became a partner of Mallesons Stephen Jaques. He has extensive experience in major maritime casualty matters including KIRKI (1991), IRON BARON (1995) and WORLD DISCOVERER (2000) as well as several complex Royal Australian Navy Inquiries.
Before joining BW LPG in 2014, he was the General Counsel of Enterprises Shipping & Trading S.A. in Greece from 2011. Stephen is a serving officer with the Royal Australian Navy Reserve. He is a Director of Nordisk Skibsrederforening (Nordisk Legal Services Pte Ltd) in Singapore.
Head of Business Financial Crime Risk, RBWM ASP, HSBC
Alban’s career spans 20 years during which he moved from academia (law), to international contract negotiation, to risk management focusing on compliance and financial crime in the banking industry. He moved to banking and Asia over 10 years ago after studying and working in France, United Kingdom and Australia. He is passionate about building teams and people and spends a significant amount of his time coaching and mentoring, including with children at risk in Singapore. When he is not travelling for business or pleasure you’ll most likely find him in his kitchen. His favorite destination is anywhere with warms waters, a reef and plenty of fish. One unusual fact about him is that he embraced Singapore as his new home and became a citizen of the republic in 2013 foregoing his prior citizenship.
Director of Forensics and Investigations, Blockchain Intelligence Group
Robert Whitaker served in law enforcement for 23 years and now serves as the Director of Forensics and Investigations for Blockchain Intelligence Group. Mr. Whitaker previously served as a Supervisory Special Agent with Homeland Security Investigations (HSI) and last served in HSI's Illicit Finance and Proceeds of Crime Unit where he oversaw the Illicit Digital Economy Program (IDEP). The IDEP was responsible for overseeing cryptocurrency investigations, providing training, equipment, analytical support, and investigative methodologies needed by HSI special agents engaged in investigations involving cryptocurrencies. The IDEP maintained relationships with private industries and academia involved in the cryptocurrency space worldwide. Robert Whitaker previously served as the Resident Agent in Charge of the HSI office in Las Cruces, New Mexico, and as a Municipal Police Officer in El Paso, Texas for 8 years. Mr. Whitaker is a Certified Bitcoin Professional.
Ben established Bovill in 1999 and as Chief Executive oversees the delivery of a wide range of bespoke regulatory consultancy services to Bovill’s clients. He is very much a ‘hands on’ practitioner and is highly respected for his thorough and client focused approach.
Ben is an experienced financial services regulatory practitioner having served as a regulator, compliance officer and consultant for over twenty-five years.
Ben started his regulatory career with The Securities Association (TSA) in 1988. Following the TSA’s transition to The Securities and Futures Authority he assumed responsibility for the supervision of a wide range of investment businesses. He then spent six years as an in-house compliance officer first at IBJ and then at Standard Bank.
Alex is a partner at JunHe’s New York office. Alex has been practicing law in New York since 2003, and joined JunHe in 2011 after eight years at two leading U.S. law firms (White & Case; Vinson & Elkins).
Alex has significant experience in corporate, M&A, finance and FDI matters involving China. He also advises US clients on complying with China’s rapidly developing laws in areas such as anti-bribery, anti-monopoly, labor and employment, and national security. In addition, Alex acts as outside general counsel for many Chinese clients doing business in the U.S. (including some of China’s largest developers, banks and manufacturers) and links them with U.S. lawyers and other professionals.
Carlos Gonzalez is a seasoned trial and appellate lawyer who represents public and private corporations, financial institutions, government entities, and individual clients in white collar criminal matters and select civil matters before state and federal courts across the United States. Mr. Gonzalez has also led sensitive, internal investigations in the U.S. and abroad, most recently in Dubai, Mexico, Peru, Colombia, and the Dominican Republic
In addition, Mr. Gonzalez is an experienced appellate lawyer who has argued several precedent-setting cases before the United States Courts of Appeals for the Second and Eleventh Circuits and the Florida Supreme Court. He has also served as certiorari-stage counsel before the United States Supreme Court. His published decisions include cases involving the interpretation of various provisions of the U.S. Foreign Sovereign Immunities Act, the extraterritorial application of U.S. law, and the interpretation of several criminal statutes.
SVP, Chief Compliance Officer,Akorn
Clivetty Martinez, Ph.D., CCEP, has been recognized for showing dedication, leadership and excellence in Ethics & Compliance throughout her career. She is a seasoned professional with global compliance experience in the health care, medical device and pharmaceutical industries.
Currently the Senior Vice President, Chief Compliance Officer for Akorn, she is charged with developing and overseeing the daily compliance program's activities, driving awareness of the Code of Conduct, identifying areas of compliance risk, and guiding the efforts of the compliance teams at each location worldwide. She previously worked at Johnson & Johnson, Wyeth, and Perrigo in the compliance field. She prepared for her career by earning a Ph.D. in International Health Studies and a Master's Degree in Occupational Therapy from Duquesne University.
Dr. Martinez has numerous certifications in compliance, including a Health Care Compliance certification from Seton Hall University, a Leadership in Compliance certification from INSEAD University in France, and a CCEP certification from the Society of Corporate Compliance and Ethics.
Partner,Latimer LeVay Fyock LLC
Dan Cotter practices within a number of areas of corporate law and litigation, including insurance law, complex business disputes and counseling, employment law, corporate transactions, corporate governance and compliance, and cybersecurity and privacy law. In 2016, Dan earned his CIPP/US, a Certified Information Privacy Professional designation for the U.S. private-sector from the International Association of Privacy Professionals.
For more than 25 years, Dan has worked with the insurance industry, both as an outside adviser and in-house. He also has extensive litigation and oversight experience. He has served as counsel on IT, cyber and privacy for many organizations since the late 1990s, when he was Y2K general counsel for CNA and assisted in GLB compliance and oversight.
Dan is very active in legal and industry associations, holding various leadership roles throughout his career. Most recently, he served as president of The Chicago Bar Association. He also is an Insurance Counsel Member of the Federation of Regulatory Counsel.
Edgar Reilly is a corporate Partner based primarily in Lowis & Gellen’s Florida office representing clients in the full spectrum of financial and corporate matters. He brings a unique perspective for clients gained from his varied legal and business background spanning more than twenty-five years having worked as a commercial lender, large firm corporate attorney and lead in-house counsel.
Mr. Reilly’s extensive experience spans commercial transaction and corporate counseling in international mergers and acquisitions, domestic and international compliance in regulated and non-regulated industries, employment law (including, Union shops), real estate acquisition/financing, corporate governance and federal government contracting, including the Federal Acquisition Regulation system. At Lowis & Gellen, Mr. Reilly has represented a variety of investors, buyers and sellers in investment transactions aggregating nearly $1 Billion in enterprise value since 2015.
Global Head of Compliance,GLP
Flavio Martins Ferreira is currently the Global Head of Compliance of GLP. Before joining the GLP global team, Flavio acted as General Counsel and Chief Compliance Officer of GLP Brazil for three years (2015 to 2018). Additionally, Flavio also worked as General Counsel / CCO for Gavea Investimentos, a large private equity firm in Brazil controlled by JPMorgan & Chase (2010 to 2015). Flavio also has law firm experience with Pinheiro Neto law firm – Brazil (1999 to 2010). Flavio also holds a LL.M. degree from Cornell University, NY (Class 2008) and participated in the foreign associate program of Proskauer Rose LLP in NY (2008/2009).
Gwendolyn Lee Hassan
Managing Counsel - Global Compliance & Ethics,CNH Industrial
Gwen provides legal counsel, and has day-to-day operational responsibility, for the global compliance and ethics program for CNH Industrial, the world’s third largest capital goods maker and second largest manufacturer of farming equipment.
She has direct accountability for the company’s corruption prevention and third party due diligence programs and serves as legal counsel for the global trade compliance function including import, export (both EAR/ITAR), OFAC sanctions and anti-boycott compliance and enforcement.
Gwen’s practice also includes providing counsel on other regulatory matters and compliance strategies in international acquisitions and business combinations. She has worked on deal teams conducting due diligence reviews, developing global trade strategy, negotiating compliance terms and policies, and conducting compliance and anti-corruption training in China, India, Australia, and throughout Europe, Mexico and South America.
Global Chief Compliance Officer Retirement & Investment,Aon
James “Jim” Downing is the Global Chief Compliance Officer of Aon Plc Retirement & Investment division. Jim has 20 years of experience in Compliance in the broker dealer and investment advisory industry. Jim was previously a Chief Compliance Officer for BMO Wealth Management and an Executive Director at JP Morgan Chase where he was the head of the wealth management compliance program. Prior to Aon, Jim held other Compliance roles and was also a FINRA examiner from the Chicago District Office for 5 years. Jim has his Juris Doctorate with honors from Taft Law School and also a Masters of Accounting with honors from Roosevelt University. Jim has his series 7, 24, 27, 53, and 66 from FINRA. Jim currently serves on the Board of Directors for the National Society of Compliance Professionals and actively participates on several NSCP committees.
Jarno is a partner at Polsinelli PC in New York. Jarno’s practice focuses on privacy and data security law and data licensing. He advises technology companies, amongst other things, on the EU General Data Protection Regulation/GDPR, and coordinates global privacy compliance efforts in Asia, Europe, and Latin America. Jarno works with companies operating in location technology, connected/smart vehicles, data platforms, advertising technology, financial technology, insurance, systems integration, workforce management, and healthcare/health technology, among others. He also counsels clients on the impact of data localization laws on their business operations in Russia and China.
Director of Legal and Compliance,Eastspring Investments
Kevin Gustafson joined Eastspring Investments in August 2012 as its Chief Risk Officer / Director of Legal and Compliance for the Americas. Eastspring Investments is the Asia-based asset management group of Prudential plc, a publicly traded financial company based in the UK. Kevin is responsible for legal affairs, regulatory compliance matters, risk, and corporate governance management across the Americas for Eastspring Investments, and is Chief Risk and Chief Compliance Officer of Eastspring Investments Inc., as US registered RIA.
Executive, Deputy General Counsel,Avanade
Laurent Masson joined the Avanade Legal Group in 2011 in Chicago as a Vice-President, Global Commercial and IP lead. In his role he also managed the North America and the APAC Legal teams. In 2012, he was appointed as Senior Vice-President and Deputy General Counsel. Prior to joining Avanade, Laurent worked for Microsoft between 2003 and 2011. In 2003, Laurent moved to Istanbul to build and manage the Microsoft Legal and Corporate Affairs department in the Middle East and Africa region (80 countries for Microsoft). In March 2007 he became the Director for Anti-Piracy and Digital Crimes for Microsoft in Europe, Middle East and Africa (EMEA) and moved back to Paris. From 2000 and 2003 Laurent worked for the EMEA legal department of Arthur Andersen where he was in charge of the legal support to the consulting activities across the EMEA region. Before these in-house experiences, he worked from 1993 for law firms and patent attorneys in France (Cabinets Patrick Mollet-Viéville and Alain Bensoussan) and in Japan (Cabinet Ota & Associates) specializing himself in computer and intellectual property laws. He holds a Master degree in Private law (University of Paris - Paris II), a Master degree in industrial property (University of Paris - Paris II) and he is graduated in Finance from the Institut d’Etudes Politiques de Paris (Sec. Eco-Fi). He is a member of the Paris Bar and is also admitted in Washington State.
Nowell D. Bamberger is a partner in the litigation and white collar enforcement practice at Cleary Gottlieb Steen & Hamilton LLP, based in Washington, D.C. and Hong Kong. His practice is focused on cross-border contentious disputes matters, with a particular focus on matters for clients in the Asia/Pacific region. Mr. Bamberger’s typical assignments include representation of major international corporate and financial institution clients in a wide variety of complex matters, including bank regulatory investigations, internal investigations, and criminal investigations related to market manipulation and anti-corruption. His recent experience includes representing clients in Hong Kong, Singapore, South Korea, Japan and Malaysia, as well as handling significant U.S.-based complex litigation matters.
Managing Director and Associate General Counsel – International,Nuveen
Ross Stoeterau is Managing Director and Associate General Counsel – International with Nuveen, a multi-boutique investment manager with over $900 billion under management. Nuveen provides specialized investment solutions through its affiliates, including Nuveen Asset Management, Symphony Asset Management, NWQ Investment Management, Santa Barbara Asset Management, Winslow Capital Management, Teachers Advisers and Gresham Investment Management. Ross oversees a team with responsibility for legal and regulatory issues related to Nuveen’s product development, sales and distribution, corporate governance and regulatory affairs outside the United States. Ross holds degrees from DePaul University (BA), the University of Chicago (MA) and Northwestern University (JD), and is admitted to the Bar in both New York and Illinois.
General Counsel - North America,COFCO International
Rozan is an attorney with extensive transactional experience acquired working for international and national law firms and two international companies. He is admitted to practice law in New York, Illinois, Arizona and Missouri, and is multilingual.
Currently, Rozan works for COFCO International, a multinational agribusiness with a six-continent supply chain company, responsible for all of the legal affairs of the company in North America (USA, Canada and Mexico) – he is also a member of the management team for the North American operations.
Teri Cotton Santos
Sr. Vice President, Chief Compliance and Risk Officer,The Warranty Group
Teri Cotton Santos is an accomplished legal counsel and trusted advisor on risk mitigation, ethics and compliance, and litigation issues in highly regulated industries. Teri has represented companies before state, federal and international regulators. She also has implemented compliance program improvements to enable companies to navigate complex regulatory environments.
As the Senior Vice President, Chief Compliance and Risk Officer for The Warranty Group, a global provider of service contracts and insurance, Teri is responsible for implementing a global compliance program.
Teri previously worked for Eli Lilly and Company, where she held positions of increasing responsibility. As the Hong Kong-based, General Counsel for Lilly’s Asian Operations, Teri established an anti-bribery compliance program in the region. Teri is also a former criminal prosecutor.
Teri earned her Juris Doctorate from Washington University School of Law and Bachelor of Arts, from Wellesley College.
Partner,King & Wood Mallesons
Susan joined King & Wood Mallesons in 1995. She is a senior partner and the head of the Commercial and Regulatory Group.
Her practice includes merger control filings, antitrust investigations, compliance and antitrust litigation. Since 2003, she, together with her team, has undertaken more than 200 antitrust merger control filings on behalf of clients, mostly consisting of multinational corporations. Susan has also assisted a number of clients on confidential investigations of cartel conduct, resale price maintenance and abuse of market dominance, and has acted for Qihoo in relation to the landmark abuse of dominance case with Tencent. Meanwhile, Susan has furnished legal advice to a number of clients regarding establishing and improving their antitrust and competition compliance systems and conducting internal audits.
King & Wood Mallesons officially set up the Antitrust and Competition Group in 2006, which was one of the first Antitrust and Competition specialized practice divisions in Chinese law firms. Prior to the enactment of the Anti-Monopoly Law (AML) in 2008, Ms. Ning took a very active role in assisting and consulting with the Chinese Government on the drafting of the law. Since the enactment of the AML, she continued to be actively involved in drafting regulations and guidelines accompanying the AML. Through these consultations (and through her prior work with the Chinese Government on WTO issues), Ms. Ning built and maintained a close working relationship with the antitrust authorities in China.
Ms. Ning was also one of the earliest Chinese lawyers to practise international trade and investment law for she has been widely recognized. Ms. Ning's International Trade practice includes foreign direct investment (FDI). In 2008, Ms. Ning led the firm's Olympics legal counsel team - the firm was chosen as the sole Chinese legal counsel to the Beijing Organising Committee of the Games of the XXIX Olympiad. As head of the team, Ms. Ning provided a wide range of legal advice.
Paul Clementi - General Counsel, Government Affairs, Litigation.
Experienced Legal Executive with Fortune 100 Contracting experience in US, EU, Asia, Pacific Rim and Latin America. Experienced in Contracts, Litigation, Cyber Security, Privacy, IP, Military Sales, M&A due diligence, JV's, FCPA.
Advises Senior Management Teams, negotiates and implements contractual agreements, M&A, IP Prosecution, IP Litigation and IP Licensing, create and update International Compliance Programs and strategy.
General Counsel,EHC Global
Randall is a global legal executive and trusted advisor with 21 years of global corporate law experience. An attorney licensed in California, a UK solicitor, he served as a China/Asia Pacific Region generalist and has provided legal advice in the US and throughout the globe. His track record spans legal leadership; emerging market strategies; M&A; structuring commercial transactions; licensing; distribution relationships; FCPA & global compliance; JV est, global dispute resolution; and outside counsel management.
Currently he is the General Counsel of EHC Global, a world’s leader in the manufacture of escalator handrails and related component parts for moving walkways. In this role, Randall manages EHC’s global legal issues which includes manufacturing operations in Canada, China and Germany as well as all commercial issues spanning the globe.
Previously, as the Vice President Chief Counsel, International Legal for ConAgra Brands, Randall managed all legal affairs outside the US ($2.2Bn); with extensive work in Mexico, China, Russia and Canada; managed FCPA, M&A, all international commercial transactions, fraud & corruption compliance programs; and was a member of the International Leadership Team.
Mr. Gibson is a member of the K&L Gates’ Investment Management Group, and his practice focuses primarily on international aspects of investment management services and globally-distributed fund products. His clients include U.S. and non-U.S. investment managers, U.S. broker/dealers, hedge funds, and private equity funds, and he acts as special U.S. counsel to funds organized under the European UCITS directive. Mr. Gibson also acts as fund counsel to U.S. registered investment advisers and U.S. mutual funds registered under the Investment Company Act of 1940. He also represents companies from various industries on Investment Company Act status issues.
Mr. Gibson regularly advises U.S. and non-U.S. clients with respect to compliance with U.S. and European regulatory requirements, and advises clients on providing investment management services and selling pooled investment products on a cross-border basis. He has assisted U.S. clients as U.S. advisers, counseled U.S. managers on cross-border acquisitions of foreign asset managers, and has assisted U.S. clients with respect to compliance and various aspects of foreign laws and regulations and how they impact their business.
As a member of the firm's FinTech group, Mr. Gibson advises issuers and intermediaries (including funding portals) on the regulatory aspects of crowdfunding.
Randy Lehner is a partner at Kelley Drye. He guides his clients through the process of identifying and defending claims of misrepresentation, mismanagement and/or fraud. He conducts internal investigations that determine responsible parties and the scope of potential liability, as well as devises solutions that best meet each client’s business goals, including negotiated settlement, alternative dispute resolution and litigation options. In addition to regulatory investigations, government enforcement actions and commercial litigation, Randy is also involved in prevention-oriented advice designed to mitigate issues and problems in the future.
Randy has defended against a wide variety of SEC enforcement actions and securities lawsuits pertaining to insider trading, financial statement and quarterly reporting, conflicts of interest, investor disclosures, and misrepresentations in the sale of securities. He has also prosecuted and defended a variety of complex commercial litigation matters, including class actions and claims pertaining to trade secrets and non-competition clauses, breach of fiduciary duty, business torts, breach of contract and insurance coverage. Furthermore, Randy works with his clients to identify the causes of their legal challenges and disputes so that they can identify possible changes to their practices to prevent future investigations and claims.
MCM, AIR, MBA, Chief Audit Officer,American Agricultural Insurance Company
Kenneth M. Weine is the Chief Audit Officer at American Agricultural Insurance Company. Mr. Weine is an insurance internal audit and regulatory compliance expert. He is responsible for reporting to the audit committee and for the planning and implementation of an internal risk based audit program with the overall goal of maximizing company performance and control while minimizing risk.
Mr. Weine has conducted risk based process evaluations utilizing critical thinking to optimize operational effectiveness and efficiency and ensure regulatory compliance. He has been responsible for coordinating and overseeing Model Audit Rule compliance. Mr. Weine also monitors company level strategic planning, special projects and ERM initiatives, ensuring that internal audit plans are appropriately aligned and integrated. In addition, he has coordinated activities involving multiple teams in conjunction with annual SOC reviews, including acting as liaison with external business partners and internal clients receiving the resulting audit report.
He previously founded a national consulting firm that consulted insurers and regulators on financial and market conduct regulatory matters. His experience includes consulting on emerging and new regulations such as ORSA and the corporate governance regulations. Additionally, Mr. Weine assisted insurers on mergers and acquisitions. He also assisted companies managing their enterprise risk management process.
He has consulted on all business lines including P&C and Life/Health. Mr. Weine has advised insurers on technical issues related to key operating activities. He also assisted insurers on improving internal controls, corporate governance, and risk assessments capabilities. Additionally, he consulted on the capability maturity of company operations.
Mr. Weine has extensive examination experience including assisting insurers in undergoing examinations and demonstrating the design adequacy and operating effectiveness of internal controls and the adequate management of enterprise risk. He also trained and prepared executive management for undergoing examinations. He has helped companies reduce fines and remove findings.
Mr. Weine also has extensive experience assisting the NAIC and insurance departments. Mr. Weine assisted the NAIC’s Risk Assessment Working Group in drafting the risk-focused changes to the NAIC’s Financial Condition Examiners Handbook and co-authored the NAIC Receiver’s Handbook chapter on claims. He also assisted in changes to the Market Conduct Examiners Handbook. Mr. Weine oversaw the first risk based financial examination in the US.
Additionally, Mr. Weine advised several commissioners and the NAIC’s Life Insurance and Annuities (A) Committee, Small Face Amount Working Group on its market conduct investigation.
Mr. Weine is the Chairman of the Insurance Forum Foundation, an annual national insurance symposium featuring insurance commissioners, insurance and reinsurance company executives, accountants, risk managers, and attorneys. He is also a frequent speaker at other industry events.
Mr. Weine is a retired member of the Board of Directors for the International Association of Insurance Receivers and received his AIR accreditation from the organization. He also earned his MCM accreditation. Additionally, he is a graduate of the Six Sigma Masters program, Lean Six Sigma Green Belt, Chicago Deming Association. He is a member of the Society of Financial Examiners, IAIR, IRIS, the Institute of Internal Auditors, and the Association of Insurance Compliance Professionals.
ICA is a global professional membership and awarding body. The ICA is dedicated to the pursuit of excellence in anti-money laundering, legal and regulatory compliance, financial crime prevention and the management of regulatory risk through certificated qualifications and knowledge transfer. Working within a variety of sectors, ICA helps individuals, firms, regulatory and government institutions, across a range of geographical jurisdictions and industry sectors to develop best practice in the management of risk.
Kroll is the leading global provider of risk solutions. For more than 45 years, Kroll has helped clients make confident risk management decisions about people, assets, operations and security through a wide range of investigations, cyber security, due diligence and compliance, physical and operational security and data and information management services.
Kroll is a division of Duff & Phelps, a global advisor with nearly 3,500 professionals in 28 countries around the world. Our clients include publicly traded and privately held companies, law firms, government entities and investment organizations such as private equity firms and hedge funds. We also advise the world’s leading standard-setting bodies on valuation and governance best practices.
King & Wood Mallesons is an international law firm headquartered in Asia. As an international law firm in the world able to practice PRC(China Mainland), Hong Kong SAR , Australian, English, the US and a significant range of European laws, our presence and resources in the world’s most dynamic economies are profound. We open doors to global clients and unlock opportunities for them as they look to unleash the fullest potential of the Asian Century. Leveraging our exceptional legal expertise and depth of knowledge in the China market, we advise Chinese and overseas clients on a full range of domestic and cross-border transactions, providing comprehensive legal services.
The King & Wood Mallesons platform is able to provide its unique perspectives and market insights in Asia and greater regions. As a leading law firm developed in China, equipped with local in-depth, strong practice capabilities and extensive experience and combined with global vision and resources, KWM provides full-service, multi-jurisdiction, comprehensive, one-stop legal service and the best commercial solutions to meet the diverse needs of domestic and global clients and ensures that wherever our clients are doing business, we deliver the same high quality, commercial and innovative legal services.
King & Wood Mallesons cybersecurity and data compliance team (“KWM cybersecurity team”) is one of the first legal service team to provide professional services concerning cybersecurity and data compliance in China. As the leader and pioneer of the development in cybersecurity and data compliance industries, our team has lawyers across multiple disciplines and professionals specializing in this area.