Expert Biographies
Phillip Scanlan
Australian Consul-General, New York
Mr Phillip Scanlan AM commenced the role of Australian Consul General in New York in April 2009. His tenure in this role has since been formally extended.
Consul General Phillip Scanlan's career spans business, diplomacy, education, public policy and non-government organisation (NGO) entrepreneurship. He has more than 25 years of international experience in senior, chief executive and chairman roles with public companies - notably, in his leadership roles at Coca Cola Amatil which achieved 'best performer' status among the Australian Stock Exchange's top 30 listed companies in the early 1990s.
Bob Greifeld
Chief Executive Officer, NASDAQ OMX Group
Bob Greifeld is Chief Executive Officer of The NASDAQ OMX Group (NASDAQ: NDAQ), the world's largest exchange company. Nasdaq OMX operates 22 markets, 10 clearing houses and supplies technology to 70 exchanges around the world. At $23.9 trillion, NASDAQ OMX was the leading global exchange based on value traded in 2008.
Miranda Mizen
Principal and Director of Equities Research, TABB Group
Miranda joined TABB Group in March 2008, bringing more than 20 years’ experience in the equity trading, product management, and product strategy arenas. Her experience includes serving as Senior Vice President of Transaction Services at the American Stock Exchange, where she headed the group responsible for the functional development of the Exchange’s hybrid trading platform for equities and Exchange Traded Funds, and as a senior analyst at TowerGroup, where she authored reports focusing on technologies used by institutional brokers.
Thomas Gira
Executive Vice President, Market Regulation Department, FINRA
Thomas Gira is the Executive Vice President of FINRA’s Market Regulation Department, which provides regulatory services to 14 equities and options markets operated by 9 U.S. national securities exchanges, including NASDAQ OMX, NASDAQ OMX BX, NASDAQ OMX PHLX, the NYSE, NYSE ARCA, NYSE AMEX, Direct Edge, and the International Securities Exchange.
Eric Swanson
General Counsel, BATS Exchange
Eric is General Counsel and Secretary of BATS Global Markets, Inc., which is headquartered in Kansas City and operates equity and derivative markets in the United States and Europe. Prior to joining BATS in 2008, Eric served as Chief Counsel for regulatory strategy at Ameriprise Financial, Inc., a Fortune 500 broker-dealer and asset manager.
Maureen Jensen
Executive Director and Chief Adminstrative Officer, Ontario Securities Commission
Maureen Jensen is the Executive Director and Chief Administrative Officer of the Ontario Securities Commission (OSC), which administers and enforces securities law in the capital markets of the province of Ontario. As the senior member of staff, Ms. Jensen is responsible for coordinating and managing the day-to-day operations of the OSC, including its enforcement, market regulation and compliance functions. In addition, she provides leadership and direction in policy development and implementation, as well as strategic securities, regulatory and enforcement policy and program analysis. Ms. Jensen is also an executive sponsor of various regulatory policy initiatives.
Vanessa M. Gardiner
Director, Trade Floor Supervision, Scotia Capital Inc.
Vanessa began her career in the Securities Industry approximately 25 years ago with the Vancouver Stock Exchange.
Since her departure from the VSE she held positions as a Chief Compliance Officer in 3 separate broker dealers and most recently was the Director of Institutional Compliance at Scotia Capital Inc. Vanessa also managed a team of Investigators in Enforcement with the Investment Industry Regulatory Organization of Canada (otherwise known as IIROC) and played a significant role in the creation of the Investigative arm of the Enforcement Branch at the Mutual Fund Dealers Association of Canada (also known as the MFDA).
John Polise
Associate Director, Market Oversight
John Polise is the Associate Director, Market Oversight at the Securities and Exchange Commission. Mr. Polise oversees the inspection of all domestic equity and options exchanges and the operation of FINRA.
Mr. Polise has held Senior Positions in the SEC’s Division of Enforcement, Division of Trading and Markets and the Office of Compliance Inspections and Examinations
Peter Andrews
Head of Economics of Financial Regulation, Financial Services Authority, UK
Before joining the Securities and Investments Board (SIB), Peter Andrews held various positions in the City of London, including as Special Adviser to the Chairman of a foreign-owned bank, where he focused on legal issues arising in capital markets, and as a Senior Manager in a "big 4" accounting and consulting firm. His initial role in regulation was focused on international negotiation of capital standards, for example in IOSCO and the tripartite group of banking, securities and insurance regulators.
Prof Mike Aitken
Founder of SMARTS Group and Chief Scientist Capital Markets CRC.
Working through SMARTS Group (www.smartsgroup.com), Mike designed the world's first "off-the-shelf" surveillance software now in use at 40 national exchanges and regulators (including the London Stock Exchange, NYSE-Euronext, HK Exchanges, the Swiss Exchange and the Australian Securities Exchange) and 150 brokers across 38 countries.
Avneesh Pandey
General Manager at Securities and Exchange Board of India
Avneesh Pandey is General Manager at Securities and Exchange Board of India (SEBI, the apex securities market regulator of the country), where he is responsible for the formulation of technology related policies and the implementation of SEBI's strategic directions and innovative projects that augment its regulatory prowess.
H.E. Maryam Al Suwaidi
Deputy CEO for Licensing, Supervision & Enforcement,
Emirates Securities & Commodities Authority
H.E. Maryam Al Suwaidi holds a Masters Degree in Commercial Law from the University of Wales (U.K.). She has broad experience covering diverse environments including contributions to the Ministry of Education and Dubai Chamber of Commerce and Industry, and service as a lecturer at the Institute of Training & Judicial Studies -- Abu Dhabi. H. E. is a registered Lawyer at the UAE Ministry of Justice since1991. H.E. Al Suwaidi joined the Securities and Commodities Authority (SCA) in 2002 as the principal Legal Advisor to SCA. Currently, she is the Deputy CEO for Licensing, Supervision & Enforcement at SCA.
Frederick H.deB. Harris
John B. McKinnon Professor of Economics and Finance at the Schools of Business
Frederick H.deB. Harris (Rick) is the John B. McKinnon Professor of Economics and Finance at the Schools of Business, Wake Forest University and a frequent Visiting Professorial Fellow at the Capital Markets Cooperative Research Centre. His specialties are price discovery in financial markets and security market design as well as pricing tactics and capacity planning in product markets. He has taught integrative managerial economics Core courses and elective finance and economics B.A., B.S., M.S., M.B.A., and Ph.D. courses at Wake Forest, the University of Texas, William and Mary, the University of Virginia and at several universities in France, Germany, and Australia.
Michael Prior
Vice President
Surveillance Investment Industry Regulatory Organization of Canada (IIROC)
As Vice President, Surveillance, Mike is responsible for the development and leadership of the organization’s real-time market surveillance and trade desk compliance programs and ensuring the execution of exchanges’ timely disclosure policies across all markets over which the organization has oversight.
Lorne Chambers
Head of Sales, SMARTS Market Surveillance
With SMARTS for over 9 years, Lorne Chambers has held a number of roles in the SMARTS organization, most recently as the Global Head of Sales for SMARTS Integrity. In this capacity Lorne is responsible for sales and account management initiatives to the marketplace and regulator market segments.
Ted Myerson is the Founder and CEO of FTEN, a Nasdaq OMX Company. As CEO, Ted manages all strategic and operational functions from global business development to industry/regulatory relations to client services.Frank Hatheway
Chief Economist, NASDAQ OMX Group
Frank M. Hatheway is Chief Economist of the NASDAQ OMX Group Inc., the world’s largest exchange company, and is responsible for a variety of projects and initiatives to support the markets and improve market structure. Since joining NASDAQ OMX, he has carried out a number of studies on the role of stock markets in the economy, developed NASDAQ’s opening and closing auctions, and advised on major corporate initiative. His current projects include evaluating the impacts of regulatory reform proposals on OTC derivatives and of high frequency trading on equity markets.
Thomas Borchgrevink
Vice President Surveillance and Operations, Oslo Stock Exchange
Thomas Borchgrevink has been with Oslo Børs for 14 years. He has worked within the regulatory area throughout his entire career.
Today Thomas Borchgrevink is Head of the Surveillance and Operations department at Oslo Børs. Thomas holds a master’s degree in Finance from Bodø Graduate School of business (1995).
Mark W. Fabian
Vice President of Market Regulation at ICE Futures U.S. Inc.
Mark W. Fabian is currently the Vice President of Market Regulation at ICE Futures U.S., Inc. (formerly NYBOT), a wholly owned subsidiary of the Intercontinental Exchange (ICE). Mark joined NYBOT in October 2005. Prior to joining NYBOT, Mark was Managing Director of Futures and Foreign Exchange Compliance at Bear Stearns for two years.
Bill Nosal
Senior Managing Director, NASDAQ OMX
Bill Nosal is a Senior Managing Director for SMARTS Group and is responsible for defining strategic initiatives and developing new trading surveillance products on the SMARTS.broker platform for financial services and energy market participants.
Allen Trainer
Regional Head of Monitoring and Surveillance APAC, UBS
Allen Trainer is presently the APAC Head of Compliance and Monitoring for UBS. Previously he was the Regional Head of Monitoring, Surveillance, and Investigation (“MSI”) - Asia Pacific for Deutsche Bank AG, where he was responsible for the development and implementation of Compliance monitoring systems across the region.He has been at the forefront of developing and utilising surveillance systems to manage regulatory and reputational risk, including the monitoring of electronic communication and formal Compliance risk assessment methodology.
Matthew Fallon
Executive Director, JP Morgan
Matthew Fallon is an Executive Director for J.P. Morgan Securities Inc., responsible for managing the overall regulatory supervision program for the Cash Equities, Equity Derivate and Electronic Client Services businesses. He has been integrally involved in JP Morgan’s preparation for various industry- wide initiatives, including Regulation SHO, Regulation NMS, SEC 15c35 and other market structure changes.
Edward S. Knight
Executive Vice President, General Counsel & Chief Regulatory Officer,
The NASDAQ OMX Group, Inc.
Edward Knight is Executive Vice President and General Counsel of the NASDAQ OMX Group (NASDAQ: NDAQ), the world's largest exchange. Mr. Knight served as the Chief Legal Officer of the National Association of Securities Dealers (NASD, now FINRA) from June 1999 until becoming NASDAQ General Counsel in 2001. In his role as General Counsel, Knight is responsible for providing legal counsel to senior management and for overseeing the quality of legal services across the global organization.
Graham Jordi
Vice President and Head of the SMARTS Group.
He provides leadership and direction for the SMARTS Broker and Market Surveillance business units. His general management responsibilities include leading a team of talented financial and technical professionals, driving product and business development, and maintaining the installed customer base.
Magnus Billing
Chief Counsel, NASDAQ OMX European markets
Magnus Billing is Chief Legal Counsel and Senior Vice President at NASDAQ OMX and responsible for the legal unit and the market surveillance unit within Europe. NASDAQ OMX has exchange,clearing and settlement operations in nine European countries. Prior to the merger with NASDAQ he held the position as General Counsel of OMX. Magnus has been working in the exchange industry for the past 10 years. He holds a degree in law from the Stockholm University.
Greg Yanco
Regional Commissioner NSW and Senior Executive,
Market and Participant Supervision,
Australian Securities and Investments Commission
Greg Yanco is Senior Executive Leader of Market & Participant Supervision and Regional Commissioner for NSW. The Market & Participant Supervision team has responsibility for overseeing compliance by market participants with licence conditions, market integrity rules and for market surveillance.
Andrew Harris
Head of Compliance Monitoring EMEA, Deutsche Bank
Andrew Harris is the Head of Compliance Enquiries and Assurance for Deutsche Bank's EMEA region, responsible for the Compliance monitoring programme and for managing and coordinating regulatory enquiries, investigations and inspections. Since joining Deutsche Bank in 2004, Andrew has overseen the development of a group-wide compliance risk assessment framework, implemented trade and communications surveillance systems and is currently developing a new approach for systematic risk-based compliance reviews.
Prof Dr Peter Gomber
Frankfurt University
Prof. Dr. Peter Gomber holds the Chair of e-Finance at the Faculty of Economics and Business Administration, University of Frankfurt since December 2004. He is Co-Chair and Member of the Board of the E-Finance Lab, a co-operation between the Universities of Frankfurt and Darmstadt and a network of industry partners from financial services. In the E-Finance Lab, he manages the research layer „Electronic Financial Markets and Market Infrastructures".