5th Annual Global Exchange Leader Conference
Thursday, October 04, 2012

Mark Adams

Australian Securities & Investments Commission

Mark Adams, Senior Executive Leader of Exchange Market Operations

Mark Adams is Special Adviser, Research, Strategy and Risk, Ontario Securities Commission. Mark is a senior executive on secondment from the Australian Securities & Investments Commission (ASIC) to the OSC from May 2012 to November 2013. Mark's role is to assist the OSC in implementing strategic change and to provide strategic advice. He is responsible for the OSC's work to enhance its research capability; to put in place an improved OSC policy prioritization and coordination framework; and to refresh the OSC's risk assessment framework with a focus on dealing with emerging risk.

Mark's most recent role at ASIC was as Senior Executive Leader, Exchange Market Operators, Australian Securities & Investments Commission. Mark's responsibilities included oversight of Australia's providers of financial market infrastructure and to implement market reforms such as transfer of market supervision from the Australian Securities Exchange to ASIC and to introduce competition in trading platforms in Australia. Mark has worked at ASIC over 15 years where he also led the Regulatory Policy and Research Branch and the International Strategy Branch. Prior to working at ASIC, Mark was a corporate lawyer.

Mark Helmsley

BATS Chi-X Europe

Mark Hemsley, Chief Executive Officer

 

Mark Hemsley is chief executive officer of BATS Chi-X Europe, operator of the largest pan-European equities market and the European arm of BATS Global Markets. Under his leadership, BATS Chi-X Europe and its predecessor company, BATS Europe, emerged as a European leader in market structure, technology and innovation.

After BATS Global Markets acquired Chi-X Europe in November 2011, Mr. Hemsley became CEO of the combined BATS Chi-X Europe organisation. In the span of five months, he and his team launched the first full interoperable clearing service offered by a trading venue and successfully integrated the BATS Europe and Chi-X Europe MTFs, capped by the seamless move of Chi-X Europe’s trading books to BATS’ technology platform.

During his tenure at BATS, he and his team have received numerous awards, including the “Financial News 100 Most Influential” ranking in the top five in the market structure category. Mr. Hemsley also contributes his market structure expertise as a member of the European Securities and Markets Authority (ESMA) Secondary Markets Standing Committee providing consultation on the impact of market structure changes and ESMA policy development.

Before joining BATS, Mr. Hemsley was managing director and chief information officer at LIFFE, running its Market Solutions group. At LIFFE from 2001-2004, he won major contracts with top exchanges and transformed the technology organization to capture greater revenue from its exchange businesses. A LIFFE board member, he was also heavily involved in the sale of LIFFE to Euronext, the predecessor company to NYSE Euronext.

Previously, Mr. Hemsley was a managing director of global technology - serving as chief operating officer and a CIO - during his tenure at Deutsche Bank GCI, the investment bank. With that company, he managed teams of professionals in Frankfurt, London, New York, Singapore, Sydney and Tokyo, while working closely with the firm's trading operations. His previous positions included time as a vice president at Credit Suisse First Boston, where he was global head of foreign exchange technology, and a stint as CIO at Natwest Capital Markets.

Joe Ratterman

BATS Global Markets

Joe Ratterman, CEO

Joe Ratterman is president and chief executive officer of BATS Global Markets, the parent company of BATS Exchange, BATS Options and BATS Chi-X Europe with offices in Kansas City, New York and London. He joined BATS as a founding employee in 2005 and initially served as executive vice president and chief operating officer until assuming the CEO post in June 2007.

Under Mr. Ratterman’s leadership, BATS Exchange has grown to become the world’s third-largest stock exchange and BATS Chi-X Europe has become the largest stock market in all of Europe. As a market structure expert, he is a frequent panelist and presenter at industry conferences, and also opines on key topics and events via newsletters to the industry.

In 2012, Mr. Ratterman was recognized by Institutional Investor as a leader in the industry for the fifth consecutive year, being named as part of the magazine’s annual "Tech 50" list. Previously, he was one of the four national finalists in the Financial Services category for the 2010 Ernst & Young Entrepreneur of the Year® award, celebrating the most influential and innovative entrepreneurs from around the globe. Also, under Mr. Ratterman, BATS has annually been recognized by the Kansas City Business Journal as one of the best places to work in Kansas City.

Prior to joining BATS, Mr. Ratterman was vice president of business development at Tradebot Systems and chief information officer at LabOne, the Lenexa, Kansas based health screening and diagnostic testing company now owned by Quest Diagnostics. Before joining LabOne, he was chief technology officer at Bridge Information Systems and Reuters, where he was employed from 1990 to 2002.

An accomplished water skier, rock climber, professional photographer, and instrument-rated commercial pilot, Mr. Ratterman holds a degree in mathematics and computer science from Central Missouri State University, as well as Series 7, 24, 27, 55 and 66 licenses. He is also active in the local community as a member of the Kansas City Public Library Technology Advisory Board and the Angel Flight Central Board of Directors.

Cicero Vieira

BM&F Bovespa

Cicero Vieira, COO

 

Ph.D. in Economics from University of São Paulo (FEA), Mr. Vieira Neto is COO of BM&FBOVESPA (BVMF), responsible for operations, BVMF Settlement Bank and IT. He held the position of BM&F Chief Clearinghouse Officer. He was also head of the Risk Management Department at BM&F and at Matrix Bank, where he was responsible for the risk management of the bank’s treasury department and the investment funds managed by Matrix DTVM.

Ashish Chauvan

Bombay Stock Exchange

Ashish Chauhan, CEO

Ashish (44) works as the interim CEO of the Bombay Stock Exchange (BSE), Asia’s first stock exchange. BSE is ranked 1st in the world in terms of number of stocks listed, 5th in the world in terms of number of trades per day and 9th in the world in terms of market capitalization.

In addition, Ashish serves as the Managing Director of Indian Clearing Corporations Limited (ICCL), a 100% subsidiary of the BSE.

Ashish also serves on the Board of Directors of Central Depository Services Limited (CDSL), United Stock Exchange of India Limited (USE), Bank of India Shareholding Limited (BOISL), BSE Training Institute Limited (BTI) and Marketplace Technologies Limited.

Ashish was part of the 5 member team which set up National Stock Exchange (NSE) and worked with NSE from 1993-2000.

Ashish set up and operated NSE’s equities and derivatives markets from 1994 to 2000. NSE is India’s largest exchange by value of trades, number of trades and has a lion’s share in Indian exchange traded derivatives market. His work at NSE, involved market operations, membership, clearing and settlement, surveillance, regulations, sales, marketing, IT etc. Due to his work in setting up modern exchange traded financial derivatives in Indian markets at NSE from 1995 onwards, he is known as the ‘Father of Derivatives’ in Indian markets. He was instrumental in creating NSE-50 (Nifty), the most traded index in derivatives in India, NSE’s certification in Financial Markets (NCFM), IPO through screen and several other innovations in the Indian markets. In addition, he was instrumental in setting up initial Information Technology infrastructure including the first commercial satellite telecom network in India for NSE. He set up India’s first commercial satellite telecom network in 1994. He was also involved in conceptualisation of National Securities Clearing Corporation (NSCCL) and National Securities Depository Limited (NSDL).

From 2000-2009, Ashish worked as the Group Chief Information Officer (CIO) of the Reliance group. Reliance group is India’s largest business house with turnover in excess of US $ 35 billions. In addition to his responsibilities at Reliance Industries Limited (RIL, the flagship company of Reliance group), Ashish was involved in setting up Information Technology for Reliance Communications, Reliance Retail, Reliance Oil and Gas, Reliance Life Sciences and several other businesses within Reliance group. Ashish was ranked amongst the top 50 CIOs in the world by several magazines and institutions from 2005-2009. At BSE, Ashish has been responsible to bring the mobile based stock trading in India. In addition, he has been responsible for introducing delivery based derivatives, real time cross margining, web based IPO, web based mutual fund distribution framework, cloud based order routing services to members and their customers and several other innovations.

Ashish has won several International and Indian awards in providing the best IT solutions for different industries he has worked for including stock markets, petrochemicals, telecommunications etc. He also worked as the Head of Corporate Communications from 2005 to 2008 for Reliance group In addition, as a part of his responsibilities within Reliance group, Ashish served as the CEO of Mumbai Indians, a cricket team with legends such as Sachin Tendulkar, Zaheer Khan, Harbhajan Singh, Sanath Jayasuriya, Lasith Malinga and Dwayne Bravo.

Ashish started his career with Industrial Development Bank of India (IDBI) as a Project Finance Officer (1991-93).

Ashish holds a B Tech in Mechanical Engineering from IIT Bombay (1989) and MBA from IIM Calcutta (1991).

Ashish has served on several government and regulatory committees on pro-bono basis. Currently, he serves on Central Board of Direct Taxes (CBDT), PNG on Information Technology, Securities and Exchange Board of India (SEBI)’s Primary Market Advisory Committee(PMAC) and Forward Markets Commission (FMC)’s Risk Management Advisory Committee amongst others.

Ashish is a member of the Board of Governors of the Indian Institute of Information Technology, Design and Manufacturing (IIITDM), Jabalpur.

Ashish teaches finance, use of Information technology and several other subjects at universities in India and abroad. He has spoken at important international and Indian industry events on various topics of interest.

Ashish has made contributions to many books, newspapers, magazines and journals on the subject of Information technology, market microstructure, financial sector policies, automation of markets, creation of indices etc. He and his writings are widely quoted in magazines, academic journals and trade journals in India and abroad.

Bill Brodsky

CBOE Holdings

Bill Brodsky, CEO

William J. Brodsky is Chairman and Chief Executive Officer of CBOE Holdings, Inc. and the Chicago Board Options Exchange.

As Chairman and CEO of CBOE since 1997, Brodsky has overseen a period of tremendous growth as well as product and technological innovation at the exchange. He serves as the options industry's leading advocate in shaping market policy and regulation. In June 2010, he guided CBOE through its demutualization, whereby the exchange converted its business model from a membership organization to a for-profit public corporation, and the initial public offering of CBOE Holdings, Inc. stock.

In October 2008, Brodsky was the first leader of a derivatives exchange to be named as Chairman of the World Federation of Exchanges (WFE) and served in that capacity for 2009 and 2010. He previously served as Vice Chairman of the WFE from 2007 to 2008.

Prior to joining CBOE, Brodsky served for 15 years at Chicago Mercantile Exchange (CME), where he oversaw the launch of the CME Globex trading system and played a pivotal role in the development and globalization of stock index futures. He joined CME in 1982 as Executive Vice President and Chief Operating Officer and, in 1985, was named President and Chief Executive Officer, a post he held until joining CBOE in February 1997.

Brodsky began his career as an attorney in the securities industry with the firm of Model, Roland and Company in 1968. In 1974, he joined the American Stock Exchange (AMEX) where he became head of options trading in 1976 and served as Executive Vice President for operations between 1979 and 1982. He also served for seven years as the AMEX representative on the board of The Options Clearing Corporation.

Brodsky serves as a director of Integrys Energy Group, Inc, an S&P 500 company, and is chair of the Board of Directors of Northwestern Memorial Hospital. He is a member of the Federal Reserve Bank of New York's International Advisory Committee, the Council on Foreign Relations in New York City, and the Executive Committee of the Commercial Club of Chicago. He is also the former chairman of the International Options Markets Association (IOMA).

He serves on the Kellogg School of Management Advisory Council and as a trustee of Syracuse University. Brodsky holds an A.B. degree and a J.D. degree from Syracuse University and is a member of the Bar in Illinois and New York.

Ken Griffin

Citadel LLC

Ken Griffin, Founder/CEO

Kenneth C. Griffin is the Founder and Chief Executive Officer of Citadel, one of the world’s largest alternative asset managers and securities dealers.

Citadel Asset Management manages a number of hedge funds engaged in alternative investment strategies. Citadel Securities serves as a financial advisor to corporations, and is one of the largest liquidity providers in equity and fixed income securities. Established in 1990, Citadel has more than 1,100 team members in the world’s major financial centers, including Chicago, New York, London, Hong Kong, San Francisco and Boston.

Mr. Griffin is an active supporter of causes that drive community improvement, and he serves on the Board of Directors of the Chicago Public Education Fund. He and his wife founded The Kenneth and Anne Griffin Foundation in 2009, which invests in high impact education, health and civic initiatives. Mr. Griffin is also a member of the Board of Trustees for the Art Institute of Chicago and the Museum of Contemporary Art.

Within the business community, Mr. Griffin is a member of numerous organizations including the World Economic Forum, G100, the Economic Club of Chicago and the Civic Committee of the Commercial Club of Chicago.

Mr. Griffin received a bachelor's degree from Harvard College.

Tal Cohen

Chi-X Global

Tal Cohen, CEO

Tal Cohen is Chief Executive Officer of Chi-X Global Inc. Mr. Cohen previously served as CEO of Chi-X Global’s Americas business, which includes the profitable Chi-X Canada and the BVMF joint venture, Chi-FX Brazil. For nearly ten years prior to moving to Chi-X Global, Mr. Cohen held a variety of senior roles with Instinet, including Head of Instinet Canada Limited, Head of U.S. Business Development and Strategy and multiple global product management positions.

Before joining Instinet, Mr. Cohen served as M&A Manager at American Express and before that Senior Business Advisor at Arthur Andersen. Mr. Cohen holds a B.A. from SUNY Albany and an M.B.A. from New York University’s Stern School of Business and is a Certified Public Accountant.

John Nagel

Citadel Securities

John Nagel, General Counsel

 

John Nagel is the General Counsel of Citadel Securities. In this role, he oversees the Citadel Securities legal and compliance team. Mr. Nagel is also Deputy General Counsel of Citadel LLC and, in that capacity, focuses on trading and investment related regulatory and compliance matters. Before joining Citadel in 2004, Mr. Nagel was a member of the securities regulatory group at Wilmer, Cutler & Pickering (now known as WilmerHale). Previously, he was a law clerk for the Honorable Walter K. Stapleton on the United States Court of Appeals.

Mr. Nagel is a member of the Managed Funds Association Market Regulation Committee, and a member of the Board of Directors of the Boston Options Exchange, a national securities exchange that specializes in electronic trading of listed equity options.

Mr. Nagel holds a bachelor’s degree in physics from Dartmouth College and a law degree from Duke University.

Laurent Paulhac

CME Group

Laurent Paulhac, Senior Managing Director, Financial & OTC Products

Laurent Paulhac has served as Senior Managing Director, Financial and Over-the-Counter (OTC) Products & Services since June 2012. He is responsible for leading the development, execution and management of CME Group's global financial product suite and OTC business strategy. Previously, he served as Senior Managing Director, Over-the-Counter (OTC) Products & Services since September 2009.

Before joining CME Group, Paulhac served as Chief Executive Officer of CMA, a leading provider of credit derivatives market data acquired by CME Group in 2008. Prior to joining CMA, Paulhac provided management consulting services for venture capital groups and technology companies looking to expand their businesses in financial services. In 1999, he founded Prescient Markets Inc., an electronic execution business focused on money market instruments in the U.S., servicing over 400 leading institutions. In 2002, Prescient Markets was acquired by SunGard Data Systems, and Paulhac served as President of SunGard's STN Money Markets division until 2004. Paulhac also has served as a Principal of Financial Sciences Corporation, a software company dedicated to providing treasury management systems to global banks and corporations.

He holds a bachelor's degree in computer science from Columbia University.

Gregor Pottmeyer

Deutsche Börse Group

Gregor Pottmeyer, CFO

Gregor Pottmeyer is Chief Financial Officer and Member of the Executive Board of Deutsche Börse AG. In his current role since 2009, Mr. Pottmeyer oversees the Group’s accounting & cntrolling and strategic finance, human resources, treasury & investor relations and risk & compliance functions. Previously, he spent 18 years in finance roles of increasing responsibility at Daimler AG.

From 2005 to 2009, Mr. Pottmeyer served as a Board Member at Mercedes-Benz Bank AG, a unit within Daimler’s banking services division. There he was responsible for finance and risk management, as well as finance and controlling for the major European financing companies in Europe, Africa and the Asia-Pacific. Before that he was a board member responsible for risk management and finance at DaimlerChrysler Bank AG from 2002 to 2005. Between 1993 and 2001, Mr. Pottmeyer held several positions at Mercedes-Benz Finance GmbH, first joining the company as a Senior Project Manager and ending as Managing Director of Controlling/Accounting.

Mr. Pottmeyer holds a graduate degree in Business Administration from Saarland University in Saarbruecken, Germany.

Bill O’Brien

Direct Edge

Bill O’Brien, CEO

William O'Brien is Chief Executive Officer of Direct Edge, one of the leading stock exchange operators in the United States and globally. Prior to his appointment to Direct Edge in July 2007, Mr. O'Brien was Senior Vice President at The NASDAQ Stock Market, having held senior management positions in NASDAQ’s New Listings and Market Data units.

He joined NASDAQ in 2004 from Brut, LLC, where he had been Chief Operating Officer since 2002, helping lead the company through a period of significant growth and its acquisition by NASDAQ. He originally joined Brut as Senior Vice President and General Counsel in 2000. Mr. O'Brien was an attorney in the Legal Department of Goldman Sachs from 1998 to 2000 and at Orrick LLP from 1995 to 1998. He has a B.A. from the University of Notre Dame and a J.D. from the University of Pennsylvania School of Law.

Donald Wilson

DRW Trading Group

Donald Wilson, CEO

Donald R. Wilson, Jr. founded DRW Trading Group (DRW) in 1992. He began his trading career as a local in the Eurodollar options pit at the Chicago Mercantile Exchange (CME). In the initial years, DRW focused primarily on exchange-traded fixed-income futures and options.

Since then, Mr. Wilson has overseen the growth of DRW to a global firm employing over 400 people. With offices in Chicago, New York and London, DRW Trading Group is a leading market participant in futures, options and securities across several asset classes on exchanges throughout the United States and Europe.

Over the years, Mr. Wilson has actively participated in industry matters. Currently, he serves on the board of the Futures Industry Association (FIA). Additionally, he serves as a member of the Commodity Futures Trading Commission’s (CFTC) Global Markers Advisory Committee and is the Chairman of the Principal Trading Group Division of the Futures Industry Association.

In 2007, Mr. Wilson was named to Crain’s Chicago Business’ “Forty Under Forty” List. Currently, he serves as a board member of the Children’s Memorial Hospital Foundation. Additionally, an avid competitive sailor, Mr. Wilson is the founder of the Chicago Match Race Center and is a member of the Chicago and New York Yacht Clubs. He graduated with honors from the University of Chicago with a B.A. in Economics in 1988. Mr. Wilson resides in Chicago with his wife and four children.

Peter Randall

Equiduct

Peter Randall, CEO

Peter Randall is the Chief Executive of Equiduct Systems Ltd. Peter started his career in investment research and was named a leading analyst by Euromoney when he was at James Capel. He spent an extended time in Asia with the joint venture between Sanford Bernstein and James Capel where he was responsible for quantitative sales, after this he became the MD of Thamesway and then CEO of Instinet in Asia. Peter relocated to Instinet Europe in 2005 and was responsible for delivering the MiFID compliant Chi-X platform. He latterly served as CEO of Chi-X Europe Limited. Peter has been on a number of regulatory committees and was educated at the London School of Economics and the University of Oxford.

Dr. Kay Swinburne

European Parliament

Dr. Kay Swinburne, Member

Dr Swinburne was elected as Conservative MEP for Wales in July 2009. Her academic qualifications include a degree in Biochemistry and Microbiology followed by a Ph.D. in medical research and an MBA. A successful career in investment banking has given her in-depth knowledge of the global financial markets, specialising in advisory work for pharmaceutical and biotechnology companies, including M& A, venture capital investments, mezzanine financing and IPOs.

This, combined with her experience advising businesses in Europe and the US, led to her appointment as Coordinator of the Economic and Monetary Affairs Committee for the Conservative and Reformist Grouping in the European Parliament, as well as UK Conservative Spokesman.

Remco Lenterman

FIA European Principal Traders Association

Remco Lenterman, Chairman

Remco is Managing Director at IMC Financial Markets and is responsible for Global Corporate Development and market Structure. In this capacity, Remco is responsible for all relationships with exchanges, clearing organizations and platforms as well as all strategic initiatives that the firm undertakes in the various regions that they are active in. IMC Financial Markets is a leading proprietary trading and market making firm employing close to 600 people with offices in Chicago, Amsterdam, Zug, Hong Kong and Sydney.

Prior to assuming this role at IMC, Remco spent 16 years at Goldman Sachs as Managing Director responsible for Pan European Equity trading and 4 years as Managing Director at Kempen & Co, responsible for Securities.

Tom Gira

FINRA

Tom Gira, EVP

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. Market Regulation also regulates Trade Reporting Facilities, FINRA’s Alternative Display Facility, the over-the-counter market, and corporate and municipal bonds. Market Regulation conducts surveillance for, among other rules, best execution, trade reporting, OATS, Regulation NMS, short sales, mark-ups/downs, manipulation, Regulation M, order handling and other rules. Before joining FINRA, Mr. Gira was an Associate General Counsel of The NASDAQ Stock Market, Inc. Prior to that, he was Branch Chief for Options and Derivative Products Regulation within the Division of Market Regulation at the SEC. Mr. Gira is a graduate of Wake Forest University, where he received a bachelor’s degree in economics. He received his J.D. from the University of Maryland.

Daniel Coleman

GETCO LLC

Daniel Coleman, CEO

Daniel Coleman is chief executive officer of GETCO, responsible for managing day-to-day operations and leading the strategic direction of the firm. Daniel has more than 25 years of professional experience in trading and financial services, including senior leadership roles at UBS.

Daniel joined GETCO in 2010. His most recent roles were global head of equities and global head of client services. As global head of equities, Daniel led initiatives to enhance the firm’s core market making business. As global head of client services, Daniel oversaw the expansion of GETCO’s product offerings in the U.S. and abroad.

GETCO is a global market maker in the Fixed Income, FX, Equities and Commodities asset classes. The firm’s primary business involves both buying and selling securities to provide two-sided markets on exchanges around the world. As a global market maker, GETCO plays a critical role in helping to lower the cost of capital for businesses and in reducing trading costs for investors.

Prior to joining GETCO, Daniel spent 24 years with UBS and its predecessor firms. Daniel served as global head of equities for UBS and was a member of the Investment Bank’s Executive Committee and the Group Managing Board. In addition, he served on the boards of NASDAQ, OCC and BOX. Daniel began his career at O’Connor & Associates, a market-making firm focused on equity options. Daniel holds a B.A. from Yale University and an M.B.A. from the University of Chicago.

Christopher Giancarlo

GFI Group Inc.

J. Christopher Giancarlo, Executive Vice President

 

Mr. Giancarlo is Executive Vice President of GFI Group Inc. (NYSE: GFIG), a leading provider of wholesale brokerage, clearing services, electronic execution and trading support products for global financial markets. Mr. Giancarlo is responsible for GFI’s global strategy and communications, including mergers and acquisitions, equity finance, investment banking, strategy development, analyst communications and investor and government relations.

Mr. Giancarlo is also Chairman and a founding board member of the Wholesale Markets Brokers Association, Americas (WMBA). The WMBA is an independent industry body representing the largest inter-dealer brokers (IDBs) operating in the North American wholesale markets across a broad range of financial products.

Prior to joining GFI, Mr. Giancarlo was Executive Vice President and US Legal Counsel of Fenics Software, a developer of financial analytics tools. From September 1997 to April 2000, Mr. Giancarlo was a Partner in the New York law firm of Brown Raysman Millstein Felder & Steiner, LLP, where he advised global technology businesses on corporate and finance transactions.

Mr. Giancarlo holds a J.D. degree from Vanderbilt University Law School (1984) and B.A, Phi Beta Kappa from Skidmore College (1981). He is a member of the Bar of the State of New York. Mr. Giancarlo is a member of the Leadership Board of the Center for Capital Markets Competitiveness of the US Chamber of Commerce. Mr. Giancarlo was the Co-Editor-in-Chief, eSecurities, Trading and Regulation on the Internet, (Leader Publications) and has written and spoken extensively on public policy, legal and other matters concerning technology and the financial markets. Mr. Giancarlo has testified before the US Congress and Federal regulatory agencies on implementation of the Dodd Frank Act.

Romnesh Lamba

Hong Kong Exchanges & Clearing

Romnesh Lamba, EVP Market Development

Mr Lamba joined HKEx in February 2010 as EVP and Head of Market Development. He is also a member of the HKEx Senior Management Committee. Mr Lamba’s role is to spearhead HKEx’s strategy and development initiatives under the Market Development Division. The Market Development Division focuses on capturing future China opportunities in both primary and secondary markets, broadening HKEx’s international issuer base, assessing new product and Information Technology development concepts and enhancing the competitiveness of HKEx’s market structure and market systems. In 2012, Mr. Lamba and his team were instrumental in leading HKEx’s acquisition of the London Metal Exchange. Mr. Lamba has also been representing HKEx in regular discussions with the company’s institutional shareholders and the investor community.

Mr Lamba has 27 years of experience in the financial services industry. He worked in the US for nine years before moving to Hong Kong in 1994. Since November 2008, Mr Lamba was a Senior Advisor to JP Morgan’s Asia ex-Japan Investment Banking and Capital Markets business, with strategic and operating responsibilities. He has also worked at Merrill Lynch Asia Pacific for eight years as a Managing Director, where he led the firm’s regional Energy and Power investment banking group and served as the Chief Operating Officer of the firm’s China Origination business. At Merrill Lynch, Mr Lamba was involved in several landmark listings of Mainland enterprises in Hong Kong. Mr Lamba holds Master of Business Administration and Bachelor of Science in Economics degrees from The Wharton School of the University of Pennsylvania in the US.

Tom Farley

IntercontinentalExchange

Tom Farley, SVP Financial Markets

Tom Farley is Senior Vice President of Financial Markets of Intercontinental Exchange (NYSE:ICE). In this role, he oversees the development of initiatives within ICE’s OTC financial markets, such as Creditex, ICELink, YellowJacket and FX. Mr. Farley joined ICE in 2007 and previously held the role of President and COO of ICE Futures U.S.

Previous to joining ICE, Mr. Farley was President of SunGard Kiodex, a risk management technology provider to the commodity derivatives markets. Before becoming President of SunGard Kiodex, Mr. Farley served as the business unit’s Chief Financial Officer and Chief Operating Officer. Mr. Farley has also held various positions in investment banking at Montgomery Securities and private equity at Gryphon Investors.

Mr. Farley holds a Bachelor of Arts degree in Political Science from Georgetown University and is a Chartered Financial Analyst.

Daniel Maguire

LCH.Clearnet

Daniel Maguire, Head of SwapClear US

Daniel Maguire is responsible for leading the development of interest rate swap clearing in the U.S. for LCH.Clearnet Ltd.

In addition to his US responsibilities Daniel is responsible for product and business development for SwapClear and, until recently, he was Chair of the SwapClear Default Management Group and the Risk Working Group, as the Head of Product, Risk & Operations for SwapClear. Following the default of Lehman Brothers’, Daniel was responsible for the fixed income (RepoClear) default management close out, actively trading, hedging and transferring the Lehman Brothers’ RepoClear portfolio within the defaulter’s initial margin held.

Daniel has 11 years of risk management experience. He first joined LCH.Clearnet in 1999. During this time he was responsible for the implementation and subsequent extension of the end-to-end SwapClear service, primarily focussing on the risk management and default management aspects of the service including implementing the SwapClear initial margin algorithm (PAIRS), curve construction and valuation. Daniel was also a key member of the original SwapClear Default Management Group and the design and implementation of the end-to-end default management process. In addition he had responsibility for the risk management of the fixed income business and the quantitative risk management team.

Daniel moved to JPMorgan Chase in 2005 assuming full responsibility for the build out and implementation of the e2e infrastructure (trade execution through to settlement), for the Global Commodity Exotics & Hybrids business. During this time Daniel oversaw multi-entity portfolio migrations and technology re-platforming, across trading, deal review, P&L, market and credit risk, trade capture, settlement, confirmations and financial control; ownership of new product and new business initiative roll out; reengineering of trade execution process and technology; and overseeing the implementation of a global e2e support and control function facilitating the business’ expansion in to North America and Asia. He re-joined LCH.Clearnet in 2008.

Jeffrey Estella

MFS Investment Management

Jeffrey Estella, Investment Officer/Senior Equity Trader

Jeff Estella is an Investment Officer and Senior Equity Trader at MFS Investment Management ® (MFS®).

Jeff joined MFS in 1999 as an equity trader responsible for the Large Capitalization Growth Team. Prior to joining MFS, Jeff worked at Putnam Investments for eight years, where he started in the sales company and transitioned into a role as vice president and equity trader responsible for part of the Value Team.

He earned a Bachelor of Science degree from Merrimack College. He serves on the NYSE Institutional Traders Advisory Committee, the ICI Equity Markets Advisory Committee, and is a Board Member of the National Organization of Investment Professionals.

Lee Shavel

Nasdaq OMX

Lee Shavel, CFO

Lee Shavel is Chief Financial Officer and Executive Vice President, Corporate Strategy at NASDAQ OMX Group, Inc. (NASDAQ: NDAQ). Mr. Shavel is responsible for all aspects of financial management at NASDAQ OMX including accounting, financial planning and analysis, investor relations, treasury, internal reporting, corporate operations and risk management. In addition, Mr. Shavel oversees Corporate Strategy, working with Mr. Greifeld and the EVPs to define NASDAQ’s strategic direction, identify business and corporate opportunities and execute M&A transactions. He has worked extensively with the senior management team at NASDAQ for the past seven years in his prior role as their investment banker on many strategic and financing transactions.

Mr. Shavel joined NASDAQ OMX in May 2011 after 18 years at Bank of America Merrill Lynch where he was Americas Head of Financial Institutions Investment Banking and prior to that Global Chief Operating Officer and Head of Finance, Securities and Technology in the Financial Institutions Group. During that time, Mr. Shavel established and developed the Specialty Finance Group at Merrill Lynch, focusing on emerging high growth financial services companies. He worked intensively in the Securities and Exchange sector where he advised on many of the significant transactions in the sector including the IPOs of NASDAQ, Archipelago, Instinet, the New York Mercantile Exchange (NYMEX), the International Securities Exchange (ISE) and provided M&A advice on the sale of ISE to Deutsche Borse, the sale of NYMEX to CME Group, the merger of Archipelago and REDIBook and the acquisitions of INET and BRUT by NASDAQ. He joined Merrill Lynch & Co. in 1993 after four years at Citicorp in Financial Institutions.

Mr. Shavel graduated with honors from the University of Pennsylvania in 1989 with a B.S. in Economics from the Wharton School of Finance and a B.A. in English. He lives in Summit, New Jersey with his wife and three children and is originally from Western Pennsylvania.

Roland Bellegarde

NYSE Euronext

Roland Bellegarde, Group Executive Vice President & Head of EU Equities

 

Roland BELLEGARDE (51) is head of European Equities for NYSE Euronext, one of the world’s largest and most diversified exchange groups. In this role, he oversees secondary market activity for equities, equity derivatives, ETFs, funds, warrants and certificates.

Roland has been at the forefront of the transformation of the stock exchange industry. He led the automation of the Bourse de Paris and played a leading role in merging the French derivatives and cash markets. By spearheading the implementation of a single platform and rule book, he was central to the development of Europe’s first pan-European market, Euronext, created through the merger with the Dutch, Belgian and Portuguese stock exchanges. Following the merger between NYSE and Euronext in 2007, he was appointed to the Management Committee and named Group EVP.

He is chairman of SmartPool, as well as member of the board of the Qatar Exchange. He was recently appointed to ESMA’s Securities Markets Stakeholder Group and Consultative Working Group. Roland holds an advanced studies degree in Economics, Finance and Banking from the Sorbonne, University in Paris.

Duncan Niederauer

NYSE Euronext

Duncan Niederauer, CEO

Duncan L. Niederauer is Chief Executive Officer and a Director of NYSE Euronext. Prior to his current position, Mr. Niederauer was President and co-Chief Operating Officer of NYSE Euronext with responsibility for U.S. cash equities.

Before joining NYSE Euronext in April 2007, Mr. Niederauer was Managing Director and co-Head of the Equities Division Execution Services franchise at Goldman, Sachs & Co. His career at Goldman Sachs spanned 22 years.

Mr. Niederauer has served on the board of Archipelago Holdings, LLC and Colgate University, and now serves on the board of Operation Hope, The American Ireland Fund and the Congressional Medal of Honor Foundation. His current memberships include the G100, Chief Executive 50, British-American Business Council International Advisory Committee, the Partnership for New York City, the Committee Encouraging Corporate Philanthropy, the Shanghai International Financial Advisory Committee, the Museum of American Finance, and Fundação Dom Cabral in Brazil.

He earned an MBA from Emory University and a BA from Colgate University. He and his wife, Alison, are the co-chairs of the Newmark School’s “Destination of Promise” campaign, which is building a state of the art school for children with autism and related disabilities. They have three children and reside in New Jersey.

Susan Greenglass

Ontario Securities Commission

Susan Greenglass, Director of Market Regulation

Susan Greenglass is the Director of the Market Regulation Branch at the Ontario Securities Commission. The Market Regulation Branch is responsible for the oversight of marketplaces, self-regulatory organizations and clearing agencies and developing policy and rule initiatives related to market structure issues.

Susan joined the staff of the Ontario Securities Commission in 1997. Previously, she was a law clerk at the Ontario Court of Justice (General Division). She is a graduate of Osgoode Hall Law School and is a member of the Ontario Bar.

Chuck Chon

SBI Japannext

Chuck Chon, CEO

Mr. Chuck Chon joined SBI Japannext PTS in 2006 as Chief Technology Officer to spearhead the setup of exchange system and business development efforts. In February 2011, he was promoted to Chief Executive Officer of SBI Japannext to focus on business development and strategies. Before joining SBI Japannext, he was responsible for building a profitable index arbitrage trading desk at BNPP in Tokyo, where he spent 10 years in various positions including the business development for Japan, Australia, Taiwan, Korea, and Singapore markets.

Mr. Chuck Chon holds BS in Electrical and Electronics Engineering from CSUS.

Chew Sutat

SGX Singapore Exchange

Chew Sutat, EVP

Mr Chew Sutat is Head of Sales & Clients and is responsible for SGX’s distribution network including growing market participation and the Membership base.

Mr Chew joined SGX in June 2007 and was appointed to the Executive Committee in May 2008. He was previously Group Head, Investment & Treasury Products at Standard Chartered Bank where he was responsible for the Global Wealth Management investment and treasury products business, strategy and development as well as new ventures.

Before Standard Chartered Bank, Mr Chew was with OCBC Securities. He holds a Bachelor of Arts (1st Class Honours) degree from Oxford University, Keble College and also a Master of Arts degree from Oxford.

Christian Katz

SIX Swiss Exchange

Christian Katz, CEO

Christian Katz took charge of SIX Swiss Exchange, a division of SIX, and joined the SIX group executive board in 2009. SIX Swiss Exchange operates the exchange and the joint ventures Scoach, Europe's first specialist stock market organization for structured products; STOXX, Europe's leading index provider; and Swiss Fund Data. Prior to joining SIX, Christian Katz was Head of Goldman Sachs International's representative office in Switzerland, where he focused on the equities and equity derivatives business. Before this he spent eight years at JP Morgan Chase in London, where he was initially responsible for institutional equity sales for Switzerland before he became Head of Research Marketing for Europe. He gained widespread international experience in his previous roles at the London Forfaiting Company and SBC Warburg in Zurich, London and Hong Kong. Christian Katz holds a degree in business studies and finance as well as a PhD from the University of St. Gallen, Switzerland.

Bernie Dan

Sun Trading

Bernie Dan, CEO

An authority in the Financial Services arena, Bernard “Bernie” Dan is a seasoned seniorlevel executive who has driven remarkable organic growth through his visionary turnaround initiatives. With an extensive global background, Bernie has led large, multisite teams from the world’s most formidable financial centers during volatile market periods. Possessing an exhaustive knowledge of crises management, regulatory compliance, financial administration, and Washington policy‐making, Bernie is a recognized leader within financial services, particularly as it relates to cash and derivative products.

Several weeks before the 2011 new year, Bernie joined the Chicago‐based proprietary trading firm Sun Holdings, LLC as CEO, where he had formerly sat on the Board of Directors. Sun Holdings, LLC, founded in 2002, is the parent of Sun Trading, a privately held registered U.S. broker‐dealer dedicated to algorithmic trading across a range of asset classes in the world’s financial markets.

In 2008, Bernie was hired at MF Global Ltd. as North American COO, but quickly earned the role of CEO, charged with strategic planning, mission creation, and corporate reorganization/positioning as a market leader following an isolated trading event that drastically reduced market capitalization. In a challenging economy, Bernie improved stock prices from $2.00 to $7.33 per share and restored its reputation and overall credibility in under two years. Developing and implementing the ambitious plan was just the start—Bernie had to simultaneously garner widespread support from shareholders, key investors, and employees alike. With clear direction, he retooled the skill set of a 3,000+ employee base across 12 countries and restructured the business around an ever‐expanding portfolio of diverse products and services.

The positive transformation was equally as dramatic when Bernie served as CEO at the Chicago Board of Trade (CBOT). Here, Bernie led the exchange’s demutualization in 2005, initial public offering in 2005, and an unanticipated $13B merger with Chicago Mercantile Exchange (CME) in 2007. Breaking revenue and volume records for sixconsecutive years, his progressive approach also resulted in the implementation of electronic trading despite significant member resistance. Prior to his tenure at CBOT, Bernie spent 16 years with Cargill Investor Services, Inc., diligently working his way from General Accountant to President / CEO, directing 550+ personnel. Under his leadership, CIS expanded its offering of product and services, resulting in a $25+M increase in profits. Upon college graduation, Bernie launched his career with Staff Auditor positions at National Futures Association and Schultz and Chez, both in Chicago. During his formative years, Bernie realized that the financial services industry itself was inherently exciting to him, and he thrived in this global, around‐the‐clock environment that presented new challenges based upon the daily market.

Bernie is dedicated to numerous professional and nonprofit organizations, where he has served on Boards of Directors and in other leadership roles throughout the years. Presently, he sits on the Board of Directors at Fenwick High School, where he also serves as a member of the Executive Committee and was Co‐Chair of a large capital campaign. Extensive prior involvement has included board memberships with Joint Asian Derivatives Exchange, Board of Trade Clearing Corporation, Penson Financial Services, OneChicago, and The Deposit Trust & Clearing Corporation, among others. He previously served as Midwestern Regional Director of Operation HOPE, Inc., a nonprofit investment bank and provider of financial literacy and economic empowerment programs.

A proud alumnus of Saint John’s University, Bernie received his Bachelor of Science degree in Accounting in 1983. He currently sits on their Board of Regents and serves as a valued member of the Investment and Academic Affairs Committees. He completed the Executive Program at the University of Minnesota in 1995 and holds his FINRA Series 4, 7, 24, and 63 licenses, as well as the NCFE Series 3 Associated Person designation.

Dave Cummings

Tradebot Systems

Dave Cummings, Chairman

Tradebot uses computer algorithms to provide liquidity to the stock market. Dave started Tradebot in 1999 out of a spare bedroom with a $10,000 investment. Some days Tradebot accounts for over 5% of the total U.S. stock market volume.

In 2008, Dave started Tradebot Ventures to help Kansas City build the next generation of high-growth technology companies. Dave is the founder and former CEO of BATS Trading. Since its start in 2005, BATS grew to become the 3rd largest stock market in America, providing competition to NASDAQ and the NYSE. In 2008, BATS expanded into Europe.

Dave holds a degree in Computer & Electrical Engineering from Purdue University. He is a life-long member of Platte Woods Methodist church. He lives in Parkville, Missouri with his wife and two kids.

Doug Cifu

Virtu Financial LLC

Doug Cifu, President & COO

Douglas Cifu is the President and Chief Operating Officer of Virtu Financial. Mr. Cifu was one of the three co-founders of Virtu Financial in 2008, along with Vincent Viola, former Chairman of the New York Merchantile Exchange and Graham Free, formerly the head trader at Madison Tyler. Mr. Cifu has served as Virtu Financial’s President and Chief Operating Officer since its inception and is responsible for a wide variety of activities at Virtu, including the acquisition and integration of three trading firms into Virtu Financial since 2011. Prior to joining Virtu, Mr. Cifu was a Partner and associate at the New York based international law firm of Paul, Weiss, Rifkind, Wharton & Garrison LLP for over 18 years.

At Paul Weiss, Mr. Cifu served as a member of the Management Committee, Deputy Chair of the Corporate Department and co-head of the Private Equity Group. Highly regarded by peers, Mr. Cifu was recognized in Chambers USA and Legal 500 as a leading mergers and acquisitions lawyer for buyouts and private equity transactions. In 2006, Private Equity International included Mr. Cifu in its list of the 30 most influential lawyers currently working in global private equity, citing in particular his expertise in technology-driven sectors.

He was also been recognized by Crain’s New York Business in its “Technology 100,” a listing of the top 100 persons working in technology globally. Mr. Cifu completed his J.D. at Columbia Law School in 1990 and his B.A. from Columbia University in 1987 where he graduated magna cum laude and was elected a member of Phi Beta Kappa.