Gregg Berman is director of the market analytics and regulatory structure unit of Citadel Securities where he focuses on utilizing data and analytics to better inform on a host of advanced topics at the crossroads of market structure, rules, and regulations. Prior to joining Citadel, Mr. Berman was a principal at Ernst & Young in its financial services organization. From 2009 to 2015 Mr. Berman served at the U.S. Securities and Exchange Commission in Washington, DC, where he established and was associate director of the office of analytics and research in the division of trading and markets. Mr. Berman was also a founding partner of the RiskMetrics Group where he primarily served as its head of the risk business (1998-2009). Mr. Berman is a physicist by training and holds degrees from Princeton University (Ph.D., M.S.), and the Massachusetts Institute of Technology (B.S.).
Gail C. Bernstein is General Counsel of the Investment Adviser Association. She joined the IAA from the law firm of WilmerHale in Washington, DC, where she had been a Special Counsel in the Securities Department from 2008 until June 2017. Prior to that, Ms. Bernstein was first an associate and then a partner at Wilmer, Cutler & Pickering (now WilmerHale) in Washington, DC. While in private practice, Ms. Bernstein counseled clients on all aspects of financial and securities regulation, with a specific focus on the Dodd-Frank Act and securities and derivatives law and compliance. Ms. Bernstein grew up in South Africa and earned her B.A. from the Hebrew University of Jerusalem in 1982 and her law degree from Harvard Law School in 1988.
Monique S. Botkin is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in 2004, Ms. Botkin was an associate in the financial services groups at Dechert LLP in Newport Beach, CA and Alston & Bird LLP in Washington, DC. While in private practice, Ms. Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Ms. Botkin also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014. She earned her B.A. in government and politics from the University of Maryland at College Park and her J.D., cum laude, from Southwestern University School of Law in Los Angeles, where she was an editor of the Law Review.
Ari Burstein is President of Capital Markets Strategies, representing financial services firms, including investment advisers, hedge funds, private equity firms, broker-dealers, securities exchanges and trade associations before regulators and policymakers, in the U.S. and globally. He is also the co-founder of the ETFs Global Markets Roundtable, a global conference series focusing on ETFs and their impact on trading, market structure and the capital markets in general. Prior to starting Capital Markets Strategies, Mr. Burstein was Head of US Regulatory Affairs for Kreab, a leading global consulting firm. He also was Senior Counsel for capital markets issues for the Investment Company Institute (ICI) and ICI Global, the global trade associations for the regulated fund industry. Prior to joining ICI, Mr. Burstein was an attorney in the U.S. Securities and Exchange Commission’s Division of Investment Management from 1997 to 1998 and the Division of Market Regulation from 1992 to 1997.
Nanette Buziak is the Head of Equity Trading for Voya Investment Management. In this role, she is responsible for all facets of equity trading and related operations, managing a team of four traders that transact equities, currencies and futures for their U.S. Equity Team. She is also responsible for the Broker Vote process at Voya IM. Her previous experience includes roles as Senior Portfolio Manager at J.P. Morgan Asset Management, and trader and portfolio manager for First Marathon America, Inc.'s domestic convertible bond arbitrage portfolio. Ms. Buziak holds FINRA Series 3, 7, 55 and 63 licenses. She is a Board Member of NOIP, the National Organization of Investment Professionals. She received a B.B.A. in Applied Actuarial Mathematics from Bryant University.
Phil Cichlar is responsible for overseeing the Fixed Income ETF Sales and Trading initiatives for Jane Street Execution Services. In this role, Mr. Cichlar partners with institutional clients and ETF issuers to help provide trading solutions and access to Jane Street's differentiated liquidity. He also helps lead the firm’s engagement with corporate bond electronic trading venues. During his 10-year tenure at Jane Street, Mr. Cichlar has played an instrumental role in building out the firm’s bond trading desk and growing its institutional client-facing ETF business. Prior to joining Jane Street, he spent over 4 years at BlueMountain Capital where he held roles as a trader and a head of capital management. In addition to these roles, he spent several years as a credit and rates middle office manager at both Deutsche Bank and BNP Paribas. He holds a Master of Business Administration degree from Fordham Gabelli School of Business in New York.
Douglas Cifu is the Chief Executive Officer of Virtu Financial and was a co-founder of Virtu. Previously, he was a partner at the international law firm Paul, Weiss, Rifkind, Wharton & Garrison. 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. He is 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 listed him among the 30 most influential lawyers currently working in global private equity, citing his expertise in technology-driven sectors. He has been recognized by Crain’s New York Business in its “Technology 100,” a listing of the top 100 people working in technology in the New York area. Mr. Cifu earned his J.D. at Columbia Law School in 1990 and his B.A. magna cum laude from Columbia University in 1987.
Ethan D. Corey is a Senior Vice President and Associate General Counsel in the Legal Department of MFS Investment Management. Prior to joining MFS, Mr. Corey was a counsel at Dechert LLP, where he specialized in investment company, variable insurance product and broker-dealer/FINRA issues. In 2003-2004, Mr. Corey also served as an Adjunct Professor of Law at the Columbus School of Law of the Catholic University of America. Mr. Corey also previously practiced at the Securities and Exchange Commission as a senior counsel in the Division of Investment Management and a special counsel in the Division of Market Regulation. Mr. Corey has authored and co-authored several articles on various securities regulation issues. Mr. Corey is a graduate of McGill University (B.A.) and Boston University School of Law (J.D., magna cum laude).
Mark Davies is the co-founder and CEO of S3. In this role, he directs the executive team and oversees the company’s day-to-day operations, as well as client relations, sales, marketing and new business. Previously, he worked at several startup software companies in Boston and Austin before realizing that he could provide the most value by starting a company of his own. Mark’s broad experience has lead to him publicly speaking on topics ranging from Transportation Security for Security Professionals to Entrepreneurship for Wharton Business School Students. He holds a B.S. in Computer Science and Engineering from the Massachusetts Institute of Technology.
Mark J. Dowdell, Assistant Regional Director for the SEC’s Philadelphia Regional Office, has over 28 years of experience with the Securities and Exchange Commission. He has conducted and/or reviewed over 900 investment adviser and over 75 mutual fund examinations, and has participated in over 44 enforcement referrals. Mr. Dowdell was awarded the Examination Award of Excellence from the SEC in December 1997. He left the SEC in 1998 and joined Merrill Lynch where he served as Vice President/Audit Manager in their Corporate Audit Division, and was responsible for managing and conducting audits of Merrill Lynch Investment Managers and its subsidiary companies. Mr. Dowdell rejoined the SEC as a Branch Chief in 2002 and currently serves as an Assistant Regional Director for the Philadelphia Regional Office within the Examination Program and serves as Co-Chair of the Marketing Sales Practices Working Group within the National Exam Program.
Stephanie Dumont is Senior Vice President and Director of Capital Markets Policy for FINRA’s Office of General Counsel, where she is responsible for developing and interpreting FINRA rules and providing legal and policy advice to FINRA management and staff. In particular, Ms. Dumont is responsible for managing the policy and rulemaking legal team in areas relating to trading and customer order handling practices, market integrity, order audit trails and market structure for equity, options and fixed income securities. In this role, she also supports the policy, rulemaking and regulatory reporting functions relating to FINRA’s market transparency facilities. Prior to joining FINRA’s Office of General Counsel, Ms. Dumont was Director of Compliance for a broker-dealer compliance consulting firm. Prior to that position, Ms. Dumont conducted investigations for NASD’s Market Regulation Department in areas such as insider trading, fraud, short selling and options. Ms. Dumont earned her B.S. in Finance and Management from the University of Virginia, her J.D. from the University of Virginia School of Law and her LL.M, with distinction, in Securities and Financial Regulation from Georgetown University Law Center.
Walter Ferstand, is Director of Compliance and Regulatory Consulting Services, at BestXStats. Mr. Ferstand specializes in cross-asset electronic and DMA trading requirements, including REG NMS 611, 605 and 606, OATS, TRACE, TRF, and MSRB Compliance Reporting. Mr. Ferstand also has extensive knowledge of the development, forensic testing and risk assessment of compliance programs in accordance with SEC, FINRA, and CFTC rules and regulations, including new and proposed rules. Prior to joining BestXStats, Mr. Ferstand was the Compliance Subject Matter Expert at both Redkite Financial Markets and NICE Actimize. He has also held senior-level compliance positions at Man Financial and Instinet, and served in market operations management capacities during a 10-year tenure with NASDAQ.
Curt Engler is Head of Trading, The Americas, for JP Morgan Asset Management. He has over 20 years of experience in the investment management industry. He started his career at Weiss, Peck & Greer in Chicago before running the index and enhanced index trading desk at Northern Trust. Prior to joining J.P. Morgan, Curt was at BlackRock as part of their quantitative equity team in New York. Mr. Engler is a CFA charter holder and received his Bachelors degree from the University of Notre Dame and his M.B.A. from Northwestern University.
Roman Ginis is Founder and CEO of Imperative Execution, a financial technology company that engineers smart trading venues to improve market efficiency. He designed IntelligentCross, the first live Alternative Trading System to use AI to minimize the key implicit cost of trading: Market Impact and Adverse Selection. Prior to founding Imperative Execution in 2016, Mr. Ginis worked as a quantitative trader at Cubist and UBS, where he developed and traded market making and event-driven strategies. Before working in the financial industry, he worked on technology projects in pattern recognition for network security at BAE and real-time stream processing algorithms at IBM. He holds a Ph.D in Computer Science from Caltech, focused on distributed systems, statistical performance analysis and discrete optimization.
John Jannes is the Director, Trading Analytics at IHS Markit. As product manager of our Trading Analytics product suite, Mr. Jannes has responsibility for the IHS Markit multi asset TCA and Best Execution solutions. Prior to joining the firm in 2015, Mr. Jannes worked at fintech leader FIS Global where he managed a suite of electronic trading products for the broker dealer division. He has more than 16 years of experience on Wall Street, holding senior roles in sales, trading and product management at brokerages Instinet and Convergex. Mr. Jannes holds Bachelor of Arts in Mathematics and Philosophy from St. John's College, United States.
Vlad Khandros is a Managing Director and Global Head of Market Structure and Liquidity Strategy, of UBS. He created and leads UBS's Global Cross Asset Market Structure Team, the firm's Smart Order Router, Americas Cash Architecture, as well as the UBS ATS team. Prior to joining UBS in 2011, Mr. Khandros was Global Co-Head of Corporate Strategy at Liquidnet, working directly for the founder and CEO. There he was responsible for business development, market structure, and government relations. Mr. Khandros also actively participates on several philanthropic committees and boards. He was ranked as a Rising Star of Finance in 2011 in Forbes Magazine’s 30 under 30 list and was ranked as a Rising Star of Finance in 2017 in Business Insider's 35 under 35 list.
Ryan Larson is Head of Equity Trading, US for RBC Global Asset Management. He works to determine which brokers and trading vehicles will achieve best execution for RBC clients. Prior to joining RBC GAM–US, Mr. Larson worked at Wells Fargo Investment Management & Trust. He earned a BS in Business Administration from Creighton University and an MBA from DePaul University Kellstadt Graduate School of Business. He is a member of the National Organization of Investment Professionals, the Security Traders Association and Nasdaq’s Institutional Trader Advisory Council. He has been quoted in national and international publications such as The Wall Street Journal, the Financial Times, and The New York Times, and has been a guest on Bloomberg Radio and, Bloomberg Television and CNBC.
Glenn Lesko, CFA, is Managing Director and Chief Growth Officer of Dash Financial Technologies. As Chief Growth Officer, he is responsible for driving the firm’s revenue growth objectives globally, both organically and inorganically. Mr. Lesko brings nearly 30 years of experience, most of it spent working to deliver global, multi-asset trading solutions to the buy side. Prior to joining Dash, he was CEO of Bloomberg Tradebook, and before that spent nearly 10 years at Instinet, serving as CEO of Instinet Asia and later head of Americas Equities. Glenn has also served as a Partner at outsourced trading firm CF Global; Managing Director at Deutsche Bank, directing the firm’s international trading desk; and Managing Director at ABN AMRO, first heading its Asian trading desk in Hong Kong and later its international trading desk in New York.
Michael W. Mayhew is Chairman, Founder & Principal of Integrity Research Associates, LLC. Prior to establishing Integrity in 2003, Mr. Mayhew was CEO and President of Garban Information Systems, a provider of fixed income, money market and foreign exchange analytics; Managing Director, Research, for Maria Fiorini Ramirez Inc., an economic research firm; and head of strategic planning for Standard & Poor’s. Mr. Mayhew started his career with MMS International, a fixed income research provider, where he was a financial market analyst, sales manager, and product manager. Mr. Mayhew is quoted widely in news sources, including Reuters, Institutional Investor, Bloomberg, Forbes, the Wall Street Journal, the New York Times, the Financial Times, and Business Week. He graduated with a B.A. in Economics from Stanford University.
Angela Morton is Vice President and Assistant General Counsel of Janus Henderson Investors. In this role, Ms. Morton works directly with portfolio managers and analysts in negotiating the purchase and sale of investments in private and restricted securities, bank loans, mezzanine debt and derivatives. Ms. Morton also provides legal support on matters relating to best execution, directed brokerage, client commissions, derivatives and other alternative investments, securities lending, material non-public information, ownership and position limits, custody and shareholder activism. Ms. Morton also advises a number of Janus Henderson committees including its Best Execution Committee, New Investments and Markets Committee, Securities Lending Committee and the Front Office Governance & Risk Committee. Prior to joining Janus Henderson, Ms. Morton worked in private practice with Piper Marbury Rudnick & Wolfe (n/k/a DLA Piper) in Chicago and a boutique firm in Denver with a focus on corporate and securities law. Mr. Morton holds a B.A. from the University of Colorado and a J.D. from DePaul University College of Law.
Kevin O’Connor is the Head of Analytics and Workflow Solutions at Virtu. Prior to joining ITG in 2005, Mr. O’Connor was a consultant focusing on financial services technology and, before that, worked in fixed income for Deutsche Bank and GE Asset Management. Mr. O’Connor holds a B.A. in economics and computer science from Colgate University.
Marlon Q. Paz, a partner at Seward & Kissel LLP, regularly advises broker-dealers and other financial services firms in matters related to securities regulation, SEC and FINRA enforcement, internal investigations and examinations, compliance, and white collar crime. Mr. Paz has substantive expertise with federal securities laws, with particular expertise with issues related to the business of broker-dealers. Previously, he served in senior positions at the Securities and Exchange Commission, where he worked closely with senior members of the SEC on issues related to the oversight of the securities markets, broker-dealers, clearance and settlement, transfer agents, and credit ratings agencies. He is a member of the adjunct faculty of Georgetown University Law Center. Mr. Paz received his LL.M. (with distinction) from Georgetown University Law Center, his. J.D. from the University of Pennsylvania Law School, an M.A. from Wesleyan University and his B.A. from Trinity College.
Brett Redfearn was named the U.S. Securities and Exchange Commission's Director of the Division of Trading and Markets in October 2017. He joined the SEC from J.P. Morgan, where he was Global Head of Market Structure for the Corporate and Investment Bank. During his career, he has focused on how technology, regulation and business trends are changing trading patterns across asset classes and geographic regions. He has been a frequent contributor at policy forums surrounding U.S. equity markets, and has been an active participant at several meetings of the SEC's Equity Market Structure Advisory Committee. He served as Chairman of SIFMA’s Equity Markets and Trading Committee and was a participant on the Security Traders Association (STA) Market Structure Analysts Committee and the Canadian STA (CSTA’s) Trading Issues Committee. Previously, Mr. Redfearn earned his M.A. in political science from the New School for Social Research and his B.A. from the Evergreen State College in Olympia, Washington.
Elad L. Roisman was appointed by President Donald Trump to the U.S. Securities and Exchange Commission (SEC) and was sworn into office on September 11, 2018. Commissioner Roisman joined the SEC from the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where he served as Chief Counsel. In that role, and as Securities Counsel on the Committee, he counseled Chairmen Mike Crapo (R-ID) and Richard Shelby (R-AL), as well as members of the Committee, on securities, financial regulation, and international financial matters. Commissioner Roisman worked on drafting several pieces of legislation that became law and played an integral role in the drafting and negotiation of the Economic Growth, Regulatory Relief, and Consumer Protection Act. Before working in the Senate, he served as Counsel to SEC Commissioner Daniel M. Gallagher, focusing on enforcement and policy relating to the U.S. equity and fixed income markets, the asset management industry, and international regulation of capital markets. Prior to joining the SEC, he held positions as a Chief Counsel at NYSE Euronext and an associate at the law firm of Milbank, Tweed, Hadley & McCloy LLP in New York. Commissioner Roisman earned his bachelor’s degree in History at Cornell University and his J.D. at the Boston University School of Law.
Steve Sachs is head of Capital Markets for the Exchange Traded Fund (ETF) business at Goldman Sachs. He joined the firm as a managing director in 2015. Prior to joining the firm, Mr. Sachs was head of Capital Markets for ProShare Advisors. Before that, he was director of Trading at Diamond Hill Capital Management and Rydex/SGI. Mr. Sachs has also held senior trading positions at Eagle Asset Management, Bank One Investment Advisors and Nationwide Insurance. He earned a BS in Finance from Franklin University in Columbus Ohio. He also studied economics at The Ohio State University.
Justin Schack is a Managing Director and Partner at Rosenblatt Securities. Mr. Schack heads the firm’s Market Structure Analysis group, which provides asset managers, exchange groups, proprietary trading firms, regulators and other clients with in-depth intelligence on global market structure and the exchange industry. Prior to joining Rosenblatt in February 2008, Schack spent 14 years as a financial and public-affairs journalist, most recently as Assistant Managing Editor of Institutional Investor. In 2014 The Trade magazine named him to its list of the decade’s 100 most influential people in buy-side trading. His work in journalism has been recognized with awards from the National Press Club, the Society of Professional Journalists and the American Society of Business Publication Editors. Mr. Schack holds a B.A. in history from Seton Hall University and an M.A. in history from the University of Connecticut.
Alex Sedgwick, CFA, has almost two decades of experience in capital markets and financial technology. He has held a variety of roles focused on adapting to, and capitalizing on, the rapid electronification of global markets. He was most recently the Head of Fixed Income Market Structure and Electronic Trading at T. Rowe Price where he was responsible for multi-asset electronic trading including the global credit, rates, and foreign exchange markets. Prior to his 5-year tenure at T. Rowe Price, Alex spent 7 years at MarketAxess where he was the Head of Research. Mr. Sedgwick is a CFA charterholder.
Peter D. Stutsman is head of equity trading at Capital Group. He has 20 years of investment industry experience and has been with Capital Group for 18 years. Earlier in his career at Capital, he was a senior equity trader. Prior to joining Capital, Mr. Stutsman was a sales trader with S.G. Securities in Asia. He holds a bachelor’s degree in liberal arts from the University of Texas, Austin.
Glenn Taitz is the Global Head of Fixed Income Trading at Invesco. He oversees Invesco’s fixed income trading desks in the North America, U.K. and Hong Kong. Mr. Taitz has over 30 years of experience in trading, structuring and sales of global fixed income products. He recently joined Invesco from RBC Capital Markets after working 10 years at UBS and 8 years at Merrill Lynch. Mr. Taitz has extensive experience in trading and structuring fixed income derivative products. Mr. Taitz received a Bachelor of Arts in Economics from Colgate University and holds Series 3, 7 and 63 licenses.
Michael Triessl is a senior vice president and senior counsel at Capital Group. He has twelve years of investment industry experience, all with Capital Group. Prior to joining Capital Group. Mr. Triessl specialized in securities law and mergers and acquisitions at the law firm of Latham & Watkins. He holds a J.D. from Georgetown University Law Center and a bachelor’s degree in mathematics from Tulane University.
Joe Wald is CEO and a Founder of Clearpool Group. He identifies and executes on growth opportunities, leading all corporate financing initiatives and is responsible for the overall growth and success of the company. Prior to Clearpool, Mr. Wald was executive vice president at GAIN Capital where he ran GTX, the institutional electronic FX trading business. Prior to GAIN, he was managing director and head of Knight Direct, Knight Capital Group’s institutional electronic trade execution business. Before that, Mr. Wald was CEO and co-founder of EdgeTrade Inc., the pioneer developer of agency-only, liquidity seeking algorithms and direct market access technologies for the U.S. equities market. EdgeTrade was sold to Knight Capital Group in 2008. Mr. Wald holds a B.S. in Business, Management and Finance from Brooklyn College.
Clive Williams is the Head of Equity Trading, chairman of the Equity Best Execution Committee, and a member of Fixed Income Best Execution Committee, Counterparty Risk, and Diversity and Inclusion Operating Committee at T. Rowe Price. Before assuming his current position in 2010, Clive was the head of the European equity trading desk. Prior to joining T. Rowe Price in 2000, he was the head of global trading ex-U.S. at Invesco. Clive has earned the Investment Management Certificate.