Mark Berman is the founder and a Principal of CompliGlobe Limited www.compliglobe.com . He advises and has advised Asian and European hedge funds, investment managers, banks and investment firms on U.S. and cross-border regulatory, compliance, training and AML matters. Mr Berman was a senior lawyer with the SEC’s Division of Corporation Finance and the Division of Market Regulation, where he worked on domestic and cross-border disclosure and trading practices issues, respectively. He has lectured on law and regulation at the London Business School, is the editor of and a contributor to SEC Regulation Outside the United States (6th ed. Q4 2007, Risk Books) and Hedge Funds and Prime Brokers (Oct 2006, Risk Books). He is the author of Introduction to Hedge Funds (2007, Risk Books). Mr Berman is a Trustee of the SEC Historical Society.
Matthew Bersani, Asia Managing Partner of Shearman & Sterling, specializes in corporate finance and securities transactions. Mr. Bersani has deep experience representing both issuers and underwriters. Transactions in which he has been involved include Rule 144A/Regulation S offerings and registered U.S. public offerings of equity securities and convertible and exchangeable debt offerings. He is a frequent speaker on topics relating to the Dodd-Frank Act, the JOBS Act, SEC requirements and various key legal and regulatory reform issues. Mr. Bersani also leads Shearman & Sterling’s India Group. Among other distinctions, Mr. Bersani has for several years been cited as “top tier” or “highly recommended” in various guides to the world’s leading capital markets lawyers. For example, he is recognized as a leading individual for Capital Markets in China, Hong Kong, Thailand and India by Chambers Global and Chambers Asia (2009-2012). Mr. Bersani speaks fluent Mandarin Chinese.
Gerald di Florio is the Director of Office of Compliance Inspections and Examinations, SEC. Carlo di Florio was sworn in as the Director of the Office of Compliance Inspections and Examinations (OCIE) on January 25, 2010. Prior to joining the Commission, Mr. di Florio was a partner in the Financial Services Regulatory Practice at PricewaterhouseCoopers (PwC) in New York. As the Director of OCIE, Mr. di Florio leads the SEC’s National Exam Program, which is comprised of a multidisciplinary team of 900+ professionals working in 12 regional offices across the United States. The National Exam Program’s mission is to promote compliance, prevent fraud, monitor risk and inform policy through risk-targeted exams of regulated entities, including investment advisers, hedge funds, broker-dealers, derivatives registrants, market exchanges, credit rating agencies, clearing agencies, transfer agents and SROs, such as FINRA and the MSRB. Since joining the Commission in 2010, Mr. di Florio has led a comprehensive restructuring of the National Exam Program to strengthen the program’s strategy, structure, expertise, training, processes and technology tools, while also positioning the program to meet its new responsibilities pursuant to the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act. Mr. di Florio received his Master of Laws (LL.M) with distinction from Georgetown University Law Center, his Juris Doctor (JD) from Penn State University’s Dickinson School of Law, and his Bachelor of Arts (BA) in Political Economy from Tulane University.
Barbara Jacobs has been an Assistant Director for the Division of Corporation Finance of the U.S. Securities and Exchange Commission since September 2000. Prior to this time, she served as Deputy Chief of the Office of Small Business (1996-2000) and Chief of the Office of Disclosure Policy (1994-1996) for the Division. She also held the positions of Deputy Chief (1992-1993) and Special Counsel (1989-1992). Among other matters, Ms. Jacobs drafted the rules to implement the operational phase of the Commission’s Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system. She also drafted rules to amend Rule 504 of Regulation D to address micro cap fraud (February 1999), proposed rules to permit certain smaller companies to price securities on a delayed basis (February 1997), and drafted interpretations on the use of electronic media for dissemination purposes (October 1995). From 1997-1999, Ms. Jacobs organized and spoke at SEC Small Business Town Hall Meetings across the country and annual SEC Government Business Forums.
Ms. Jacobs received an A.B. in Economics from the University of California at Berkeley, a J.D. from the University of San Francisco, and an L.L.M. in Securities Regulation from Georgetown Law Center. From 2001-2004, Ms. Jacobs was an adjunct professor in the L.L.M. program at Georgetown where she co-taught “Disclosure Under the Federal Securities Laws.” In 2012, she was awarded the Byron D. Woodside Award and the Diversity and Inclusion Award. In 2011, she was a co-recipient of the Equal Employment Award.
Jane Jarcho is the National Associate Director of the Investment Adviser examination programmein the Office of compliance Inspections and Examinations (OCIE) at the SEC.
Angelina Kwan was the Chief Operating Officer, Executive Managing Director and a Director of the Board of REORIENT Group Limited (HKEx stock code 376, formerly known as Asia TeleMedia Limited, “ATL”). She was responsible for all operating aspects of the Group’s businesses and future ventures. She previously held the position of Chief Executive Officer of Mansion House Securities (F.E.) Limited, the wholly owned operating subsidiary of “ATL”, where she ran its operations and whilst working with the Liquidators and the Investor successfully restructured and relisted the Group. Miss Kwan has over 25 years of experience in Financial Services, Compliance, Audit and Internal Audit on a wide range of businesses.
Miss Kwan is an Honorary Adjunct Professor of Finance for the Hong Kong Polytechnic University, a SFC appointed Director and a Fellow of the Hong Kong Securities Institute, a Hong Kong Government appointed member of the Financial Reporting Council Process Review Panel, a Director of the Securities Industry Development Corporation of Malaysia, an Independent Non-executive Director of Aviva Life Insurance Hong Kong, a Director of The Women’s Foundation, and serves on a number of Boards and committees. She lectures frequently for various international government and regulatory organisations as well as course providers.
Angelica Kwan is a US tax partner of PwC Hong Kong. Prior to returning to Asia in 2011, Ms. Kwan was a US tax partner at Sidley Austin LLP in New York. She advised M&A deal participants, financial institutions, private equity and hedge funds, and their institutional investors as a US tax lawyer in New York for 15 years. At PwC Hong Kong, Ms. Kwan has integrated this US tax advisory practice with US tax compliance capabilities. Ms. Kwan is lead FATCA partner on a number of Hong Kong and regional FATCA engagements. Further, she advises as AsiaPac FATCA partner on various global FATCA projects. These client projects span the asset management, retirement funds, banking, insurance and brokerage industries. Ms. Kwan received a Juris Doctor (JD) magna cum laude from Harvard, and an MBA from Stanford, where she was an Arjay Miller Scholar.
Alexa Lam – Member of the Board of the Hong Kong Securities and Futures Commission and the Executive Director of the SFC’s Intermediaries and Investment Products Division- The Division regulates and supervises financial market intermediaries (investment banks, brokers, asset managers and investment advisers), and authorises collective investments. Ms Lam has led numerous initiatives to develop the regulatory framework to enable new financial products, including Hedge Funds, to be introduced to retail investors in Hong Kong. Previously Ms Lam taught at the University of Hong Kong and was in private practice in New York and Hong Kong specialising in corporate commercial work and China investments.
Amarjeet Singh, Chief General Manager with Securities and Exchange Board of India (SEBI), Mumbai has extensive experience in regulation and supervision of securities markets spanning over last 16 years. Presently, apart from working as Executive Assistant to Chairman, SEBI, he heads the Office of International Affairs of SEBI. In his earlier stint, he headed the Northern Regional Office of SEBI at New Delhi from 2005 to 2009. Mr. Singh is involved in various international regulatory initiatives. Currently he is the Vice-Chair of the IOSCO Assessment Committee (AC). AC was established in February 2012 by the Executive Committee of International Organization of Securities Commissions (IOSCO) and its main objective, according to its mandate approved by the Board, is to identify and assess implementation of IOSCO Principles and Standards and to promote the full, effective and consistent implementation of IOSCO Principles and Standards across IOSCO membership.
Earlier he was also the Vice Chairman of the Implementation Task Force (ITF) of IOSCO. The Task Force came out with a comprehensive revision of IOSCO Principles of Securities Regulations and Methodology for assessing the implementation of the said Principles.
On a more granular level, Mr. Singh is the Chair of the Technical Group on assessment of FMI principles, which has recently been constituted in the securities market in India. He has also been closely associated with the recent Financial Sector Assessment (FSAP) of India. In the past, he has also worked on assessment of CPSS-IOSCO principles for payment and settlement systems relating to securities market during 2008-09 as a part of financial sector assessment conducted by the Reserve Bank of India (RBI).
Mark Steward is Executive Director, Enforcement Division at the SFC. Prior to joining the SFC, Mr. Steward held several senior positions with the Australian Securities and Investments Commission (ASIC) and was most recently Deputy Executive Director, Enforcement at ASIC. Mr. Steward has been involved in corporate and securities regulation since 1987 in both Australia and in the UK specialising in investigatory work and resulting litigation. Mr. Steward completed a law degree at the University of Melbourne in 1989. He has practiced extensively in Australian courts. Mr Steward is a member of the SFC (HKEC Listing) Committee and the Executive Committee.
Jonathan Stone Skadden Arps- represents bidders, sellers and target companies in cross-border merger and acquisition transactions, financial investors in private equity transactions and issuers and underwriters in corporate finance transactions. Mr. Stone has been named as a “leading lawyer” or “expert” for M&A and corporate finance in several publications and surveys, including Chambers Global (2004-2008), Chambers Asia (2008), Asia-Pacific Legal 500 (2003-2008), Who’s Who Legal (2006-2007), AsiaLaw Profiles (2005-2007) and IFLR 1000’s Guide to the World’s Leading Financial Law Firms (2006-2007).