LABEX REFI and STONY BROOK UNIVERSITY SUMMER SCHOOL ON A COMPARATIVE OF AMERICAN AND EUROPEAN FINANCIAL REGULATION New York City, September 7, 8 and 9, 2016

LIST OF SPEAKERS

Marie-Anne Barbat-Layani General Manager of the French Banking Federation

A General Inspector of Finance, Marie-Anne Barbat-Layani (IEP, ENA 1993) is an expert in financial and banking affairs. Notably, she was head of the office of credit institutions and investment firms, then assistant director of Banking and Financing of General Interest Activities at the Directorate General of the Treasury from 2000 to 2007.

Ms Barbat-Layani has also accumulated solid experience on European issues, first as Finance Attaché to the Permanent Representation of to the European Union (1997-1999), then as technical advisor responsible for European affairs at the Ministry of the Economy, Finance and Industry (1999-2000).

From 2007 to 2010, she served as Fédération Nationale du Crédit Agricole's Deputy CEO in charge of the finances of Regional Banks and European affairs.

Between 2010 and 2012, she was Deputy Director of the Prime Minister's Office.

The FBF represents all banks operating in France. It brings together 390 banking institutions, which employ more than 370,000 people.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 1

Carole Basri Corporate Compliance Program Advisor at Fordham Law School

Ms. Basri creates and advises on the curriculum for the compliance certificate program and LL.M. in Corporate Compliance, the first Corporate Compliance LL.M. at a U.S. law school. She is an Adjunct Law Professor at Fordham Law School and Pericles Law School and a Visiting Law Professor at Peking University School of Transnational Law. Ms. Basri’s legal background incorporates experiences at prestigious law firms, prominent government agencies, and notable public companies in addition to her academic and scholarly achievements. She was a Senior Manager of Corporate Governance in Compliance and Ethics at Deloitte and Touche, LLP, where she was responsible for creating their compliance and ethics practice. Ms. Basri has received numerous awards and honors including a Senior Fulbright Scholarship to teach law (2007-12). She is a member of many professional organizations, including President of the Corporate Lawyering Group and is Co- Chair of the International Legal Education and Certification Committee of the International Section of the American Bar Association. Ms. Basri has published multiple treatises and handbooks on the subject of corporate compliance. She received a J.D. degree from New York University School of Law and a B.A. degree from Barnard College, Columbia University, magna cum laude.

Christian de Boissieu Professor of Economics at University of 1 Panthéon-Sorbonne, Chairman of the Scientific Board of Labex ReFi, Director at the Autorité des Marchés Financiers (AMF)

Christian de Boissieu is currently Professor at the University of Paris-I Panthéon-Sorbonne where he is the director of the famous Master's Degree in banking and finance. Moreover, he taught at the College of Europe of Bruges (1999-04).

He was consultant to the and to the European Commission, and has been in charge of a TACIS program mission in Russia on domestic arrears, monetary policy and banking regulation. He is also economic adviser to the Paris Chamber of Commerce and Industry, and member of the "Conseil National du Crédit", "Comité des Etablissements de Crédit et des Entreprises d'Investissement" (CECEI) and of the "Comité de la Réglementation Bancaire et Financière". He is honorary President of the French Finance Association and of the "Société d'Economie Politique".

He was a member of the advisory board of J.P. Morgan (France) and is currently Member of the Advisory Board of Ernst & Young (France).

Since 2003, he has been President of the "Conseil d'Analyse Économique" attached to the French Prime Minister.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 2

Edouard de Lencquesaing Chairman and Founder of the European Institute of Financial Regulation, member of the Strategic Board of Labex ReFi

After being a consultant with Accenture, Edouard-François de Lencquesaing was a banker with CCF-HSBC, ending special advisor to the chairman. Ex- special advisor of Paris Europlace, in charge of strategy, European affaires & international relationship, specialized in Russia, he is consultant in his own firm specialized on European issues related to the financial industry (Netmanagers), and Chairman and Founder of the European Institute of Financial Regulation (EIFR), promoting “smart regulation”. He is the treasurer of the think tank “Confrontation Europe”, member of the PRAXIS think tank and board members of 2 laboratories (LABEX) ILB & REFI (financial regulation). He is very much involved in European issues & EU-US convergence in finance (through the French American Foundation). He is also business angel.

He is Délégué Départemental de l’Ordre de Malte France & Commander in the French Navy (reserve).

Marco Dell’Erba Lawyer, Post-doctoral Fellow, Labex ReFi

Lawyer and researcher, Dr. Marco Dell’Erba is a postdoctoral fellow at the LabEx Refi (Paris). He holds a PhD in private law and business law from the University of Paris I Sorbonne Panthéon and a PhD in commercial law and corporate law from the University of Rome. He practiced law in the departments of Banking & Finance and Litigation & Dispute Resolutions at Clifford Chance LLP. He has been Postdoctoral Fellow at the National University of Singapore (Singapore) and Research Assistant in the department of law of the London School of Economics (London). He graduated from the University of Rome La Sapienza and is a fellow of the Lamaro Pozzani University College of Excellence (Rome). Dr. Marco Dell’Erba’s main interests lie in the field of financial and banking regulation, corporate law and securities law (i.e. hedge funds, private equity funds, derivatives, clearing houses).

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 3

Nicolas Dorgeret Administrator, European Parliament, Member of the ECON Committee

Nicolas Dorgeret has worked since 2014 for the Secretariat-General of the European Parliament as administrator in the Committee on Economic and Monetary Affairs, where he advises Members of Parliament on financial services legislation.

His area of expertise covers mostly legislative affairs in the field of securities markets, with a particular focus on trading and post-trading.

In his previous function, he followed EU trade negotiations for the Parliament Committee on International Trade.

Prior to joining the European Union institutions in Brussels, he worked for the French central bank's department of oversight of payment systems and market infrastructures.

He holds two masters in international affairs and economic from Paris, where he now gives lectures on the European Institutions.

John P. Drohan III Founding Partner, Drohan Lee LLP., President of the ACI-FMA

John P. Drohan is President of ACI The Financial Markets Association for the Americas, and a member of the Global Regulatory Working Group for ACIFMA International. Founded in 1955, ACIFMA is the world’s oldest and largest financial association, representing over 14,000 capital markets dealers in 40 countries.

He is also a partner with Drohan Lee, an investment law firm with offices in New York, D.C., Albany and Toronto, representing numerous banks, broker dealers, funds and institutional investors in the FX space for more than 20 years. Prior to practicing derivatives law, Jack had an 11-year institutional trading career, as a senior capital markets dealer for banks including First Chicago International and Deutsche Bank. His trading experience includes major spot and forward currencies, options and other derivatives. He is a frequent speaker at industry and academic conferences, and has published articles on financial economics, federal civil procedure, and the economic impacts of financial regulation. He has served as a rostered arbitrator for National Futures Association, and a trustee of the Citizens Budget Commission for New York.

John holds a B.A. from Washington University at St. Louis, an MBA in Finance and Investments from Baruch College, and a Juris Doctor degree from Brooklyn Law School, where he held the position of Comments Editor for the Brooklyn Law review.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 4

Raphael Douady Academic Director, Labex ReFi, Frey Chair Professor of Quantitative Finance, Stony Brook University

Raphael Douady, is the Academic Director of Labex ReFi. He is mathematician and economist, C.N.R.S. (French national Center for Scientific Research), Centre d’Economie de la Sorbonne, University of Paris 1 Panthéon-Sorbonne and holds the Frey Endowed Chair for Quantitative Finance at Stony Brook University. Specialized in financial mathematics and chaos theory, with more than twenty- years-experience in the banking industry (risk management, asset pricing, trading strategies) and thirty years research in pure and applied mathematics, Dr Douady is renowned for his highly sophisticated quantitative solutions and statistical analysis. A former fellow of Ecole Normale Supérieure in Paris, he earned his Ph.D. in 1982 in Hamiltonian dynamics and became strongly involved in Finance in 1993. Currently affiliated with Stony Brook University, University of Paris 1-Sorbonne Economic Center (CES) and the French National Center for Scientific Research (CNRS), he was previously at New York University Courant Institute and Tandon School of Engineering (formerly Polytechnic Institute). He has lead and organized numerous academic, as well as practitioner conferences around the world, including the New York University seminar of Mathematical Finance and Paris Europlace conferences. His most recent research topics are Hedge Funds risks, for which he has developed especially suited powerful nonlinear statistical models, and systemic risk.

Raphael Douady is one of the founders and the research director of Riskdata, a market-leading provider of risk management tools for investors, asset managers, hedge funds, fund of funds, and pension funds. He has been appointed as academic director of the French “Laboratory of Excellence” devoted to financial regulation (LabEx ReFi). He is also a member of the Praxis Club, a New York based think tank advising the French government on economic policy and other related topics, and sits on the “risk committee” of Finance Innovation, a French official entity supporting innovation in financial software.

Gerard Hertig Professor of Law at ETH Zurich

Gérard Hertig is professor of Law at ETH Zurich since October 1995. Previously Professor of Administrative Law at the University of Geneva Law School and Director of its Centre d'Etudes Juridiques Européennes (1987- 1995).

Gerard Hertig has been a visiting professor at leading law schools in Asia, Europe, and the U.S. and practiced law as a member of the Geneva bar. Principal interests are Law & Finance (comparative corporate governance, financial and banking systems) and European integration. Publications include various articles and books on corporate and securities/banking law topics, including the Anatomy of Corporate Law with Reinier Kraakman et al. (2d ed., OUP 2009). He is ECGI fellow and a member of the Comparative Law and Economics Forum.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 5

Jonathan Glover James L. Dohr Professor of Accounting in the Graduate School of Business at Columbia University

Jonathan Glover’s research is on accounting theory and information economics. The topics he has worked on include earnings management, financial accounting standard setting and regulation, corporate governance, individual vs. team incentives, various aspects of capital budgeting such as the interaction between real options and incentives, performance measurement, and managerial compensation. Jonathan received his Ph.D. in accounting from The Ohio State University. He joined the faculty of Carnegie Mellon in 1992 and served the University in numerous capacities, including as Head of the Ph.D. Program at the Tepper School from 2008-2011. Professor Glover was an academic fellow in the Office of the Chief Accountant at the U.S. Securities and Exchange Commission from 2004-2005.

Professor Glover serves or has served on 8 editorial boards, including those of The Accounting Review, Review of Accounting Studies, and Contemporary Accounting Research (where he also serves as an associate editor on an ad-hoc basis), and is an associate editor at Management Science. He is a member of the board of nominations of the Accounting Hall of Fame and has served on a wide variety of committees of the American Accounting Association, including as the 2007 Doctoral Consortium Committee Chair and as a member of the Financial Accounting Standards Committee from 2009-2012.

François-Gilles Le Theule Executive Director of Labex ReFi, Affiliate Professor at ESCP Europe

François-Gilles Le Theule is Affiliate Professor at the ESCP Europe, and Executive Director of the Laboratory of Excellence on Financial Regulation. He is also a member of the French Department of Agriculture Auditors Team. He has a 10 year work experience in the Private sector as a lobbyist for the Agriculture industry and Project Manager in a high-tech company. He has also been working for 10 years for the European Commission, the Council of the European Union, and the European Parliament. He has been for 8 years director of European Affairs for l’ENA, the French National School of Administration. François-Gilles was the book editor of “Professionnels de l’Europe” (CEES, 2006; ENA, 2007, 2008, 2011, 2014). He graduated from Ecole Polytechnique and Science Po Paris, and is a qualified engineer from Ecole Nationale Supérieure des Techniques Avancées (ENSTA). He graduated in Law from Paris 1 Panthéon- Sorbonne and 2 Panthéon-Assas University in 1987. His research bears upon “Reform decision making” in the European Union and he studies two cases: Common Agriculture Policy, and Financial Regulation.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 6

Jonathan N. Halpern Partner, Foley & Lardner, LLP.

Jonathan N. Halpern is a litigation partner with Foley & Lardner LLP and leads the Government Enforcement, Compliance & White Collar Defense Practice in its New York office. A former federal prosecutor in the Southern District of New York, Mr. Halpern counsels and defends corporate and individual clients in a wide array of criminal and regulatory matters, including allegations involving bribery and the Foreign Corrupt Practices Act (FCPA); complex fraud and financial transactions; insider trading and other violations of the securities laws; health care and medical practice matters; false claims; federal tax crimes; cybercrimes; government contract fraud; export violations; environmental crimes; and art fraud.

In addition to defending clients at trial and on appeal, Mr. Halpern represents clients in matters before U.S. Attorney's Offices (including cases in District Court in the Southern and Eastern Districts of New York), the Justice Department, State Attorney General’s Offices, the SEC, and OFAC. His clients have spanned diverse industries such as financial services, insurance, energy services, pharmaceutical, health care, construction management, technology start-ups, the arts, and memorabilia involving sports and music. Mr. Halpern has been called upon to represent and negotiate for his clients in a wide spectrum of investigations, including in matters resulting in dispositions of no charges or claims.

Mr. Halpern also counsels and represents corporate and individual clients in compliance and due diligence matters. He conducts FCPA training for business leaders, develops corporate FCPA policies and compliance programs, and devises due diligence protocols.

Before returning to private practice, Mr. Halpern served as Assistant U.S. Attorney and chief of the Major Crimes Unit in the U.S. Attorney’s Office for the Southern District of New York. As chief, he supervised approximately 25 attorneys, including the computer hacking and intellectual property section, in investigations and prosecutions of international and domestic money laundering; financial, health care and tax fraud; computer crimes; FCPA violations; Bank Secrecy Act violations; and other complex, large scale crimes. During his tenure as an Assistant U.S. Attorney, he tried to jury verdict and defended on appeal federal criminal cases involving corruption; extortion; and tax, mail, wire, and health care fraud. Mr. Halpern served as lead prosecutor in numerous high-profile matters, including the investigation of the presidential pardon of Marc Rich, and supervised the investigation of corruption allegations in the U.N. Oil for Food program, among other matters implicating international issues.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 7

H.E. Anne-Claire Legendre Consul General of France in New York

Anne-Claire Legendre took up her position of Consul General of France in New York on August 29, 2016. She is the first woman to hold this position. As Consul General, Ms. Legendre is in charge of promoting the influence and appeal of France across the tri-state area of New York, Connecticut, and New Jersey, as well as Bermuda. She serves a community of 80,000 French citizens, whose vitality actively contributes to the visibility of France in the United States.

A native of Brittany, Anne-Claire Legendre is 37 years old. She graduated from the Institut d’Etudes Politiques in Paris, and holds degrees from Institut National des Langues et Civilisations Orientales (in Arabic) and the University of Sorbonne-Nouvelle in Paris (in modern languages and literature).

Anne-Claire Legendre previously served at the French embassy in Yemen in 2005-2006, before joining the Direction of the French Abroad at the Ministry of Foreign Affairs, where she contributed to develop consular cooperation between member states from the European Union.

From 2008 to 2010, she was in charge of bilateral relations with Algeria as part of the Direction of North Africa and the Middle East. She was then appointed to the Permanent Mission of France to the United Nations, where she served under the current French Ambassador to the United States, Mr. Gérard Araud, until 2013. As the Arab Spring upheavals placed the Middle East at the center of attention, she supervised negotiations on Syria, Lebanon, Israel-Palestine, and Irak, at the Security Council of the United Nations.

In 2013, she was called to the cabinet of the Minister of Foreign Affairs and International Development, Mr. Laurent Fabius, where she served as Advisor on North Africa and the Middle East.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 8

Elizabeth Mc Caul Partner in Charge, Promontory Financial Group

Elizabeth Mc Caul provides a broad range of financial and regulatory advisory services to clients in the United States and Europe, including assistance with matters related to safety and soundness, risk management, corporate governance, and capital markets.

Elizabeth joined Promontory after serving as the superintendent of banks of the state of New York, where she was responsible for supervision of some of the world’s largest institutions and most of the foreign banks operating in the United States, as well as community banks, mortgage companies, and the overseas banking activities of investment banks and insurance companies. All told, she oversaw financial institutions representing $2 trillion in assets. She is well recognized for her safety and soundness and risk management credentials. As superintendent, she introduced capital markets specialists to the examination teams, established targeted hedge fund reviews, opened a Tokyo office, and helped banks and securities firms comply with the Sarbanes-Oxley Act and the USA PATRIOT Act. In her early days as superintendent, Elizabeth directed a $22 billion banker’s bank, following its liquidity problems. After the 9/11 attacks, she worked with banks, securities firms, and the to get the U.S. markets reopened and functioning properly. She subsequently worked with federal regulators and top law enforcement officials to create mechanisms to help guard against the use of the U.S. banking system for financial terrorism. Elizabeth served as the chairman of the Conference of State Bank Supervisors and as a member of the Federal Financial Institutions Examination Council. She was an instructor on corporate governance at the Financial Stability Institute at the Bank for International Settlements. She also worked as an investment banker at Goldman Sachs from 1985 to 1995.

Elizabeth holds a BA from Boston University and was a scholarship student in the Common Market Program, Institute of European Studies at the University of Freiburg, Germany. She was an instructor at the Financial Stability Institute, Bank for International Settlements, Basel. She is a former member of the Federal Financial Institutions Examination and former Chairperson of the Conference of State Bank Supervisors.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 9

Michel Perez Labex ReFi Representative in the USA

Michel Perez Is the Representative in the United States of Labex ReFi (“Laboratoire d’Excellence en Regulation Financiere”), a French Research Center in Financial Regulation. He is also the President of the US Association of Sciences Po Alumni and a JD candidate at the University of Paris I Sorbonne Panthéon, a contributor to the Revue Trimestrielle de Droit Financier (Quarterly Review of Financial Law) and an international consultant on financial compliance matters.

He joined as a consultant the New York office of Promontory Financial Group in October 2007 working on Compliance projects for large international financial institutions. He has worked on assignments in the United States, Brazil and Europe, focusing on issues including AML (“Anti Money Laundering”), KYC (“Know Your Customer”), private banking, IFI relations (correspondent banking), trade financing, monitoring and “look back” projects, for clients from the US as well as French and Portuguese speaking countries.

Prior to joining Promontory, he worked in international banking for more than two decades in Europe, Latin America and the United States. He started his banking career with Banque Nationale de Paris in France then joined The First National Bank of Chicago/First Chicago where he held various positions in Europe, Haiti, Brazil and the United States. He then joined the Bank One NA team in New York where he became Head of the European group in the International Financial Institutions Division and then Region Head for Brazil, the Caribbean and Southern Latin America. When Bank One was acquired by JP Morgan Chase, he created his own consulting company, MAPI LLC, which specializes in cross border financial and compliance matters.

Michel is a Certified Anti Money-laundering Specialist “CAMS”, and has passed the Certified Cash Manager “CCM” and NASD Series 6 tests. He is a graduate of INSEAD, the European Business School, Fundacao Getulio Vargas (“FGV Business School”) of Sao Paulo and Institut d’Etudes Politiques (“Sciences-Po”) of Paris. He has taught at Alliance Francaise and is a Director of Club Praxis, a think tank based in New York and Paris. He is a member of the French Legion of Honor and was awarded the Order of Merit by the Republic of France

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 10

Alain Pietrancosta Professor of law at Sorbonne Law School

Alain Pietrancosta is Professor of law at Sorbonne Law School (University of Paris 1 Panthéon-Sorbonne). He earned his Ph.D. from the University of Paris 1 Panthéon-Sorbonne in 1999 and passed the “Concours d’agrégation” in private law in 2001. Professor Pietrancosta teaches French and European business, company, financial and securities law. He is the founder and director of the Masters in Financial Law program at the Sorbonne Law School.

He is also: Member of the “Legal High Advisory Committee for Financial Markets of Paris”, created by the AMF (French Financial Market Authority) and the Bank of France; Member of the “Issuers Committee” of the AMF (French Financial Market Authority); Founding member of the “Forum Europaeum on Corporate Boards” (FECB) and of the “European Company Law Experts Group” (ECLE) ; Research Associate of the “European Corporate Governance Institute” (ECGI); Founder and director of the “Revue Trimestrielle de Droit Financier – Corporate Finance and Capital Markets Law Review” (RTDF); Co-founder of the “Paris Workshop & Lecture Series in Law & Finance”; Member of the Executive Committee of the Labex (“Excellence Research Center”) “Financial Regulation” established in 2011 between the ESCP Europe Business School, the National School of Administration (ENA), the Conservatoire National des Arts et Métiers (CNAM), the National School of Insurance (ENASS) and the University of Paris 1 Panthéon-Sorbonne; Board member of “Rules for Growth”.

Professor Pietrancosta is the author of “The Influence of Financial Imperatives and Market Forces on French Corporate Law”, Thomson-Transactive (2000), and of numerous articles and collective books with respect to corporate, financial and securities law. A frequent participant at international conferences, he regularly consults for law firms, corporate clients or the government, and has served on several occasions as a French law expert in lawsuits before U.S. State and Federal courts

Pierre-Charles Pradier Professor of Economics, University of Paris 1 Panthéon-Sorbonne

Pierre-Charles Pradier is associate professor at Paris 1 Panthéon-Sorbonne University. He has been the dean of the economics department, before serving as vice-provost, then dean of the national school of insurance (ENAss/CNAM). Since 2011, he has been coordinating teaching programs for the LabEx RéFi. He lectures on applied microeconomics and financial economics.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 11

Chip Poncy President and Co-Founder of the Financial Integrity Network

Chip Poncy is the President and Co-Founder of the Financial Integrity Network (FIN) and a Senior Advisor for the Foundation for Defense of Democracies’ Center on Sanctions and Illicit Finance (CSIF). FIN is a strategic and technical advisory firm exclusively dedicated to assisting its clients around the world achieve and maintain the financial integrity needed to succeed in today’s global economic and security environment. CSIF is a Washington, DC-based think tank that provides leading subject matter expertise in areas of illicit finance, financial power, and economic pressure to the global policy community.

From 2002-2013, Mr. Poncy served as the inaugural Director of the Office of Strategic Policy for Terrorist Financing and Financial Crimes (OSP) and a Senior Advisor at the U.S. Department of the Treasury. As the Director of OSP from 2006-2013, Mr. Poncy led an office of strategic policy advisors in creating policies and initiatives to combat the full spectrum of illicit finance, including money laundering, terrorist financing, WMD proliferation financing, and kleptocracy flows. As a Senior Advisor from 2002-2006, Mr. Poncy assisted Treasury leadership in developing the U.S. Government’s post-9/11 strategy to combat terrorist financing. He also assisted senior leadership in creating and developing the Office of Terrorism and Financial Intelligence in the post-9/11 government reorganization.

Mr. Poncy led the U.S. delegation to the Financial Action Task Force (FATF) from 2010-2013, co- chaired the policy working group of the FATF from 2007-2013, and managed U.S. participation on various G7, G8 and G20 illicit finance experts groups from 2008-2013. Key accomplishments in these roles included assisting in the revision and adoption of the FATF’s global standards and assessment processes for future jurisdictional reviews under the FATF global network, and facilitating the integration of counter-illicit finance into the broader global financial reform agenda since 2008.

Prior to launching FIN, Mr. Poncy served as the interim Head of Financial Crimes Compliance for Mexico and the Latin American region for HSBC, assisting in the development and implementation of an enterprise-wide financial crimes compliance program adherent to global standards.

Mr. Poncy began his career as an associate in the New York offices of the law firm White & Case and has served as general counsel to biotechnology and internet radio companies. He has co-pioneered a graduate course on national security and the international financial system as an adjunct associate professor at Georgetown University’s Edmund A. Walsh School of Foreign Service. Mr. Poncy graduated with honors from Harvard University (Bachelor of Arts in Government) and The Johns Hopkins School of Advanced International Studies (Masters of Arts in International Relations) and holds a Juris Doctor from the Georgetown University Law Center.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 12

Nasser Saber Author of the book “Speculative Capital”

Nasser Saber is the author of Interest Rate Swaps (Business One Irwin, 1993) and the 3 volumes of Speculative Capital. Vol. 1, The Invisible Hand of Global Finance and Vol. 2, The Nature of Risk in Financial Markets, were published in 1999 (Financial Times). Vol. 3, The Enigma of Options, came out in 2006. The 4th and final volume, Dialectic of Finance, is due in 2017. Nasser holds a master degree in engineering from Case Western Reserve University and an MBA in quantitative analysis and finance from New York University.

Jean-François Serval Founder and President of Groupe Audit, Founding Partner of Constantin & Associates

Jean-François Serval is the founder and president of Groupe Audit SA and its operational accounting firm Serval & Associés a European accounting practice and the flagship for the Serval & Associés / Constantin CPA network that he created in 2009 with member firms as Constantin Associates in the US, or subsidiaries as Serval & Associates Co. Ltd in Singapore, or Groupe Audit Belgium and others in France, Europe, and several correspondents as in Africa.

He sat at the board or is a member of several professional and non-professional organizations and represents the new Constantin network at the Forum of Firms (an arm of IFAC in charge of promoting the quality of international audits, gathering 29 of the major international accounting firms). In the past he held several governmental and non-governmental positions as a seat at the CNC (1989-1997) (the French accounting standard setting Board).

He wrote with co-author Jean-Pascal Tranié a book “The Virtual Money we live from” with a preface of Christine Lagarde – then Minister of Finance of France and now the Managing Director of IMF – that describes the problems of the modern financial world and recommends a road map of solutions. Another book was just published: “The Monetary System: Analysis and New approaches to regulation” (Wiley UK) for which he gave in 2015 several conferences, in New York, Singapore, London and Paris. A third book on the Monetary Reform is currently under review.

Mr. Serval is Chevalier de la Légion d’Honneur and Chevalier de l’Ordre du Mérite.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 13

Frédéric Siboulet Managing Director, Deloitte

Frederic Siboulet has twenty year experience in trading and risk for capital market, in the United States and in Europe. His background includes global trading and processing for cash and derivatives markets, market and credit risk management, corporate governance, strategy, operations, quantitative modeling and business development. He held management positions in major corporations such as IBM, Reuters, Murex and Algorithmics.

A graduate of Ecole National Superieure des Mines in France, he is President of InterMines (the 226 year old French mining school’s alumni association) for USA and Canada. He is a managing Director at Deloitte in the Valuation and Model Risk Management group, and he teaches quantitative finance at New York University.

Patrick Simonnet Director, Head of Audit at Credit Suisse

Patrick Simonnet is a New York-based Director of Credit Suisse in the Audit department. He joined Credit Suisse in May 2014 as the Head of Audit, Market Behavior & Conduct. In this role, Patrick assumes global responsibility for the audit coverage of market conduct risk, including the related compliance and regulatory programs and activities.

Patrick joined Credit Suisse from JP. Morgan Chase, where he was an Executive Director within their regulatory change program. Patrick has enjoyed a long career within banking and financial services. Originally from Paris, he held a number of senior controls and business roles with the Banque de France and also the French Futures and Options Exchange (MATIF). Patrick spent 14 years with Goldman Sachs in Paris, London, New York and Chicago, in various roles (COO of Goldman Sachs in France, International Senior Project Manager for the Operations, Technology and Finance Division in London, …), ultimately creating and leading Goldman Sachs’ Audit program for the Americas.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 14

Anastasia Sotiropoulou Professor of Private Law at the Jean Monnet University of Saint-Etienne

Anastasia Sotiropoulou is Professor of Private Law at the Jean Monnet University of Saint-Etienne. She teaches Financial and Coporate Law at Sorbonne Law School (Paris 1 Panthéon-Sorbonne University) and publishes in these fields in French legal reviews.

Fotis Sotiropoulos Dean of Stony Brook University College of Engineering and Applied Sciences

Dr. Fotis Sotiropoulos serves as the Dean of the College of Engineering and Applied Sciences (CEAS) at Stony Brook University, effective October 15, 2015.

Prior to joining SBU Dr. Sotiropoulos was the James L. Record Professor of Civil, Environmental and Geo-Engineering, and Director of the St. Anthony Falls Laboratory at the , Twin Cities. Prior to that, Dr. Sotiropoulos was on the faculty of the School of Civil and Environmental Engineering at the Georgia Institute of Technology, with a joint appointment in the G. W. Woodruff School of Mechanical Engineering.

His research focuses on simulation-based engineering science for fluid mechanics problems in renewable energy, environmental, biological, and cardiovascular applications. Funded by the National Science Foundation, the Department of Energy, the National Institutes of Health, the Sandia National Laboratories, private industry, and other state and federal agencies, Sotiropoulos has raised over $17M in externally-sponsored funds for research, as well as $17M in research facility development and renovation. He is a Fellow of the American Physical Society (APS), has authored over 160 peer reviewed journal papers and book chapters, has twice won the APS Division of Fluid Dynamics Gallery of Fluid Motion (2009, 2011), and is also a recipient of a Career Award from the National Science Foundation. He is also a 2014 distinguished lecturer of the Mortimer and Raymond Sackler Institute of Advanced Studies at Tel Aviv University and is serving or has served on the editorial boards of several journals.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 15

Robert Stern Partner at Orrick LLP

Rob Stern, a partner of Orrick LLP in the Washington, D.C., and New York offices, has extensive experience litigating major state and federal actions on behalf of financial services institutions, Fortune 100 companies and officers and directors of public companies.

Rob also has represented numerous companies and individuals before the Securities and Exchange Commission and in FINRA arbitrations.

Rob has been nationally recognized as a leader in securities litigation by Legal 500 and SuperLawyers. Rob has been involved with many of the most complex and challenging securities class actions over the past 20 years. Rob also has particular expertise litigating mortgage-backed securities and structured products claims, accounting fraud matters as well as claims involving derivative instruments. He routinely represents financial institutions, residential mortgage originators, and mortgage servicers in civil litigation and regulatory enforcement matters. He also is a faculty member for the Practicing Law Institute’s Securities Litigation program.

Prior to joining Orrick, Rob was a partner at O’Melveny & Myers LLP.

Shyam Sunder James L. Frank Professor of Accounting, Economics, and Finance at Yale School of Management

Dr. Shyam Sunder is the James L. Frank Professor of Accounting, Economics, and Finance at the Yale School of Management and Professor in the Department of Economics. He is a world-renowned accounting theorist and experimental economist. His research contributions include financial reporting, information in security markets, statistical theory of valuation, and design of electronic markets. He is a pioneer in the fields of experimental finance and experimental macroeconomics. Dr. Sunder has won many awards for his research that includes eight books and more than 200 articles in the leading journals of accounting, economics and finance, as well as in popular media. Dr. Sunder’s current research includes the problem of structuring U.S. and international accounting and auditing institutions to obtain a judicious and efficient balance between regulatory oversight and market competition. He is a past president of the American Accounting Association, former director of the Millstein Center for Corporate Governance and Performance at Yale, honorary research director of Great Lakes Institute of Management in Chennai, and distinguished fellow of the Center for Study of Science and Technology Policy in Bengaluru.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 16

George Ugeux Founder and Chairman of Galileo Global Advisors LLC

On October 1, 2003, Georges Ugeux founded Galileo Global Advisors LLC to offer CEOs, Boards of Directors and Governments independent advice on international business development, restructuring, compliance and capital market issues. Prior to founding Galileo, Georges Ugeux joined the New York Stock Exchange in September 1996, as Group Executive Vice President, International & Research. He built and managed the Exchange’s International Group and, during his tenure, spearheaded the listing of 308 companies from 43 countries, out of the 470 non-US companies listed on the NYSE with an aggregate value of $2.7 trillion. During that same period, the NYSE’s international trading moved from 40 to 140 million shares a day. He was also in charge of the NYSE’s relationships with foreign Stock Exchanges, Regulators and Governments. Georges Ugeux, a 68-year old Belgian and US national, began his career in 1970 at Société Générale de Banque (now BNP Paribas Fortis), the leading Belgian bank, where he became General Manager of the investment banking and trust division. His career led him to London in 1985, as Managing Director of Morgan Stanley’s Mergers and Acquisitions department. In 1988, he was appointed Group Finance Director at Société Générale de Belgique, the leading Belgian diversified industrial and financial conglomerate owned by GDF Suez. In 1992, he became president of Kidder, Peabody Europe as well as Managing Director while serving as a member of the Management Committee and the Board of Directors of Kidder, Peabody, Inc. He was put in charge of the firm’s global origination efforts. In addition, he was also a member of the European Corporate Executive Council of General Electric Inc. From 1995 until joining the NYSE, Georges Ugeux served as President of the European Investment Fund, a Euro 2 billion public-private partnership created by the Heads of State and Government of the European Union at the Edinburgh Summit. He also chaired the Kingdom of Belgium’s Privatization Commission, at the time of the Belgacom privatization. Georges Ugeux holds a Doctorate in Law and is Licentiate in Economics from the Catholic University of Louvain. He has lectured at that University, as well as at the College of Europe in Bruges. He also served as a Special Advisor of the Program on International Financial Systems of Harvard Law School. He is Adjunct professor at Columbia University School of Law where he teaches a seminar on European Banking and Finance. In 2011, he published “The betrayal of Finance: Twelve reforms to restore confidence” in French, English and Dutch. His new book, “International Finance Regulation: The Quest for Financial Stability” has been published by Wiley Financial Series in June 2014. In 2015, he published his first fiction novel “The Flying Dragon” in English. The Chinese version will be published in 2016, together with “The betrayal of Finance”. Georges Ugeux has been a director of AXA Tian Ping Property & Casualty since 2014, a joint venture company in Shanghai. He is also a director of the Belgian American Chamber of Commerce and the Catholic University of Louvain Foundation. He sits on the International Advisory Boards of Guangzhou Municipal Board for International Investment, the Vlerick Leuven Gent Management School, Oxford Analytica and APCO worldwide.

Comparative of European and U.S. Financial Regulation New York Sep 7-9 2016 17