Monday, March 15, 2021 Welcome & Opening Remarks

SPEAKERS (Listed in the order of appearance):

Monday, March 15, 2021

Welcome & Opening Remarks

Simone G. Vinocour FWA President 2019-2021

Highly regarded for her product and markets knowledge and demonstrated ability to build long-term relationships with clients, Simone Vinocour is a Financial Advisor with a US brokerage firm, and the current President and Chair of the Board of Directors of the FWA of New York, Inc. (FWA).

With over 20 years of progressive experience in helping multinational Fortune 500 corporate clients in the consumer products and retail, as well as pharmaceutical and medical device industries achieve their financial goals, Simone is using these same skills to provide wealth management services and solutions to a select group of individuals and families, corporate executives and business owners to achieve theirs.

As a recognized leader in diversity and inclusion initiatives, she also is passionate about empowering women in the financial services community and beyond to have the necessary skills for financial and professional success. Simone has been actively involved in the Financial Women’s Association since 2002, having served as President-Elect and Board Secretary previously. Prior roles served also include Co-Chair of the June 2017 Inaugural Summit (signature conference) and moderator of its and the 2018 Summit’s Global Capital Markets panel. Simone co-chaired the FWA’s 2011 International Conference in Brazil, co-chaired the Global Agenda Committee and served as Vice President for the organization prior to joining the Board. She continues to serve as a mentor to rising talent within the industry.

Simone’s extensive global experience gives her insight into how global markets impact investors. Simone obtained her MBA in Finance and International Management at New York University, Leonard N. Stern School of Business, and her B.S. in Business Administration at Georgetown University where she studied marketing and German. She additionally studied at Erasmus University, Rotterdam School of Management, completing the International Management Program. She continued to live and work in banking in the Netherlands for six years. Simone holds Series 7, 63, 66 and 79 certifications. With varying language proficiencies in Dutch, German and French, she is adept in building relationships worldwide across all cultures.

Simone presently resides in New York City with her husband and two children. In her free time she enjoys travel, jazz, and ballet. Simone also is on the Ministry Council of St. Ignatius Loyola parish in Manhattan and serves as the parish’s Chair of its Interfaith Ministry.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Jean-Yves Fillion, CEO, BNP Paribas USA and Chairman, CIB Americas

Jean-Yves Fillion is Chief Executive Officer of BNP Paribas USA, overseeing the bank’s wholesale and retail activities in the United States, and Chairman of Corporate and Institutional Banking (CIB) for the Americas. Mr. Fillion has been with BNP Paribas for 36 years, 29 of which he has spent in the United States between Chicago, Los Angeles and New York. He serves on the Board of Directors of BNP Paribas USA and on the Boards of its subsidiaries: Bank of the West Corporation and BNP Paribas US Wholesale Holdings, Corp for which he is Chairman of the Board. He is also a Director of the Advisory Board of Hautes Études Commerciales (HEC), his alma mater. In line with the Bank’s worldwide commitment to tennis, Mr. Fillion is a member of the Board of Governors for the International Tennis Hall of Fame. A former member of the French National Sailing Team, he is an active member of the New York Yacht Club and American Yacht Club.

Since joining the bank in 1984, Mr. Fillion has served the bank in a succession of executive positions. Previous to his current role, he served as CEO of CIB Americas, COO of BNP Paribas Fortis and Co-Head of BNP Paribas’ CIB European Platform. Previous to those roles, he spent the bulk of his career in the US as Head of Client Coverage in North America, Head of Structured Finance Americas, Head of Acquisition Finance and Head of Media & Telecom Finance.

Mr. Fillion received a Master’s degree from Dauphine University and his MBA from HEC in Paris. He also studied at the Kellogg School of Management of Northwestern University in Chicago.

Keynote 1 Women Leaders in Finance

Moira Forbes EVP Forbes, Media & President & Publisher ForbesWomen

Moira Forbes is the Executive Vice President of Forbes, one of the world’s largest media brands, where she is responsible for driving new business initiatives across the company’s diverse media platforms and branding Forbes events worldwide. Today, Forbes, which is synonymous with “success” in almost every country around the world, engages 140 million people across every platform every month – the most in its 103-year history.

Moira also serves as the President and Publisher of ForbesWomen, a multi-media content channel dedicated to successful women in business and leadership which she founded in 2007. Moira oversees Forbes’ annual list of the World’s Most Powerful Women and hosts "Success with Moira Forbes," an interview series spotlighting dynamic changemakers and industry innovators. In 2013, Moira launched the annual Forbes Power Women’s Summit and across Forbes’ global editorial platforms, she convenes preeminent thought leaders for timely perspective and analysis around today’s most critical issues.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Ida Liu, CEO Citi Private Bank North America

Ida Liu is the Head of Citi Private Bank North America and a member of the Private Bank Global Leadership Team. Ida has 22 years of experience in the financial services industry with a proven track record of delivering results, developing and executing strategy and building exceptional teams. Ida leads the Private Banking activities in 25 offices across the United States and Canada and delivers robust global, wealth management solutions to ultra-high net worth and high net worth clients, family offices, global clients and foundations & endowments. Ida and team are focused on deepening and acquiring new client relationships and delivering firm wide Citi solutions. Additionally, Ida sits on the Citi Women Steering Committee, Citi's global strategy to focus on the advancement of women. Prior to being named Head of North America, Ida was Citi Private Bank's Global Market Manager for New York, and under her leadership, the New York business experienced double-digit growth year after year.

Prior to being the Global Market Manager for New York, Ida founded Citi Private Bank's North America Asian Clients Group. She started her career at Citi Private Bank in 2007 by launching and heading the Fashion, Retail and Entertainment Group. Before joining Citi, Ida was at Vivienne Tam, a women's wear design house, where she was Global Head of Sales, Marketing, Public Relations and Business Development. Prior to this, Ida spent seven years in investment banking with Merrill Lynch's mergers and acquisitions, and technology, media and telecommunications investment banking groups in New York and Hong Kong. She started her career in mergers and acquisitions at BT Wolfensohn (now Deutsche Bank).

In 2020, the American Banker awarded Ida as one of the 25 Most Powerful Women in Finance and Barron's recognized Ida as one of the 100 Most Influential Women in U.S. Finance. She also has been recognized as a Crain's 40 Under 40, World Economic Forum Young Global Leader, Financial Times Top 100 Advisor and Top 50 Outstanding Asian Americans in Business. Additionally, Ida is a member of The Committee of 100 (ClOO) and Young Presidents' Organization (YPO). She previously served as a Board Member for Wellesley College Alumnae Association, Harvard Kennedy School Women's Leadership Group, Volunteers of America and as an Advisor to Asia Foundation's Lotus Circle. Ida is a frequent contributor to Bloomberg TV, MSNBC and has been a featured speaker at many industry events.

Ida holds a BA with honors from Wellesley College, a Merrill Lynch Executive MBA from The Wharton School, University of Pennsylvania and Harvard Kennedy School Global Leadership and Public Policy for the 21st Century. She is fluent in Mandarin Chinese, Spanish and conversant in Italian and Russian.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Session 1 Future of Work: The New Work Dynamics in a Post Pandemic Age Technology is continuously advancing, and the pandemic has changed how we work. As we move into a post-pandemic age, what will work look like in the future regarding its structure, location, and interpersonal relationships?

Lynne Oldham Chief People Officer, Zoom

Lynne is the Chief People Officer of Zoom, a NASDAQ 100 (ZM) company in hyper- growth. She has been a key advisor to C Suite executives with 25 years of demonstrated leadership experience driving profitable growth strategies for startups, private and public companies - domestic and international - across a variety of industries, including 10 years in investment banking. Joining Zoom just prior to IPO in 2019, Lynne is navigating continued business scaling, and employment engagement as well as safeguarding culture -- which is particularly challenging during the pandemic.

Prior to Zoom, Lynne has held leadership roles with Televerde in Phoenix, AZ, Driscoll's in Watsonville, CA, Suntrust Bank in Atlanta and BNP Paribas in NY, NY. She has been an agent of change in her career transforming every aspect of Human Resources in the companies she has worked.

Lynne serves as Chair of the Board for Arouet Empowers, a 501(c)(3) serving current and formerly incarcerated women to give them a second chance at life. She also serves on the advisory boards of Zoom Cares (Zoom's charitable foundation) and Volition Capital Strategic Advisors IV Fund. Lynne holds a Juris Doctor from Seton Hall University School of Law and a Bachelor’s Degree in Finance and Business Administration from State University of New York, College at New Paltz.

Steve Hatfield (Interviewer), Global Future of Work Leader Principal, Workforce Transformation, Global Human Capital Executive Committee, Deloitte

Steve is a Principal with Deloitte Consulting and serves as the Global Leader for Future of Work for the Firm. He has over 20 years experience advising Global Organizations on issues of Strategy, Innovation, Organization, People, Culture, and Change

He has advised business leaders on a multitude of initiatives including activating Strategy, defining a preferred Future, addressing Workforce trends, implementing agile and resilient Operating Models, and transforming culture oriented to growth, innovation and agility.

Steve has significant experience in bringing to life the ongoing trends impacting the future of work, workforce and workplace.

Often, this involvement includes Strategy Development, Innovation Capability Building, Executive Meeting Design & Facilitation, People and Workforce Strategy Development, and Large Scale Change Program Design &

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Implementation. He draws on deep skills in Facilitation, Design Thinking, Organizational Behavior, Group Process, and Culture Enablement to create breakthrough experiences for clients.

He is a regular speaker and author on the Future of Work, and is currently on the Deloitte leadership team, shaping the research and marketplace dialogue on future workforce and workplace trends and issues.

Steve has a Masters in Social Change & Development from Johns Hopkins and an MBA from Wharton.

Session 2 The Economic Outlook for the EuroZone Hear from a panel of experts from BNP Paribas on the drivers of the economies and financial markets of the EU. The panel draws some perspectives on growth concerns, market indicators, and highlight current expectations for the EU economies.

José Placido (Panel Introduction) CEO of BNP Paribas Corporate and Institutional Banking (CIB) Americas, BNP Paribas

José Placido was appointed the CEO of BNP Paribas Corporate and Institutional Banking (CIB) Americas in September 2020.

Mr. Placido has over 20 years of financial services experience. Prior to his current role, he was Global Head of Client Development for BNP Paribas Securities Services and Global Head of the Financial Institutions Coverage (FIC) Group.

Before joining BNP Paribas in 2014 Mr. Placido was CEO of RBC Investor Services (RBC Dexia) from 2006-2013. He held several senior positions during his tenure at Royal Bank of Canada (RBC), most notably as Executive Vice-President of RBC Global Services from 2002-2006.

He served as Senior Vice President of RBC Institutional & Investor Services of Royal Bank of Canada from 1999- 2002. From 1996 to 1999, he served as Managing Director of RBC Global Investor Services based in London UK.

Mr. Placido began his career in institutional investor services when he joined Royal Trust Corporation of Canada in 1988 in Montreal.

He has served as a Director of CLS Group Holdings AG and as chair for the Canadian Capital Markets Association (CCMA).

Mr. Placido is a graduate of Montreal’s McGill University.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Heather Orrico (Moderator) Managing Director, Co-Head of FXLM.COMM Americas, BNP Paribas

In March 2020, Heather Orrico became the Co-Head of FXLM.COMM in Global Markets Americas, with responsibility to drive the sales strategy in the region spanning North America, Latin America, institutional, and corporate clients. As part of her management responsibilities, she is a member of the Global Markets Americas Executive Committee and Global FXLM.COMM Executive Committee.

Prior to this appointment, Heather has held various sales management roles in the NY since 2017. During this time, Heather led institutional sales teams covering FX, Local Market Rates, and commodity products.

Heather was previously a member of the FXLM sales team in both London and NYC. In this capacity, she was instrumental in uptiering BNPP’s relationships with both US and UK asset managers.

Heather joined the bank in 2012, as a member of the US real money FX sales team. As this team was in its infancy, Heather was responsible for prospecting and bringing in asset managers as clients to build a new franchise business.

Heather is passionate about women’s initiatives as exemplified by her membership in Women in Global Markets Americas, Mixcity US, and the Parents and Caregivers BNG. Heather also plays an active role in mentorship for young women across Global Markets.

Heather joined UBS Investment Bank as part of their graduate training program in 2007. Following her time at UBS, Heather joined Morgan Stanley in 2009 to help build their presence with asset managers within their foreign exchange and local markets business.

Heather graduated from Yale University in 2007 with a B.A. in Political Science. She was the Captain of the 2006-2007 Yale Field Hockey team. During her tenure at Yale she was named All-American, All Ivy League, and received National Academic Honors. Heather currently is the Chair of the Fundraising Committee for the Yale Alumni Association, which aims to close the fundraising gap between male and female athletic programs.

Olivia Frieser Global Head Of Markets 360, Strategy & Economics, Global Markets, BNP Paribas

Olivia is responsible for Markets 360, BNP Paribas’s Global Markets Research division.

Her team is made up of Economists and Strategists across asset classes: Rates, Foreign Exchange, Emerging Markets, Equity Derivatives, Commodities and Credit, as well as across various locations in Europe, the Americas and Asia.

Olivia joined BNP Paribas in September 2007 and is based in London. At BNP Paribas, Olivia previously headed the Global Credit Trading Desk Analysts and Strategy team and was the Senior Credit Analyst for European banks.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

She had previously spent nine years at Morgan Stanley in Fixed Income Research covering European banks and insurance companies.

Prior to Morgan Stanley, she had worked in project finance in Germany (1994) and Malaysia (1995-1998) for a German engineering company.

She holds a Master in Finance from Dauphine University, Paris.

Olivia is a member of the BNP Paribas Global Markets Management Committee, the Global Markets Client Board and a founding & board member of Women in Global Markets UK.

S. Michael Koh Head of Regulatory Strategy & Policy, BNP Paribas USA and CIB Americas

Michael Koh joined BNP Paribas USA in April 2019 as a Managing Director and Head of Regulatory Strategy & Policy. He is responsible for developing the regulatory strategy for U.S. operations and leading the Supervisory Relations, Government Affairs, and the Public & Regulatory Policy teams. He is a member of the BNP Paribas USA Executive Management Committee, the CIB Americas Executive Committee, chair of the CUSO/IHC Regulatory Oversight Committee, and the executive sponsor for the Americas IBOR Transition Program.

Michael has extensive experience leading and managing departments and teams in executing supervision of both domestic and foreign firms across the full spectrum of size, complexity and issues in circumstances ranging from business as usual to complex changes to crisis management.

Throughout his 26-year career at the Federal Reserve Bank of New York, Michael held various positions in Risk, Policy and Relationship functions, most recently serving as Vice President and Department Head for a portfolio of large banking organizations and intermediate holding companies of foreign banks. He served as a member of the system-wide Large and Foreign Banking Organizations (LFBO) Management Group and as the Secretariat Head for the Senior Supervisors Group, a forum for global GSIB supervisors.

Outside of the Bank, Michael serves on the boards of 2 independent schools.

Michael has a B.A. from Tufts University and an M.B.A. from Columbia Business School.

Anne van Riel Co-head Sustainable Finance Capital Markets, Americas, BNP Paribas

Anne joined BNP Paribas in 2020 as Co-head of the Sustainable Finance Capital Markets team covering the Americas region. She has led several transactions for BNPP, including CMPC and Cemex’ Sustainability-Linked Loans, Suzano’s Sustainability-Linked Bond and the Mercado Libre Sustainability Bond.

Prior to this position, she was the Head of Sustainable Finance for ING Capital in the Americas where she originated and structured several sustainable finance transactions including the Johnson Control Inc Sustainability Linked Loan, Xylem’s Sustainability Linked Facility as well as Marfrig’s Sustainable Transition Bond.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Past experience includes origination roles within Project Finance in the Infrastructure and Natural Resources sectors in both North and South America, including the project financing for Minera Antucoya. She also worked in the Private Equity team for FMO, the Dutch Development Bank.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Tuesday, March 16, 2021

Welcome & Opening Remarks

Simone G. Vinocour FWA President 2019-2021

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Keynote 2 Thoughts on the Markets – A Fireside Chat

Dan Barclay (Keynote Introduction) CEO, BMO Capital Markets

Dan Barclay is CEO of BMO Capital Markets, where he is responsible for all of BMO Financial Group’s interactions with corporate, government and institutional clients in global markets. Prior to that, he served as co-head of the firm’s Global Investment & Corporate Banking, including oversight of equity and debt underwriting, corporate lending and project financing, mergers and acquisitions advisory services and global trade and banking. He has over 29 years of investment banking experience in a broad range of industries.

Mr. Barclay currently serves on BMO Financial Group's Executive Committee. He also serves as Chairman of the Board of Directors of the Children’s Aid Foundation of Canada and was recognized as a Champion of Change by Women in Capital Markets. Mr. Barclay holds an MBA from the University of Calgary and a Bachelor of Science from the University of Alberta.

Patti Domm (Interviewer) CNBC Markets Editor

Patti Domm is a CNBC Markets Editor, responsible for news coverage of the markets and economy. Prior to joining CNBC in 1999 as senior news editor, Patti was the equities editor for the Americas at Reuters. She was also Wall Street editor at Reuters - reporting on mergers, acquisitions and the Street. She also edited three CNBC books on personal investing.

Patti is a Programming Committee Co-Chair of the FWA.

Rick Rieder Managing Director and Chief Investment Officer, Blackrock

Rick Rieder, Managing Director, is BlackRock's Chief Investment Officer of Global Fixed Income, Head of the Fundamental Fixed Income business, and Head of the Global Allocation Investment Team. Mr. Rieder is a member of BlackRock's Executive Sub-Committee on Investments, a member of BlackRock's Global Operating Committee, and Chairman of the firm-wide BlackRock Investment Council.

Before joining BlackRock in 2009, Mr. Rieder was President and Chief Executive Officer of R3 Capital Partners. He served as Vice Chairman and member of the Borrowing Committee for the U.S. Treasury and is currently a member of the Federal Reserve Investment Advisory Committee on Financial Markets.

Mr. Rieder currently serves on the Alphabet/Google Investment Advisory Committee and the UBS Research Advisory Board. He was awarded the Global Unconstrained Fixed Income Manager of the Year for 2015 by Institutional Investor, was nominated for Fixed Income Manager of the Year by Institutional Investor for 2014 FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

and was inducted into the Fixed Income Analysts Society Fixed Income Hall of Fame in 2013. Four of the funds Mr. Rieder manages (Strategic Income Opportunities, Fixed Income Global Opportunities, Total Return, and Strategic Global Bond) have been awarded Gold Medals by Morningstar.

From 1987 to 2008, Mr. Rieder was with Lehman Brothers, most recently as head of the firm's Global Principal Strategies team, a global proprietary investment platform. He was also global head of the firm's credit businesses, Chairman of the Corporate Bond and Loan Capital Commitment Committee, and a member of the Board of Trustees for the corporate pension fund. Before joining Lehman Brothers, Mr. Rieder was a credit analyst at SunTrust Banks in Atlanta.

Mr. Rieder earned a BBA degree in Finance from Emory University in 1983 and an MBA degree from The Wharton School of the University of Pennsylvania in 1987. He is a member of the board of Emory University, Emory's Business School, and the University's Finance Committee, and is the Vice Chairman of the Investment Committee. Mr. Rieder is founder and chairman of the business school's BBA investment fund and community financial literacy program.

Mr. Rieder serves as Chairman and President of the Board of Education for North Star Academy's fourteen Charter Schools in Newark, New Jersey, and is the Founder and Chairman of the Board of Graduation Generation Public School Collaboration in Atlanta. He is on the Board of the BlackRock Foundation, the Board of Advisors for the Hospital for Special Surgery, and the Board of Big Brothers/Big Sisters of Newark and Essex County. Mr. Rieder formerly served on the Board and National Leadership Council of the Communities in Schools Educational Foundation, and Trustee for the US Olympic Foundation. Mr. Rieder was honored at the Choose Success Awards ceremony in Atlanta in 2015 for his dedication to public education in Atlanta through CIS and Graduation Generation.

Session 3 Courageous Conversations There continues to be glaring inequality for women across the financial industry. Data shows that women’s experiences are far from equal in the workplace. This panel will address the dynamics of lesser wages, lack of opportunity, and thoughts to better inclusion. Join us!

Jennifer Brown (Moderator) Founder and CEO, Jennifer Brown Consulting; Author, Inclusion: Diversity, the New Workplace & the Will to Change and How to be an Inclusive Leader: Your Role in Creating Cultures of Belonging Where Everyone Can Thrive

Jennifer Brown is an award-winning entrepreneur, speaker, diversity and inclusion consultant, and author. As the successful Founder and CEO of Jennifer Brown Consulting (JBC), Jennifer is responsible for designing workplace strategies that have been implemented by some of the biggest companies and nonprofits in the world. Jennifer’s work in talent management, human capital, and intersectional theory has redefined the boundaries of talent potential and company culture. DataBird Business Journal named Jennifer a Top Small Business Female Executive in 2019, and peopleHum.com included Jennifer on their Power list of The top 200 thought leaders to follow in 2021.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Jennifer envisions inclusive organizations where all of us can thrive. As someone who has experienced both the advantages of privilege and the sting of stigma, Jennifer Brown is boldly redefining what it means to truly belong—in the workplace, in our families, and in our communities. A dynamic keynote speaker, internationally sought-after thought leader, and passionate social equality advocate, Jennifer shares her powerful and unforgettable true story with audiences to help us challenge our assumptions—about ourselves, about leaders, and others—and take inspired action today for a more inclusive tomorrow. An acclaimed keynoter, Jennifer is the bestselling author of Inclusion: Diversity, The New Workplace and The Will to Change and How To Be An Inclusive Leader: Your Role in Creating Cultures of Belonging Where Everyone Can Thrive, a shortlist winner of the O.W.L. Award, winner of the 2019 Nautilus Book Awards' Business & Leadership category, and a top SABA 2020 Book Awards Audience Vote. Her popular podcast, The Will to Change, appeared on Feedspot’s Top 15 Diversity And Inclusion Podcasts You Must Follow in 2020, and as Host, Jennifer interviews leading CEOs, bestselling authors, and entrepreneurs about diversity, equity, and inclusion and delivers focused content on how to create organizational change at any level.

Jennifer is a sought-after speaker and expert for leading research institutions such as the Mayo Clinic, as well as multiple business schools, including Kellogg, Columbia Business School, the Owen GSB at Vanderbilt, and University of Wisconsin. She currently serves as Executive in Residence for The University of North Texas’s School of Public Health/MPHA program. Jennifer has spoken at many top conferences and events such as the International Diversity Forum, the Global D&I Summit, the Forum for Workplace Inclusion, the NGLCC International Business & Leadership Conference, the Out & Equal Workplace Summit, Emerging Women, SHE Summit, Responsive, the Better Man Conference, INBOUND, ALTSummit, South by Southwest (SXSW), PBWC (Professional BusinessWomen of California), The Pennsylvania Conference for Women and Texas Conference for Women, and HR Transform. As a successful LGBT entrepreneur, Jennifer has been featured in media such as The New York Times, The Wall Street Journal, Harvard Business Review, AdWeek, Bloomberg Businessweek, Forbes, Inc., CBS, and many more.

Alison Micucci Senior Vice President – New York Life Direct

Alison Micucci is a Senior Vice President and head of NYL Direct, New York Life’s direct-to-consumer life insurance business.

Most recently Ms. Micucci was head of Business Planning and Strategy, reporting to New York Life’s President. In this role, she provided leadership and support of strategic initiatives at the corporate level and was responsible for Internal Consulting. She was instrumental in the integration of the transformation and technology roadmap initiatives with New York Life’s broader business strategies.

Previously, Ms. Micucci headed New York Life’s Institutional Annuities business. Institutional Annuities includes the Guaranteed Products, Structured Settlements and Stable Value businesses and generates approximately $300 million in annual operating earnings.

Ms. Micucci joined New York Life Investment Management in 2002 serving in various roles such as, Managing Director and Chief Compliance Officer; Head of Legal and Compliance; and Chief Administrative Officer of NYL Investments Group, with responsibilities that included strategic planning, internal communications and NYL Ventures.

Ms. Micucci has over 30 years of industry experience. Prior to joining New York Life, she was a Vice President at Goldman Sachs Asset Management with management responsibilities over a range of investment adviser

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

compliance areas. She also served as an enforcement attorney with the U.S. Securities and Exchange Commission and was an in-house attorney for Prudential Investments, providing legal support on investment advisory issues.

Ms. Micucci received a BA from the University of Massachusetts in Amherst, MA, where she graduated Phi Beta Kappa, cum laude with a double major in Economics and Political Science and a JD from Western New England College School of Law in Springfield, MA where she graduated cum laude and was a member of the Law Review. She is admitted to practice law in New York, New Jersey, and Massachusetts.

Sonia Chaliha, Managing Director BNY Mellon Corporate Trust – Global Head of Business Development

Sonia Chaliha is the Global Head of Business Development for Corporate Trust, leading a dedicated team of sales professionals who are responsible for driving new sales activities as well as expanding strategic client and segment relationships for the Division in the Americas, EMEA and APAC regions. Prior to her current role, Sonia ran the Latin American, Canadian and Cross-border businesses for Corporate Trust. Sonia sits as part of the Issuer Services Executive Council overseeing the Corporate Trust and Depositary Receipts businesses of BNY Mellon. In addition, for the last eleven years, she has been the on the Board (prior Chair) for BNY Trust Company of Canada and held equivalent chair and directorship for BNYM Mellon Mexican Bank entity, prior to its sale.

She has over 20 years’ experience as a business leader in the global fixed income markets covering wide ranging strategy, P&L, transaction structuring , business development and management as well as extensive dealings with regulators in multiple jurisdictions. With special expertise in complex products and structured finance, her career highlights include multiple landmark and innovative transactions as well as various Sovereign and market-based restructurings. Sonia came to BNY Mellon as a result of an acquisition of a UK- based investment management firm.

Sonia holds a Law Degree (LL.B) from the London School of Economics and Political Science (LSE), a Master’s degree (LL.M) in International Trade Law as well as Solicitors’ professional qualifications.

Stephanie Sleeper, SVP, Senior Director - Head of Third Party Risk Management, Citizens Bank

Stephanie Sleeper is an SVP and Head of Third Party Risk Management (TPRM) at Citizens Bank, N.A. responsible for TPRM policy, due diligence and oversight of third party risk management activity firm wide.

Stephanie began her banking career in 1994 in the Retail channel and has been with Citizens for 17 years holding a variety of roles with increasing responsibility in Compliance, Operations and Security & Risk.

She is a member of Citizens’ Business Services Operating Committee and Chair of the PRISM Multicultural Business Resource group. Stephanie also sits on the Board of Foster Forward whose mission is to help kids in foster care thrive.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Session 4 Moving Forward: Stakeholder Capitalism - Reimagining Corporate Commitment to Creating Sustainable Value In August 2019, the Business Roundtable, an association of CEOs from U.S. top companies, released its Statement on Corporate Purpose emphasizing that the purpose of a corporation is to deliver goods and services in a manner that delivers value to and considers the interests of a range of stakeholders. This panel will focus on trends and practices regarding stakeholder capitalism and ESG.

Holly J. Gregory, Partner, Corporate Governance, and Executive Compensation Non-Profit Institutions, Sidley Austin LLP

Holly J. Gregory, co-chair of Sidley’s global Corporate Governance and Executive Compensation practice, counsels publicly held, private and not-for-profit corporations on the full range of governance issues, including governance structure and culture, fiduciary duties, risk oversight, conflicts of interest, board and committee structure, board leadership, special committee investigations, CEO transitions, board audits and self-evaluation processes, shareholder activism and initiatives, proxy contests, relationships with shareholders and proxy advisory firms, compliance with legislative, regulatory and listing rule requirements and governance “best practices.” She is frequently called on to advise boards regarding sensitive and unusual matters. While most of the matters she works on are highly confidential, high-profile matters that are in the public record include advising on governance and accountability mechanisms of the Internet Corporation for Assigned Names and Numbers (ICANN) to replace U.S. government oversight, and advising the Board of The Pennsylvania State University on governance reforms.

Holly played a key role in drafting the OECD Principles of Corporate Governance and has advised the Internal Market Directorate of the European Commission on corporate governance regulation, and the joint OECD/World Bank Global Corporate Governance Forum on governance policy for developing and emerging markets. She also drafted the National Association of Corporate Directors (NACD) Key Agreed Principles of Corporate Governance.

In addition to her legal practice and policy efforts, Holly has lectured extensively on governance topics, including at events in Europe and Asia sponsored by the U.S. State Department, International Corporate Governance Network (ICGN), The Conference Board, the NACD, Association of Corporate Counsel, Society for Corporate Governance and Institutional Shareholder Services (ISS). The author of numerous articles on governance topics, she writes the governance column for Practical Law: The Journal.

Holly recently completed her term as chair of the American Bar Association’s (ABA) Corporate Governance Committee. She is a former co-chair of the ABA’s Delaware Law and Business Forum, a former appointed member of the Corporate Laws Committee where she served as co-editor of the Corporate Director’s Guidebook (Sixth Edition). She chaired the ABA task force that delivered the Report on the Delineation of Governance Roles & Responsibilities to Congress and the SEC in 2009. Holly serves on the ABA Business Law Section Council, is a founding trustee and president of The American College of Governance Counsel and is a member of The American Law Institute. She has served as an adjunct professor at Columbia Business School and as a member of multiple NACD Blue Ribbon Commissions.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Holly clerked for the Honorable Roger J. Miner, United States Court of Appeals for the Second Circuit. A summa cum laude graduate of New York Law School and Executive Editor of its Law Review, Holly served on the Board of Trustees of New York Law School from 2009 through 2011.

Holly is widely recognized for her work, including as: among the “100 Most Influential Players in Corporate Governance” (NACD/Directorship 100), Directorship Magazine, 2019 and all prior years (13 years total); one of “the best and brightest minds in the legal profession” in Ethisphere’s 2017 and 2015 Attorneys Who Matter; the “Best in Corporate Governance” at Euromoney Legal Media Group’s Americas Women in Business Law Awards 2016 and at the inaugural 2012 Awards; the leading practitioner in corporate governance law in the Guide to the World’s Leading Women in Business Law (July 2010); a “Leading Practitioner in Corporate Governance” in the International Who’s Who of Corporate Governance Lawyers, 2019 and prior years; a “Thought Leader” in the Who’s Who Legal: Thought Leaders – M&A and Governance 2019 and a “leading lawyer” in Corporate Governance in The Legal 500 US 2018 and prior years. In 2018, The National Law Journal named Holly to its list of “White Collar, Regulatory & Compliance Trailblazers.” Among other things, Holly was recognized for leading the team that counseled the global internet community on a new governance and accountability structure for ICANN for the period to follow U.S. government oversight.

Judy Samuelson. Founder and Executive Director, Aspen Institute Business and Society Program

Judy Samuelson. Founder and Executive Director, Aspen Institute Business and Society Program Judy Samuelson is founder and executive director of the Aspen Institute Business and Society Program and a vice president at the Aspen Institute. She is the author of The Six New Rules of Business: Creating Real Value in a Changing World. Signature programs under Judy’s leadership include a ten- year campaign to disrupt Milton Friedman’s narrative about corporate purpose, a multiyear dialogue to produce the Aspen Principles of Long-Term Value Creation, and a partnership with Korn Ferry to rethink executive pay. She previously worked in legislative affairs in California and banking in New York’s garment center and ran the Ford Foundation’s office of Program-Related Investments. Samuelson writes regularly for Quartz at Work, is a Bellagio Fellow and a director of Financial Health Network

Rina Kupferschmid-Rojas, UBS in Society – Head of Sustainable Finance

Rina is responsible for the Client strategy of UBS and Society Group worldwide, previously Global Head of Sustainable Investing at UBS Global Wealth Management,CIO. She was previously Managing Partner and CEO of ESG Analytics, an environmental, social and governance-oriented investment consultancy, and later Social Impact Director at MasterCard. She was an adjunct Professor at Columbia University on Sustainable and Impact Investing and since 2013 has been one of the World Economic Forum's (WEF) Young Global Leaders and is member of the WEF expert network.

Rina was named in 2014 by Newsweek as one of the leading Women in Tech in NYC. Rina is founding member of the New Innovators Council at the World Resources Institute and is Board Member at IamtheCode, a global movement to teach girls and young women to code as a way to build their creative capacity and help them realize their own potential. Rina founded in 2015 the Impact Lab for the WEF, a boot camp to identify ideas to tackle global social challenges, having launched successfully more than 30 Global Initiatives. She is an Advisor to the Sustainable Finance Professionals Network at Columbia University and a member of the B-20 Germany

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Climate Change Taskforce in 2016-2017 and B-20 Argentina Energy and Climate Change Taskforce 2018-2019. Rina holds a MA from the University of Fribourg, Switzerland and Certificates on Innovating for Sustainability and Corporate Performance from Harvard Business School and Certificates on Public Policy for the 21st Century from the Harvard Kennedy School and Public Policy and Executive Education on Leadership from Yale as well as an Energy Leadership Certificate from Princeton University . Rina is also member of the Women Leadership Board at the Harvard Kennedy School and a Board Member of the Social Progress Index. She started her Banking Career 29 years ago with an apprenticeship.

Kristi Mitchem, CEO, BMO Global Asset Management

Kristi Mitchem is chief executive officer and head of BMO Global Asset Management (BMO GAM), BMO’s asset management division, where she leads a team of investment professionals dedicated to delivering superior performance across a range of asset classes including multi-asset, alternative and more traditional exposure to listed fixed income and equities. BMO GAM has over $300 billion in AUM and is recognised as a world leader in ESG investing and corporate engagement.

Prior to joining BMO in 2019, Ms. Mitchem served as the CEO of Wells Fargo Asset Management where she led 28 autonomous investment teams. She has more than 20 years of experience in roles related to asset management, defined contribution pension plans and equities markets at State Street Corporation, BlackRock, and Goldman Sachs.

Ms. Mitchem is a passionate advocate for diversity and inclusion. At State Street she was a driving force in bringing to market a gender diversity index exchange-traded fund (ticker: SHE) designed to invest in U.S. companies committed to advancing the roles women play in their management and on their boards.

Ms. Mitchem was named one of the Most Influential Women in Bay Area Business by the San Francisco Business Times in 2018, as one of the Top Women in Asset Management by Money Management Executive in 2017, and as one of Treasury & Risk's Top 100 Influential People in 2008. She is also listed in several patent filings focused around guaranteed income requirements.

Ms. Mitchem earned a bachelor's degree in political science from Davidson College, where she graduated summa cum laude and was awarded First Honors. She earned a master's degree in business administration from the Stanford Graduate School of Business, where she was an Arjay Miller Scholar. She is also a Fulbright Scholar.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021

Closing Remarks

Claudine Gallagher Chief Human Resources Officer, CIB Americas, BNP Paribas

Claudine Gallagher is Head of Human Resources for CIB Americas. In this role, she is responsible for leading overall human resources strategy and reinforcing the firm's values in all aspects of the employee lifecycle. She oversees employee relations, talent acquisition, leadership and development, diversity, equity and inclusion initiatives, compensation and benefits, and HR operations.

She is a member of the CIB Americas Executive Committee and the Group Human Resources Executive Committee. She has been honored by American Banker for the past five consecutive years as one of the '25 Most Powerful Women in Finance.'

Claudine most recently served as Chief Conduct and Controls Officer for BNP Paribas USA and CIB Americas.

Claudine was with the Bank from 1995 to 2001 in Paris, Brussels and New York, where she was responsible for the strategic development of the Bank's European custody and clearing business.

She then worked at JP Morgan for 10 years in a variety of senior management roles. In her most recent role, she was global head of Depositary Receipts, a position she had held since 2006.

Claudine returned to BNP Paribas in 2012 as Head of North America for Securities Services, later becoming Head of the Americas for the business. She was responsible for the strategic development of the region, spearheading its client and product development, as well as its marketing initiatives.

Claudine is a graduate of the University of Massachusetts with a Bachelor of Arts in French Literature and Bachelor of Business Administration in Finance.

FWA’s 4th Annual Summit - The Future is Now – The Age of Rapid Change in Finance Monday – Tuesday, March 15-16, 2021