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Sixteenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice


Speaker(s): Andrew J. Bagley, Bob Hoyt, Bradley J. Gans, Cecil D. Quillen III, Damien Byrne Hill, Deborah A. Smith, Deborah Finkler, Delphine Mourot, Diana Billik, Erik Morris, Hans-Michael Giesen, James C. Scoville, James H.R. Windels, Joe P. Longo, John Tribolati, John W. White, Jon Grussing, Kate Cheetham, Laura A. Holleman, Mandy DeFilippo, Mark Danzey, Mark S. Bergman, Mark Steward, Mary B. Tokar, Matthew Blows, Matthias Baudisch, Michael J. Gallagher, Natalia Nicolaidis, Nicholas Baumgartner, Nicholas J. Shaw, Peter Castellon, Pranav L. Trivedi, Richard A. Pollack, Robert Evans III, Robert H. Mundheim, Robert S Khuzami, Sajid F. Hussein, Sarah Murphy, Scott Colwell, Sebastian R. Sperber, Simon Dodds, Sir David Green, Stephanie Pagni, Stephen Woodward, Ton Schutte, Wesley R. Bricker, Yasmine Bassili
Recorded on: Jan. 19, 2017
PLI Program #: 185851

James Scoville is a corporate partner whose practice focuses on securities matters and capital markets transactions. He advises both issuers and underwriters in U.S.-registered and global offerings, with particular experience working on listings on the London Stock Exchange and U.S. exchanges by Russian, Chinese and other emerging market companies, as well as representing insurance companies and underwriters in insurance company securities offerings.

Mr. Scoville is ranked by Chambers Global(2015) as a leading individual for equity capital markets in the UK and as a regional expert for debt and equity capital markets in Russia/CIS. IFLR1000 (2016) names Mr. Scoville as a Leading Lawyer for Capital Markets: Debt and M&A. InChambers Global(2013) and Chambers Europe (2013), Mr. Scovilleis recognised as “a renowned securities and capital markets lawyer” and in Chambers Global (2014) he is noted as being “well known for his work on capital market transactions with Russian clients.” Mr. Scoville is recognised as a leading individual for Capital Markets: Russia byChambers Europe (2013-2015). Hiswork on China Life has earned him the plaudit of “Dealmaker of the Year” from TheAmerican Lawyer.Mr. Scoville is recommended for Projects, Energy, Natural Resources: Mining and Minerals as well as for Emerging Markets in TheLegal 500 UK (2014 and 2015).TheLegal 500 UK (2012) notes his work on listings on the London Stock Exchange and U.S. exchanges for Russian, Chinese and other emerging market companies.

He is the author of a number of articles on capital markets and mergers & acquisitions issues. Recent publications include “Development of International Regulatory Capital Standards Continues,” Insurance Day (September, 2015); “Up To 49 Percent Foreign Ownership Of Indian Insurers Is Now Law,” FC&S Legal (May, 2015), “The EU Solvency II Regime For Insurers: An Update On Implementation,” FC&S Legal (May, 2015), “IAIS Issues Consultation On Global Insurance Capital Standard,” Canadian Insurance Regulation Reporter (February, 2015); “Takeaways From The 21st Annual IAIS Conference,” Law360 (November, 2014); “A Window Of Opportunity,” International Financial Law Review (October, 2014); “Russian Eurobond Issuers’ Buyback Opportunity,” International Financial Law Review (September, 2014); “What’s Driving ADRs’ Renaissance,” International Financial Law Review (September, 2014); “Deal of the Month: Norilsk Nickel’s $1bn seven-year Eurobond offering,” The Lawyer (November, 2013); and “Capital Resources,” Mining Journal (September, 2013). Recent speaking engagements include “Raising Capital on Public Equity Markets: Current Trends,” Debevoise & Plimpton LLP (February, 2013); “NYSE Euronext: Opportunities for Russian Issuers in the US and Europe,” Debevoise & Plimpton LLP (February, 2013); “Listings on London Stock Exchange,” Bank of America Conference(December, 2012); “GDR or Premium Share Listing,” The London Stock Exchange (July, 2012); “Developments in Capital Markets,” PLI's Eleventh Annual Institute on Securities Regulation in Europe (March, 2012); and “Current Developments in Russian and International Capital Markets,” Debevoise & Plimpton LLP (February, 2012).

Mr. Scoville served as Managing Partner for Debevoise’s London office from 2005 to 2013. He received his A.B. cum laude from Dartmouth in 1983 and his J.D. from the University of Chicago Law School in 1987 where he was elected to the Order of the Coif.


Mandy is a Managing Director and Chief Operating Officer for GCM EMEA, and Chief Risk Officer for GCM International business, covering EMEA, Asia-Pacific and Japan.  Mandy joined Morgan Stanley in 2007, working in Equity Capital Markets in London.  Since 2011, she has run the Capital Markets Structuring Team for both debt and equity products in the EMEA region; in her current role, which she assumed in 2013, the team continues to report to her.  Mandy is a member of the Board of Directors of the International Capital Markets Association, and participates on behalf of the Firm in other industry organizations in the European market.  She is also a member of the Executive Board of Rays of Sunshine Children’s Charity in the UK.  Mandy holds a Bachelor of Arts degree from Columbia University and a Juris Doctor degree from Harvard Law School.  Before joining Morgan Stanley, she was a US corporate and securities lawyer at Allen & Overy LLP in London.


Deborah Finkler heads Slaughter and May’s Dispute Resolution group, leading a team of more than 60 dispute resolution lawyers. She has a number of major financial institution clients whom she has successfully advised across the spectrum of contentious matters, including both High Court litigation and foreign disputes as well as internal investigations and contentious regulatory matters involving a number of national regulators. Deborah is highly regarded for her banking litigation practice, and has also been involved in complex corporate recovery and insolvency work.

Deborah has advised financial institutions in connection with multi-jurisdictional regulatory investigations in IBOR, Forex rates, and anti-money laundering and related issues. She has secured worldwide freezing orders for clients in contentious matters arising out of insolvencies, advised on multiple proceedings in relation to structured credit derivative products affected by the Icelandic banking crisis, and advised in relation to regulatory issues such as those relating to payment protection insurance, and enhanced annuities.

Deborah is as a leading ‘top tier’ individual for Banking Litigation, Chambers and Partners UK, 2016, and a leading individual for Banking Litigation, The Legal 500, 2016. Deborah is highly rated by sources who describe her as “one of the top litigators around. If there’s anyone you’d want fighting your corner, she’s the person you’d pick.” Banking Litigation, Chambers UK, 2015.


Hans-Michael Giesen is a partner in GIESEN HEIDBRINK, a Berlin law firm which was formed by two experienced partners performing a senior advisers’ role. Their joint firm focuses on corporate and transactional work, complex contracts as well as litigation and arbitration, often with an international dimension.

Michael specializes in corporate and transactional work. A significant part of his practice is devoted to acting as a notary public in corporate transactions.

Michael is a member of the legislative assembly of the German bar (Satzungsversammlung der Bundesrechtsanwaltskammer) where he also chairs the committee on professional rules and advertising. Nominated by the German Federal Bar, he is a member of the Council of the International Bar Association and of the Policy Committee of the IBA’s Bar Issues Commission. He is also an active member of a number of other international legal organizations, including the American Bar Association.

After having completed his legal education in Germany Michael graduated from the University of Michigan Law School with a Master of Laws degree. Since 1985 he has practiced twice in New York, in Frankfurt/Main and in Berlin, first as a partner with the German Bruckhaus firm, then with Freshfields Bruckhaus Deringer and a German national firm. In March 2012, together with Alfried Heidbrink, who has a similar background but focuses on dispute resolution, he founded his current firm.


John Tribolati is Managing Director and EMEA General Counsel for JP Morgan.

John worked in the Legal Department at JPM from 1993-2001 in New York, Singapore and Tokyo, and at Goldman Sachs in Tokyo and London until 2015, most recently as EMEA co-General Counsel.  He was also an associate at Cleary Gottlieb Steen & Hamilton in New York

He holds a B.S. from Cornell University and a J.D. from Cornell Law School, and is a member of the New York State Bar.  He lives in London with his wife and daughter.


Jon Grussing is a Managing Director of Credit Suisse in the Investment Banking and Capital Markets division, based in London. He is head of the Equity Corporate Finance team which leads the execution of equity and equity-linked offerings. He is also Co-Chairman of the European Investment Banking Committee.

Mr. Grussing joined Credit Suisse in 1985 in New York. He holds an A.B. in Economics from Dartmouth College. He’s been known to channel Marcus Welby and say “I am not a lawyer but I play one on TV.”

Please do let me know if you need anything further.


Mary Tokar was appointed to the International Accounting Standards Board (Board) in January 2013 and was reappointed for a second term in July 2017. Prior to joining the Board, Ms Tokar served as the global leader for KPMG’s International Financial Reporting Group, responsible for KPMG’s dialogue with global accounting regulators and standard-setters. 

At KPMG, Ms Tokar worked with engagement teams and clients in developed and emerging economies on their transition to and application of IFRS Standards. She served as a member of the IFRS Interpretations Committee from 2001 to 2007 and was a KPMG global leader for employee benefit and share-based payment accounting.

Previously, Ms Tokar worked at the US Securities and Exchange Commission (SEC) as the international senior associate chief accountant. Ms Tokar was the lead SEC representative for international accounting issues; she also chaired an international committee of securities regulators working on disclosure and accounting issues for the International Organization of Securities Commissions (IOSCO).

Ms Tokar holds an MBA from New York University’s Stern School of Business, US.


Mr. Mundheim is Of Counsel to Shearman & Sterling and Professor of Corporate Law & Finance at the James E. Rogers College of Law at the University of Arizona. He was formerly the Executive Vice President and General Counsel of Salomon, Inc. (1992-1997). Mr. Mundheim was the University Professor of Law and Finance at the University of Pennsylvania (1980-1992) and the Dean of the University of Pennsylvania Law School (1982-1989). In addition, Mr. Mundheim has served as General Counsel of the U.S. Treasury Department (1977-1980) and as Special Counsel of the Securities & Exchange Commission (1962-1963).

Mr. Mundheim was a member of the American Bar Association’s Standing Committee on Ethics and Professional Responsibility (2006-2012) and served as its Chair (2008-2011). He was a member of the Council of the American Law Institute (1985-2012) and served as a Consultant and Advisor to the Council on the Institute’s Principles of Corporate Governance (1980-1992). He also served as an Advisor to the American Law Institute’s Restatement of the Law – the Law Governing Lawyers, as a member of the American Bar Association President’s Task Force on Corporate Responsibility, and as a member of the Association of the Bar of the City of New York’s Presidential Task Force on Lawyers’ Role in Corporate Governance.


Pranav L. Trivedi is head of Skadden’s London office and serves on the fi m’s Policy Committee. His practice focuses on international corporate finance including initial public offerings and privatisations, cross-border mergers and acquisitions, joint ventures and private equity. Mr. Trivedi represents U.S. and Western European companies in corporate fi and M&A transactions involving companies throughout Eastern Europe, Russia and Central Asia.

Mr. Trivedi’s experience in corporate finance transactions includes advising:

  • JSC Gazprom (Russia) in its listing on the Singapore Stock Exchange effected by the intro- duction of up to 4 billion global depositary shares, representing up to 8 billion ordinary shares of JSC Gazprom. This was the first listing “by introduction” of depositary receipts on the Singapore Exchange, and the first listing by a Russian company on the Singapore Stock Exchange;
  • Credit Suisse, J.P. Morgan, VTB Capital, Deutsche Bank, UBS Investment Bank and TPG Capital BD as joint bookrunners in the US$1 billion initial public offering of global depositary receipts of Lenta Ltd. This is the first dual listing of GDRs on the London and Moscow Stock Exchange;
  • QIWI plc (Russia), a provider of electronic payment services, in its US$212 million initial public offering of American depositary shares (ADS) with a listing on the Nasdaq Global Select Market, and its listing of ADS on the Moscow Interbank Currency Exchange. QIWI plc is the first Russian company to complete an IPO under the U.S. JOBS Act, and the first foreign company to list on a Russian stock exchange;
  • Eurasia Drilling Company Limited (Russia), a provider of oil drilling services, in connec- tion with its debut seven-year US$600 million 4.875% Rule 144A/Regulation S bond issue listed on the regulated market of the Irish Stock Exchange;
  • SIBUR, the largest integrated gas processing and petrochemicals company in Russia/CIS/ CEE, in connection with its debut five-year US$1 billion 3.914% Rule 144A/Regulation S bond issue listed on the regulated market of the Irish Stock Exchange;
  • Barclays Bank PLC, Citigroup Global Markets Limited, ING Bank N.V., London Branch and the Royal Bank of Scotland plc. in connection with the offering by VimpelCom Holdings B.V. of US$600 million 5.20% senior unsecured notes due 2019, US$1 billion 5.95% senior unsecured notes due 2023 and RUB12 billion 9.00% senior unsecured notes due 2018;
  • Brunswick Rail in connection with its US$600 million 6.55% high-yield bonds due 2017. This deal was awarded “2012 Deal of the Year for Central and Eastern Europe” by Euromoney magazine;
  • the underwriters in a US$560 million SEC-registered secondary offering of preferred shares by Mechel OAO, a mining and metals company in Russia;
  • Citigroup and Goldman Sachs International as joint global coordinators and Alfa Capital Markets, Citigroup and Goldman Sachs International as joint bookrunners to X5 Retail Group N.V. (X5) in its US$1.1 billion rights offering and follow-on secondary offering of 48,106,700 GDRs to existing holders of GDRs;

Education

J.D., Columbia Law School, 1991 (with honors)

B.A., Yale University, 1988 (summa cum laude)

Bar Admissions

District of Columbia

New  York

Language

Russian

Gujarati


Rob Khuzami currently serves as Deputy United States Attorney in the United States Attorney’s Office for the Southern District of New York.

From July 2013 until January 2018, Rob was a partner in the Government & Internal Investigations Practice Group at Kirkland & Ellis LLP.

Rob served for four years (2009-13) as Director of Enforcement for the United States Securities and Exchange Commission.  

From 2002 to 2009, Rob worked at Deutsche Bank AG in New York, serving first as Global Head of Litigation and Regulatory Investigations (2002-04) and then as General Counsel for the Americas (2004-09).

From 1990 to 2002, Rob served as an Assistant U.S. Attorney in the United States Attorney’s Office for the Southern District of New York, where he tried ten criminal trials to verdict.  For three years (1999-2002), Rob served as Chief of that Office’s Securities and Commodities Fraud Task Force.  Rob was also a member of the prosecution team in United States v. Abdel Rahman, et al., the then-largest terrorism trial in U.S. history that resulted in the conviction of Omar Ahmed Ali Abdel Rahman, and nine co-defendants for operating an international terrorist organization responsible for, among other things, the 1993 bombing of the World Trade Center, the 1990 murder of Rabbi Meir Kahane, and the July 1993 plot to bomb the United Nations, the Lincoln and Holland Tunnels, and the FBI Headquarters.

From 1984 to 1990, Rob was an associate at Cadwalader, Wickersham & Taft in New York.

From 1983 to 1984, Rob was a law clerk to the Hon. John R. Gibson of the United States Court of Appeals for the Eighth Circuit.

Rob is a 1983 graduate of Boston University School of Law, where he served as Editor-in-Chief of the American Journal of Law and Medicine, and a 1979 magna cum laude graduate of the University of Rochester, with a B.A. in political science and philosophy.

 


Sajid Hussein is head of Bank of America Merrill Lynch’s Legal department in Europe, Middle East and Africa. He is based in London and heads a group of lawyers that provides legal support to Global Banking and Markets in the region. Hussein’s team covers the breadth of businesses including capital markets trading and origination, M&A, investment grade and leveraged finance, equities, rates, currencies and commodities. The team also deals with regulatory, employment, litigation and insolvency issues in the region. In addition, Hussein is responsible for the Europe Card Services (MBNA) Legal team based in Chester.

Hussein joined Bank of America in 2005 as Associate General Counsel. He was previously a director in Deutsche Bank’s London-based Legal department. Prior to that he worked as a banking lawyer at international law firm Allen & Overy in both London and Paris.

He graduated in 1992 with a bachelor’s degree in Law from the London School of Economics and Political Science. He also holds a master’s degree in Commercial Law and European Law from the University of Cambridge and is admitted as a Solicitor of the Senior Courts of England and Wales.

Hussein is a member of the human rights group Liberty and sits on the advisory board of SEO London, a charity that mentors minority students.


Sir David Green CB QC, formerly Director of the Serious Fraud Office (SFO), joined Slaughter and May on 22 October 2018 as a Senior Consultant in our Dispute Resolution department.

Following 3 years with the Defence Intelligence Staff, he was called to the bar in 1979. His practice over the following 25 years was in criminal law, acting for both defence and prosecution. He was appointed Recorder in 1997 and Queen’s Counsel in 2000.

In December 2004 David was appointed Director of the newly established Revenue and Customs Prosecutions Office (RCPO) by the Attorney General. He remained in that post until RCPO was merged with the CPS in 2010. Thereafter he headed the CPS Central Fraud Group until 2011, when he returned to the bar.

In April 2012 he was appointed Director of the SFO by the Attorney General, and his extended contract ended after 6 years in April 2018.

David’s term at the SFO will be remembered for his refocusing of the office, his instigation and oversight of high profile investigations and prosecutions, the first Deferred Prosecution Agreements (DPAs) and his leadership of the SFO in a challenging political context.


Yasmine Bassili  is a Managing Director, and head of the Debt Underwriting Group in EMEA within Goldman Sachs.  Prior to joining Goldman Sachs in 2007, Yasmine spent 10 years as a banking and Finance lawyer in New Zealand and London.


Damien is leader of the firm's banking litigation practice in London and advises on contentious issues facing domestic and international banks, investment funds, private equity houses and other financial institutions. He has acted on high-profile matters including UBS' $2.3 billion fraudulent trading losses, the defence of Goldman Sachs in the claim brought against it by IFE Fund, and Rabobank's Enron-related proceedings against Royal Bank of Canada.

Damien has advised on disputes concerning corporate finance transactions, investment advice, fund management, securities trading, project finance, private equity investment, enforcement of security and structured finance.

His experience includes company and commercial disputes in London and Asia across a wide range of industries and professions, in the context of both High Court litigation and international arbitration.

Credentials

  • Goldman Sachs in relation to claims brought by the Libyan Investment Authority to recover substantial sums in respect of derivatives trades executed in 2008
  • Credit Suisse in its successful defence of a claim over the sale of an interest in an oil field in Azerbaijan
  • Pioneer in its successful appeal to the Court of Appeal over the correct interpretation of clause 2(a) (iii) of the ISDA Master Agreement
  • UBS in relation to the regulatory and criminal proceedings following the Kweku Adoboli rogue trading incident in 2011
  • Goldman Sachs in successfully defending a claim by a mezzanine investor fund alleging misrepresentation in relation to the information memorandum issued on syndication of the investment
  • Rabobank in a dispute with Royal Bank of Canada which arose in the context of a complex structured finance arrangement for Enron and involved parallel proceedings in London and New York
  • First Investments and others in a claim against US investment manager, Trust Company of the West, in respect to investments in mortgage-backed securities
  • the United States Securities and Exchange Commission in obtaining evidence in Hong Kong for use in insider dealing and fraud proceedings

Accolades

  • Damien Byrne Hill is a "standout individual," sources describe him as "razor-sharp."

    Chamber UK 2014
  • Damien Byrne Hill is identified as a "terrific" litigator and "a very clever guy."

    Chambers UK 2014

  • Damien Byrne Hill is ‘clearly on top of the detail, and his advice is commercial’.

    Legal 500 UK 2013

  • Damien Byrne Hill elicits praise for his "no-nonsense approach".

    Chambers UK 2012

  • Damien Byrne Hill is "enthusiastic, engaged and really identifies with the clients position".

    Chambers UK 2012


Deborah is an executive director / senior counsel in the legal department to the Investment Banking Division at Goldman Sachs International. She also serves as co-chair of the firm’s EMEA Pro Bono Committee and is a member of the Steering Committee of the London Legal, Compliance, Internal Audit & Executive Office Women’s Network. Deborah joined Goldman Sachs in 2012. Prior to joining the firm, Deborah worked as a US Associate / Counsel at Linklaters, having worked in their Paris, Dubai and London offices. Deborah earned a BA in Political Science from Dartmouth College in 1995 and a JD from New York University School of Law in 2000.


Delphine is an Executive Director in the Global Capital Markets department at Morgan Stanley.  She leads the debt capital markets execution team in EMEA, the transaction management group.  Delphine joined Morgan Stanley in 2007, prior to which she worked at Cleary Gottlieb. 

Delphine is involved in all phases of DCM execution and her team deals with all products (FIG, corporate, SSA, emerging markets, securitisation and liability management), covering EMEA.

She represents Morgan Stanley at the ICMA Legal & Documentation committee.  Delphine is the co-chair of the Morgan Stanley EMEA family network.  She is also a trustee of the Vauxhall City Farm and is married with two young children. 

Delphine graduated from Sciences-Po Aix and from HEC Business School, and holds a Master in European law from Paris II Pantheon Assas and a Master in International business law from Paris I Pantheon Sorbonne.


Joe is General Counsel, UK and EMEA, Deutsche Bank AG, based in London from 2016.  Joe joined the Bank in 2002 as General Counsel, Asia (ex-Japan) based in Hong Kong and subsequently became General Counsel, Asia-Pacific.

Before moving to Hong Kong, Joe was Special Counsel at Freehills (now Herbert Smith Freehills) Solicitors, based in Sydney, Australia, where he specialised in commercial litigation, financial service regulation and contentious regulatory matters.  Between 1996 and 2001 Joe was National Enforcement Director at the Australian Securities & Investments Commission based in Sydney, responsible for the national coordination and direction of all ASIC’s investigation, prosecution and enforcement activities, including periodic appointments as Acting Commission Member and Acting Chairman.

Between 1988 and 1995, Joe was a commercial litigation partner with Parker & Parker (now Herbert Smith Freehills) based in Perth, Western Australia specialising in corporate litigation and “white collar” defence and contentious regulatory matters. Earlier, between 1985 and 1988, Joe practiced as a commercial and corporate finance lawyer with Parker Chapin Flattau & Klimpl, and later Skadden Arps Slate Meagher & Flom, based in New York City, where Joe is also admitted to practice. Joe graduated from the University of Western Australia Law School and the Yale Law School (LL.M.).


Laura is general counsel of the Investment Banking Division (IBD) with global responsibility for the IBD Legal and the Capital Markets Legal groups. She serves as counsel to the Firmwide Commitments Committee and Asia Pacific Commitments Committee and is a member of the Firmwide Operational Risk Committee and the IBD Client and Business Standards Committee. Laura also represents the firm on the Equity Capital Markets Board of the Association for Financial Markets in Europe. She is the Legal Department’s MD ally for the Lesbian, Gay, Bisexual and Transgender Network.

Laura joined Goldman Sachs in 1998 as a vice president in the Special Execution Group (now IBD Legal) and became co- head of the European group in 2001. She was named managing director in 2004.

Prior to joining the firm, Laura was an associate with the London office of Sullivan & Cromwell from 1992 to 1996 and a vice president with J.P. Morgan Investment Management Inc. in London in the Legal and Compliance Department in 1997.

Laura earned a BA in International Relations from Michigan State University in 1988 and a JD from The Ohio State University College of Law in 1992.


Mark is Executive Director of Enforcement and Market Oversight at the Financial Conduct Authority. He has been involved in corporate, financial services and securities regulation since 1987 in Australia, Hong Kong and in the UK, specialising in investigatory work and resulting litigation.

Mark joined the FCA from the Hong Kong Securities and Futures Commission, where he was Executive Director of Enforcement and a member of the board for 9 years. Before joining the SFC, Mark was Deputy Executive Director, Enforcement with the Australian Securities and Investments Commission.


Matthias is a high yield partner in our London office. He regularly advises leading underwriters, issuers and financial sponsors in Rule 144A/ Regulation S high yield bond offerings and has extensive experience in bridge financings and merger & acquisitions transactions.

Matthias has been repeatedly cited as a leading practitioner in debt and equity capital markets with particular expertise in Germany and the United Kingdom by Chambers Global from 2012 through 2014. He was also recognized for his high yield and debt capital markets work by Legal 500 United Kingdom in 2014 and more recently has been described by Chambers UK 2016 as “outstanding.”

Recent deals include high yield bond and leveraged loan financings for Armacell, CMA CGM, DEA, Douglas Holding, FTE, Hapag-Lloyd, Heat Exchangers, Heidelberger Druckmaschinen, Kabel Baden-Württemberg, Kabel Deutschland, Pfleiderer, Safari Holding, Securitas Direct, Takko Fashion, Techem, Unilabs, Wittur and Xella. He also advised on equity capital markets transactions for Hella, Kabel Deutschland, Klöckner & Co and Vestas Wind Systems as well as SEC-registered debt financings for the European Investment Bank.

In M&A matters, Matthias advised Bristol Myers Squibb in connection with the split off of Mead Johnson, FactSet Research Systems in connection with the acquisition of certain Thomson Reuters assets, HOCHTIEF in connection with ACS’s unsolicited public takeover bid, Madison Capital in the sale of its Krauss Maffei business to Onex Corporation and EQT in connection with the dual track sales processes for Kabel Baden Württemberg and Springer Science+Business Media.


Peter represents issuers, underwriters and selling shareholders in connection with offerings of securities, including IPOs, follow-on and secondary offerings, block trades, rights offerings and offerings of convertible and exchangeable bonds.

Peter is active in bar association activities and has served as an officer of several committees, including the IBA Capital Markets Forum, the International Securities Matters Subcommittee of the ABA Committee on the Federal Regulation of Securities and the ABA International Securities & Capital Markets Committee.

Peter has written several articles on securities law topics, including the following:

  • US Private Placements: When Rule 144A is unavailable, PLC, July, 2015.
  • SAS 72 letters: Seeking comfort, PLC, May, 2013.
  • Another way in, IFLR, March, 2012.

Before joining Proskauer, Peter was Deputy General Counsel for Citi and advised the Equity Capital Markets Division and Investment Banking Division. While at Citi, Peter worked on most of Citi’s ECM transactions in Europe, the Middle East and Africa.

Memberships

  • Chairman, American Bar Association Federal Regulation of Securities: International Securities Matters Subcommittee
  • Co-Chairman, American Bar Association International Securities & Capital Markets Committee
  • Chairman, International Bar Association Capital Markets Forum

Other Distinctions

  • Chambers UK: Capital Markets Equity "Recognized Practitioner" 2016-2019
  • The Legal 500 United Kingdom: Corporate & Commercial – Equity Capital Markets 2014-2017

Education

Georgetown University Law Center, J.D.


Wesley “Wes” Bricker is a Vice Chair and PwC’s Assurance Leader for the US and Mexico. In this capacity, Wes’ responsibilities encompass audit quality, business development and portfolio strategy, human capital, diversity, innovation, and technology.

Prior to joining PwC US, Wes served as the Securities and Exchange Commission’s Chief Accountant beginning in 2016, after serving as the deputy chief accountant following a role as a professional accounting fellow. In his role as the SEC’s Chief Accountant, Wes was the principal advisor to the Commission on accounting and auditing matters, and led the Commission’s Office of the Chief Accountant, a group of professionals widely regarded for advancing the quality of accountancy and financial reporting oversight in the capital markets in the US and internationally. He was also responsible for assisting the Commission wth discharging its oversight of the Financial Accounting Standards Board (FASB) and the Public Company Accounting Oversight Board (PCAOB), and also served as chair for the Monitoring Group, a group of regulatory and international financial organizations committed to advancing the public interest in international audit standard setting and audit quality.

Wes returns to PwC where he previously served clients in the banking, capital markets, financial technology, and investment management sectors, and also served as a member of the firm's National Quality Organization.

Wes received a BS in accounting from Elizabethtown College and a JD from American University. He is licensed as a certified public accountant and is a member of the New York State Bar Association.


Nick Shaw is a Partner in the Firm's Corporate Department. He represents private equity sponsors and banks in capital markets and acquisition finance transactions. His private equity financing experience includes numerous representations for sponsors such as KKR, Apax and Blackstone and their portfolio companies.

He received his B.A.(Jur.) from the University of Adelaide in 1991, his LL.B.(Hons.) from the University of Adelaide Law School in 1994, an LL.M.(Comm.) from the University of Adelaide Law School in 1997 and an LL.M. from Columbia University School of Law in 1997. He was a James Kent Scholar at Columbia in 1997.


Brad Gans was the Chief Legal Officer for Europe, Middle East and Africa until November 2017, covering all businesses within the region.  He is currently the Citibank, N.A. London Branch Manager.  Previously Brad was Senior Deputy General Counsel for Citi’s Markets and Banking in EMEA.  Prior to moving to London in 2000, Brad was the General Counsel for SSB’s New York investment banking and capital markets divisions.  Brad has been with Citigroup since April 1993.

Prior to joining Citigroup, Brad was an Associate in the General Practice Group at Sullivan & Cromwell in New York from September 1985 to April 1993.

Brad received his B.A. from William Jewel College, summa cum laude in 1981.  He received his Masters at Cambridge University in 1982 and his J.D. from Washington University in May 1985.  He was admitted to the Roll of Solicitors for England and Wales in 2011.


Erik Morris is a Managing Director and the Head of EMEA Legal for the Investment Banking and Capital Markets division of Credit Suisse. He is responsible for providing legal coverage for a range of investment banking products, including debt capital markets, equity capital markets, leveraged finance and mergers and acquisitions.

Erik joined Credit Suisse in 2009. Previously he was at Herbert Smith (London) and Skadden Arps (New York).  He was educated at the University of California, Los Angeles (B.A.) and the University of California, Berkeley (J.D.).


John W. White is a partner in Cravath, Swaine & Moore LLP's Corporate Department and serves as Chair of its Corporate Governance and Board Advisory practice. From 2006 through 2008, he served as Director of the Division of Corporation Finance at the U.S. Securities and Exchange Commission, which oversees disclosure and reporting by public companies in the United States. During his over 25 years as a partner at Cravath, John has focused his practice on representing public companies on a wide variety of matters including, more recently, public reporting and disclosure obligations, corporate governance matters and restatements, revisions and other financial crises.

John is a member of the Financial Accounting Standards Advisory Council (FASAC), which advises the Financial Accounting Standards Board (FASB). From 2010 to 2018, he served as a member of the Standing Advisory Group (SAG), which advises the Public Company Accounting Oversight Board (PCAOB). John is a member of the Board of Directors of Financial Executives International (FEI) and a member of the Board of Trustees and Chair of the Audit Committee of the Practising Law Institute (PLI). He served three years on the New York Stock Exchange’s Legal Advisory Committee, four years as Chairman of the Securities Regulation Institute, five years as Co-chair of PLI’s Annual Institute on Securities Regulation and six years on the Board of Trustees and Audit Committee of the SEC Historical Society. John was twice selected by the National Association of Corporate Directors (NACD) as one of the 100 “most influential people in the boardroom and corporate governance community.”

 


Cecil Quillen is a London-based U.S. partner of Linklaters LLP, and is the leader of the Firm’s global U.S. securities practice.  He works on a broad spectrum of securities and finance matters, with a special emphasis on cross-border offerings of debt and equity securities, particularly emerging-markets, investment-grade and high-yield/covenant-intensive debt securities, and is also actively involved in U.S.-related aspects of the Firm’s structured finance practice.  Cecil regularly speaks at a variety of professional conferences, is an officer of the Securities Law Committee of the International Bar Association and chairs its Underwriting and Distribution Subcommittee, sits on the Advisory Committee for Securities Regulation in Europe of the Practising Law Institute and served from 2005 until 2016 as a member of the board of directors of the High Yield Division of the Association for Financial Markets in Europe (formerly the European High Yield Association).

Cecil is also a member of the board of directors of Bank of Georgia Group PLC, the London-premium-listed/FTSE-250-constituent holding company for the largest commercial bank in Georgia. He is a trustee of the University of Virginia Law School Foundation and UK Friends of Harvard University.

Cecil became a partner of Linklaters in 1996 and was resident in the Firm’s New York office before transferring to the London office in 2000.  He was educated at Harvard (A.B., 1985) and the University of Virginia (J.D., 1988), clerked for Hon. John D. Butzner, Senior Circuit Judge, U.S. Court of Appeals, Fourth Circuit, and practiced for a number of years at a large New York-based law firm, before joining Linklaters.  He is admitted to practice in New York and the District of Columbia.


James H.R. Windels is a member of Davis Polk & Wardwell’s Litigation Department. Since joining Davis Polk in 1990 he has had wide experience in a variety of federal and state court commercial litigation matters, international arbitrations, regulatory enforcement proceedings, and internal investigations.

Mr. Windels’ matters include securities cases relating to public offerings and underwritings, sales and trading, asset management, mutual funds, private equity transactions and accounting matters. He has represented companies and accounting firms in internal investigations, bidders and targets in mergers and acquisitions litigation, and financial institutions and manufacturers in federal and state antitrust actions. He has also represented financial institutions and accounting firms in investigations and proceedings before the Securities and Exchange Commission, the Federal Reserve Bank, the Commodity Futures Trading Commission, the New York Stock Exchange, federal and state criminal authorities, and local regulators in Europe and Asia.

Mr. Windels joined Davis Polk in 1990, became a partner in 1997, and served as practice group coordinator of the Litigation Department from 2006-11. He clerked for the Honorable Peter K. Leisure, U.S. District Court for the Southern District of New York, from 1989-90. He is Chair of the Board of Directors of Volunteers of Legal Services and previously served as a member of the Executive Committee of the Association of the Bar of the City of New York and Chair of the Board of Directors of Brooklyn Legal Services Corporation A.


Mark Danzey (London) is a Member of KKR and joined KKR Capital Markets in 2009. Prior to joining KKR he worked for J.P. Morgan’s European leveraged finance and capital markets team. Mr. Danzey has led a broad spectrum of debt and equity financings for KKR portfolio companies and third party clients. He holds a first class degree in Business Administration from the University of Bath.


Mark S. Bergman is the head of the Global Securities and Capital Markets Group at Paul, Weiss, Rifkind, Wharton & Garrison LLP and is resident in the firm’s London office. Mr. Bergman joined Paul, Weiss in 1982 and was elected to partnership effective January 1, 1991. In the early 1990s, Mr. Bergman was the resident U.S. corporate partner in the firm’s Paris office.

Mr. Bergman has extensive experience in corporate finance transactions in which U.S. and non-U.S. issuers access the equity (ECM) and debt (DCM) capital markets. He has handled issuer and underwriter representations since the early 1980s, was instrumental in establishing the Securities and Capital Markets Group at Paul, Weiss in the early 1990s and began focusing on cross-border capital markets transactions in the mid-1990s. 

Mr. Bergman has handled the full range of ECM mandates, including initial public offerings, rights issues/open offers and other forms of follow-on offerings, exchange offers, privatizations, spin-offs/demergers, accelerated book-build offering and the establishment of ADR programs, and the full range of DCM mandates, including MTN and EMTN programs, Yankee bond offerings and high yield debt offerings (including in the context of leveraged acquisitions). He also has extensive experience representing financial institutions in connection with offerings of perpetual and dated hybrid securities for regulatory capital purposes, including instruments with innovative loss absorption provisions. He has significant experience with SEC-registered offerings, and he has handled Rule 144A offerings since the exemption was promulgated in April 1990, having been among the first to convert a public template to a Rule 144A template within weeks of the effectiveness of the exemption.

Over the years, Mr. Bergman has been involved in a range of domestic U.S. and cross-border public M&A transactions. In the cross-border M&A sarena, Mr. Bergman has advised on cross-border tender offers, exchange offers and going private transactions involving listed companies in the United States as well as other companies with significant levels of U.S. shareholders.

Mr. Bergman advises a range of listed companies on reporting and other obligations under the securities laws, the establishment of corporate compliance programs, and compliance with corporate governance standards under the securities laws and stock exchange rules. He has advised companies in connection with SEC and other U.S. regulatory investigations, and stock exchange proceedings.

Since 1990, Mr. Bergman has been involved in the preparation of many of the firm client alerts on securities law and corporate governance developments. He is a frequent contributor to professional journals and other publications. He regularly serves as a panelist at conferences and seminars on a range of capital markets, financial reporting, corporate governance, corporate compliance and other securities law topics, including trends in the global capital markets, emerging disclosure topics and securities enforcement trends. He is one of the firm's two principal points of contact on issues relating to the June 2016 UK referendum on withdrawal from the European Union.

Mr. Bergman received his B.A. from Bowdoin College in 1978 (magna cum laude), his M.A. from the University of Virginia in 1979 and his J.D. from Washington College of Law, American University, in 1982, where he was editor-in-chief of the Law Review. Mr. Bergman is admitted to the Bars of the State of New York and the District of Columbia.


Natalia Nicolaidis is a Managing Director of Credit Suisse in the Legal function, based in London. She is the General Counsel for Investment Banking and Capital Markets. Previously, she was the Global Head of Risks and Controls for the Investment Banking and Capital Markets Department and prior to that she co-headed the Investment Banking Legal Department in EMEA.

Before joining Credit Suisse First Boston in 1996, Ms. Nicolaidis worked as a lawyer in private practice in New York, where she is admitted as an attorney, concentrating in corporate finance. Ms. Nicolaidis holds a B.A. degree in Economics from Yale University, a Juris Doctor and Masters in the School of Foreign Service from Georgetown University and a degree (Diplôme) in Legal studies from Ecole d'Europe, Bruges, Belgium.


Nicholas Baumgartner is Deputy General Counsel at Citi and is based in London. Nicholas joined Citi in 2010, and is responsible for legal coverage of Citi’s equity capital markets and equity-linked businesses throughout Europe, the Middle East and Africa. Previously, Nicholas worked in the corporate department of Freshfields Bruckhaus Deringer, where he began his legal career. At Freshfields, Nicholas was based in the firm’s London and Frankfurt offices, and also spent significant time working in the firm’s Hong Kong office. In 2013, Financial News named Nicholas as one of its “40 under 40 Rising Stars” in the European legal profession. 

Nicholas’ expertise includes initial public offerings and listings on global stock exchanges; follow-on offerings of major financial institutions and corporates; offerings of equity-linked securities, in particular by FIG and emerging market issuers; SEC-registered offerings and ongoing reporting filings; offerings of high-yield debt; cross-border M&A transactions; private placements; and accelerated equity offerings and block trades. 

Nicholas is admitted to the New York State Bar and holds a J.D. from Vanderbilt University Law School, a B.A. in German Literature from Oberlin College and a B.Mus. in Piano Performance from Oberlin Conservatory of Music. Nicholas has published articles in the Vanderbilt Journal of Entertainment and Technology Law and in BACH, Journal of the Riemenschneider Bach Institute.


Richard Pollack is Managing Partner of the Firm’s London Office and is co-head of The Firm’s Private Equity Group. Mr. Pollack has extensive experience in cross-border mergers and acquisitions in a wide range of industries, as well as in public and private offerings of equity and debt securities on behalf of U.S. and non-U.S. issuers. He was previously co-head of the Firm’s General Practice Group, from January 2006 to February 2012. Until his recent move to London, Mr. Pollack was Chairman of the Board of Trustees of the Unity Preparatory Charter School of Brooklyn.

Mr. Pollack’s M&A assignments include representing:

  • Canada Pension Plan Investment Board in its investment in Asurion and subsequent increases in its ownership of Asurion, its entry into and subsequent termination of its MerchCap Solutions joint venture, its joint patent licensing program for digital television and computer display monitor with Technicolor S.A. and Sony Corporation and several other pending transactions
  • Rhône Capital and its affiliated investment funds in connection with its acquisition of Zodiac Pool Holding SA, its acquisition of a 45% stake in Garda World and a further 29% stake of the parent company – becoming the majority shareholder of the parent company, its acquisition of CSM NV’s bakery supplies business, its acquisition of Ranpak Holdings Inc., its acquisition of GK Holdings Inc., its acquisition jointly with Goldman Sachs of Neovia Logistics, its acquisition and subsequent sale of Rexair Holdings, Inc., its acquisition of the Carbon Black business of Evonik Industries AG, its acquisition and subsequent sale of Arizona Chemical, its acquisition and recapitalizations of Quiksilver, their acquisition and subsequent sale of LWB, their acquisition and subsequent sale of Rexair, its acquisition and subsequent sale of Fraikin, its acquisition and subsequent sale of an interest in Coty and its acquisition and subsequent sale of Terphane, as well as Generali’s acquisition of an interest in Rhône, the formation of an asset management and joint venture with Generali, and the formation of most of Rhône’s various private equity funds
  • Reservoir Capital in connection with restructuring and sale of an interest in Intrepid; various funds affiliated with Reservoir Capital in the restructuring of C-12, the acquisition by Reservoir of an interest in C-12 from Sequoia Capital, the making of a capital commitment by Reservoir to C-12; on the formation of a new platform company focused on acquiring mobile home/manufactured housing parks; the establishment of a platform, managed by Echo Minerals, that will invest in oil and gas mineral interests and in several other pending transactions
  • BP plc in its agreement with Bridas Corporation to form a new integrated energy company, Pan American Energy Group, by combining their interests in the oil and gas producer Pan American Energy and the refiner and marketer Axion in a cash-free transaction
  • York Capital Management in connection with Credit Suisse’s acquisition of a minority interest in York


Rob Evans joined the SEC last July and is the Chief of the Office of International Corporate Finance. Before joining the SEC,

Mr. Evans worked at Shearman & Sterling LLP as a partner in the firm’s capital markets practice. Mr. Evans has extensive advising capacity having spent his professional career as a corporate and securities lawyer. “For over 20 years, Rob has been a leading voice on a wide range of issues relating to how investors and companies interact in the public and private markets, and we are excited to have him join the team here at the SEC,” said SEC Chairman Jay Clayton.

In addition, Mr. Evans has been a frequent speaker and writer on securities law, compliance and legal ethics. Mr. Evans was a member of the TriBar Opinion Committee, the Working Group on Legal Opinions, the American Law Institute, and Co-Chair of Shearman & Sterling’s Opinion Committee.

Mr. Evans attended Harvard University for his undergraduate degree and earned his law degree from Boston University School of Law.


Sarah Murphy is the head of Freshfields Bruckhaus Deringer’s US capital markets practice in Europe and Asia and co-head of its international capital markets group. She is a London-based US partner of the firm and has more than 30 years’ experience of advising a wide range of clients from around the world. She acts for companies looking to access the US and international capital markets, and also for investment banks. Clients come from various sectors including energy and natural resources, financial institutions, infrastructure, pharmaceuticals, real estate, retail and telecoms and from various jurisdictions including, Germany, Luxembourg, Russia, South Africa, Spain, Sweden, Finland, the UK and Ukraine. Her track record includes the full range of equity, debt and hybrid offerings, including IPOs, rights issues and other secondary offerings, GDR offerings, accelerated book builds, all types of bond issuance and liability management transactions.

Sarah is recognised as a leading lawyer for equity and debt capital markets by Chambers and Legal 500 and is a regular speaker at external conferences and is on the Advisory Committee for the Practicing Law Institute’s Annual Securities Institute on EU and US Securities Law in London.

Sarah joined Freshfields in 1998. Previously she was at Cravath, Swaine and Moore (New York and London) and clerked for Judge John F. Keenan on the US Federal Court for the Southern District of New York. She was educated at Williams College (BA 1977) and Fordham (JD 1983).


Scott Colwell 's practice focuses on international capital markets, corporate finance and securities regulation, in particular offerings of high-yield debt securities. Mr. Colwell has significant experience representing issuers and investment banks across Europe in connection with debt securities offerings and leveraged transactions.

Mr. Colwell was named to Financial News’ Legal Services “40 Under 40” list for capital markets lawyers in March 2013. 

Recognition Highlights

  • Mr. Colwell is described by one peer as “high quality,” while another states: “He is very good substantively, hard-working and always available for clients.” Chambers UK 2016
  • Mr. Colwell is ranked by Legal 500 2016 as a leading individual.
  • Mr. Colwell “is a lawyer making waves in the market for his high-yield practice…Sources regard him as a ‘very sharp and strong lawyer.’” Chambers UK 2015
  • Mr. Colwell was named to Financial News’ Legal Services “40 Under 40” list for capital markets lawyers in March 2013. 

Education
JD, Northwestern University School of Law, 2001
BA, Drake University, 1998 


Sebastian R. Sperber is a partner at Cleary Gottlieb Steen & Hamilton LLP based in the London office. Sebastian’s practice focuses on international capital markets transactions and merger and acquisition transactions. He regularly counsels companies on compliance with U.S. securities law requirements and related corporate governance matters.

Sebastian has devoted a substantial amount of time to working on global equity offerings, including privatization transactions in several countries. Sebastian’s M&A experience includes both public and private transactions in various industries in Europe and Asia. His practice also includes derivative products, and he has assisted a number of clients in structuring OTC and listed instruments.

Sebastian has been recognized by Chambers Global, Chambers UK, The Legal 500 UK and IFLR 1000: The Guide to the World’s Leading Financial Law Firms for his work in the debt and equity capital markets, and by IFLR 1000: The Guide to the World’s Leading Financial Law Firms in the M&A category.

Sebastian is widely published on topics in the capital markets, and frequently speaks on such topics at professional conferences. Publications co-authored by him include the firm’s treatise on U.S. Regulation of the International Securities and Derivatives Markets and The Sarbanes-Oxley Act: Analysis and Practice (2003).

Sebastian received a J.D. in 1988 from Columbia Law School, where he was a Harlan Fiske Stone Scholar and Editor-in-Chief of the Columbia Journal of Transnational Law, and a Bachelor of Arts, cum laude, in 1985 from Columbia College.

Sebastian joined the firm in its New York office in 1988 and became a partner in 1997. From 1990 to 2000 (except for a stint in Hong Kong in 1998), he was resident in the London office. He spent 2001 to early 2004 in Hong Kong and then returned to London. He is a member of the Bar in New York.


Simon Dodds is Co-General Counsel at Deutsche Bank AG. Mr. Dodds joined Deutsche Bank in 1999 when Deutsche Bank took over Bankers Trust Company. At that time, he was appointed General Counsel UK, based in London, and from 2001, became General Counsel UK and Western Europe. From 2010 to 2013, Mr. Dodds was Global Head of Compliance at Deutsche Bank; in January 2013, he became Co-Deputy General Counsel; and assumed the role of Co-General Counsel in January 2016. From 1991, Mr. Dodds had been Managing Director in the Legal Department of Bankers Trust Company in London. Before joining Bankers Trust, Mr. Dodds was an Associate at Cleary Gottlieb Steen & Hamilton in New York and London. Mr. Dodds attended Northwestern University School of Law, JD, 1984 and was an undergraduate at Cambridge University.


Stephen Woodward is Head of Citi’s Litigation & Regulatory Investigations team in the Europe, Middle East and Africa (“EMEA”) region.  Based in London at Citi’s Canary Wharf offices, Mr. Woodward advises Citi’s businesses across the region on litigation and dispute resolution issues and in relation to regulatory inquiries and investigations. He is an English qualified Solicitor-Advocate who, prior to joining Citi in 2006, spent his early career with Clifford Chance, before becoming a litigation partner in the London office of Mayer Brown Rowe & Maw LLP (now Mayer Brown International LLP).


Andrew is EMEA general counsel of Goldman Sachs and head of the EMEA Legal Department. He serves as counsel to the European Management Committee and the Board of Directors of Goldman Sachs International and counsel to, and member of, the Firmwide Suitability Committee and EMEA Conduct Risk Committee. He joined Goldman Sachs in 2000 and was named managing director in 2006 and partner in 2016.

Prior to joining the firm, Andrew qualified as a solicitor at Herbert Smith in London.
Andrew earned a BA in Literae Humaniores from Magdalen College, Oxford, in 1992.


As Vice Chairman, Stakeholders & Client Service, Mike is responsible for overseeing PwC’s Government, Regulatory Affairs & Public Policy Office. In this role, Mike engages with a broad range of regulators, government agencies, legislative bodies, and non-government organizations important to PwC and its clients.

Mike has more than 30 years of professional experience with PwC.

Prior to his appointment as a Vice Chairman, he was the firm's Managing Partner, Assurance Quality where he led PwC's U.S. Assurance National Office (National Office). National Office functions include: Accounting Services; SEC Services; Risk Management; Strategic Thought Leadership; and Auditing Services Methods and Tools. In this role he was also responsible for PwC's Assurance Learning & Development, Regulatory Relations, and Inspections groups.

Prior to his appointment as a Managing Partner, Mike held other National Office leadership positions including: U.S. National Office Leader; U.S. Chief Accountant; U.S. Risk Management Leader; and National Office Accounting Consulting Partner. Prior to joining the National Office, he served as a Global Engagement Partner on a number of multinational SEC registrants focused primarily in the chemical/industrial products sector. 

Mike served on PwC's U.S. Board of Partners and Principals, including the Finance, Governance, and Clients and Strategy committees.

From 2010-2016 Mike served as member of the Public Company Accounting Oversight Board's (PCAOB) Standing Advisory Group (SAG). He also served on The Center for Audit Quality's (CAQ) Professional Practice Executive Committee (PPEC) which he chaired from 2011-2016. Mike is a frequent speaker at profession related events and is a member of the AICPA and PICPA.


Bob joined Barclays as Group General Counsel designate in October 2013 and became Group General Counsel in November 2013, responsible for all legal issues across Barclays. 

Previously, Bob was at PNC Financial Services Group, where he was General Counsel and Chief Regulatory Affairs Officer, having previously served as Deputy General Counsel since 2009. 

Between 2006 and 2009, Bob served as General Counsel of the US Department of the Treasury, where he was the Chief Legal Officer of the department and a senior policy advisor to Secretary Henry M. Paulson, Jr. Among other responsibilities, he directed the US administration’s legal strategy for managing significant events in the financial markets, including the failures of Bear Stearns, Lehman Brothers, AIG, and the US auto industry; the conservatorship of Fannie Mae and Freddie Mac; and the creation and implementation of the Troubled Asset Relief Program. Prior to that Bob served at the White House where he was Special Assistant and Associate Counsel to President George W. Bush. In that position, Bob was responsible for a variety of legal issues, including investigations and litigation, as well as legal and policy matters involving several executive branch departments and components of the Executive Office of the President. 

Earlier in his career, Bob was a partner in the Securities, Litigation and Corporate departments of the law firm of Wilmer Cutler Pickering Hale and Dorr (WilmerHale). At WilmerHale, Bob advised public and private companies and their executives on a variety of contested, investigative, transactional and regulatory matters. Bob also served multiple terms on WilmerHale’s Management Committee and Executive Committee, and was a Vice Chair of the firm’s Securities Department. Before joining WilmerHale, Bob clerked for Justice Herbert P. Wilkins of the Massachusetts Supreme Judicial Court. 

Bob graduated from Cornell University with honours in 1986, and received his master’s degree and Juris Doctor degree, cum laude, from the University of Pennsylvania in 1989.


Diana is a partner in the International Capital Markets practice at Allen & Overy LLP, resident in the Paris office. Diana specializes in US-targeted cross-border capital markets transactions, including debt offerings, IPOs, secondary equity offerings, rights offerings, recapitalizations and liability management by foreign private and sovereign issuers. She has represented issuers and underwriters across Europe, the Middle East and Africa, and has significant experience in sovereign debt markets and the financial services industry. She also advises foreign private issuers and shareholders on compliance with U.S. federal securities regulation, including financial reporting and disclosure obligations. Diana is admitted to the Bar of the State of New York and the Paris bar. 

Education
J.D., Harvard Law School, 1998
A.B., Vassar College, 1994


Kate is the Group General Counsel of Lloyds Banking Group. In this role Kate is responsible for advising the Board and Senior Executives on legal matters and sits on the executive committee. Kate leads the Group’s legal team and has responsibility for managing the Group’s external legal relationships. 

Kate is co-chair of Breakthrough, the LBG’s women’s network which has a membership of c.15,000 people. She is trustee of Lloyds Bank Foundation for England and Wales, sponsor of “Legal in the Community”, the legal function’s Responsible Business programme and a supporter of the charity “Suited & Booted”, which helps men who are out of work to find employment.

Kate joined the Group Legal team at Lloyds TSB Group in 2005. Prior to being appointed Group General Counsel, Kate held a number of senior positions including Deputy Group General Counsel and General Counsel for Group Legal. Before joining Lloyds TSB, Kate was a corporate lawyer at Linklaters specialising in M&A transactions and before that she ran a commercial art gallery in London for 5 years.


Stephanie was appointed as General Counsel Barclays UK 3 March 2017. In this role Stephanie is accountable for leading Barclays UK Legal function to support Barclays ring fenced bank in its strategic objectives. Prior to this she was Barclays Global Head of Litigation, Investigations & Enforcement. Stephanie is a member of Barclays Legal Executive Committee which she joined in May 2014.

Stephanie joined Barclays in November 2005 from law firm Allen & Overy having also worked previously at Credit Suisse and Sumitomo Bank Capital Markets. During her time at Barclays she has held a variety of roles across different business areas including Corporate & Investment Banking and Global Retail & Commercial Banking. Stephanie holds an LLB and a Master’s degree in International Business Law.

In addition to her work responsibilities, she supports various diversity initiatives and is an active supporter of the BLD Legal Launchpad which works to provide access to the Legal profession primarily targeted at ethnic minority Law students and non-Law students at university in the UK.