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


Speaker(s): Adam M. Johnson QC, Adam Pickard, Alun Milford, Andrew J. Bagley, Andrew M. Genser, Bob Hoyt, Cecil D. Quillen III, Christopher G. Roberts, Clive Zietman, Dr. Hendrik Haag, James H.R. Windels, John J. Cannon, III, John W. White, Joseph Salama, Kate Cheetham, Mark Danzey, Mark S. Bergman, Mary B. Tokar, Michael J. Gallagher, Nicholas Baumgartner, Nicholas J. Shaw, Octavia E. Knox Cartwright, Peter Castellon, Pieter Schütte, Richard A. Pollack, Richard Youle, Robert Evans III, Robert H. Mundheim, Rosemary Ioannou, Sachin Davé, Sandra L. Moser, Sarah Murphy, Scott Colwell, Scott V. Simpson, Sebastian R. Sperber, Simon Clarke, Simon Dodds, Sonia Tolaney QC, Stephanie Pagni, Stephen Ranalow, Steve Thierbach, Therese Chambers, Tim Odell, Wesley R. Bricker, William H. Hinman, Won Juan Kim, Yasmine Bassili
Recorded on: Feb. 1, 2018
PLI Program #: 220056

Andrew Genser is General Counsel of Viking Global Investors LP. Prior to joining Viking in 2018, Mr. Genser was a partner for 14 years in the Litigation and Government & Internal Investigations practice groups at Kirkland & Ellis LLP in New York, where he handled a wide variety of litigation and white-collar defense matters. From 1998 to 2004, he was an Assistant United States Attorney at the United States Attorney’s Office for the Eastern District of New York, where he prosecuted and tried numerous criminal cases and argued a number of appeals, and also served as Deputy Chief of the General Crimes section. Mr. Genser was an associate at Cravath, Swaine & Moore from 1995 to 1998, and before that served as law clerk to the Hon. Thomas P. Griesa, Chief Judge of the United States District Court for the Southern District of New York.

Andrew has served as a panelist and commentator on white-collar issues, and has published articles in the areas of securities and criminal law.


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.


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.


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.


Sandra Moser is a Partner in the Washington, D.C. office of Quinn Emanuel Urquhart & Sullivan, LLP, where she serves as Co-Chair of the firm’s Investigations, Government Enforcement and White Collar Criminal Defense Practice and Co-Chair of the Crisis Law & Strategy Practice Group. Ms. Moser’s practice focuses on the representation of companies, boards of directors and senior executives in investigations, sensitive matters, corporate crises, litigation and other disputes involving law enforcement and regulatory agencies around the world.

Ms. Moser is the former chief of the Department of Justice (DOJ) Fraud Section in Washington, D.C., which has exclusive criminal enforcement jurisdiction over the DOJ’s enforcement of the Foreign Corrupt Practices Act (FCPA) and routinely handles many of the world’s most significant economic crime cases, including securities and commodities fraud, manipulation of financial markets, False Claims Act and other healthcare-related violations, and international money laundering offenses. Ms. Moser is an experienced trial lawyer who, prior to assuming the chief role, served the Fraud Section in several other leadership positions and also was for several years a federal prosecutor in the District of New Jersey’s elite Special Prosecutions Division. Prior to joining the Department of Justice, Ms. Moser worked in private practice and served as a federal law clerk for the U.S. District Court for the Eastern District of Pennsylvania and the U.S. Court of Appeals for the Third Circuit.

Ms. Moser earned her law degree at the Northwestern University Pritzker School of Law, where she graduated cum laude and served as editor for the Journal of Criminal Law & Criminology. She earned her undergraduate degree at the University of North Carolina at Chapel Hill, where she was awarded two degrees, in Journalism and Women’s Studies, and graduated first in her class.


Wes is the Chief Accountant for the U.S. Securities and Exchange Commission.  In the role, he serves as the principal advisor to the SEC on accounting and auditing matters.  He consults with registrants, auditors and other industry representatives, and is responsible for the oversight of the Financial Accounting Standards Board (FASB) and the Public Company Accounting Oversight Board (PCAOB), among the other duties of the Chief Accountant.

He joined the SEC from PricewaterhouseCoopers LLP, where he was a partner responsible for clients in the banking, capital markets, financial technology, and investment management sectors. 

Earlier, he served as a professional accounting fellow in Office of the Chief Accountant and prior to that held various audit and professional practice positions at PwC, including in the firm’s national office during the global financial crisis advising on complex financial accounting matters.   

Mr. Bricker is trained as an accountant and lawyer with degrees from Elizabethtown College and the American University Washington College of Law. He is licensed to practice as a certified public accountant in Virginia, Pennsylvania, and New Jersey and as an attorney in New York. 


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.


John Cannon is a partner in the Compensation, Governance and ERISA Group and Co-Chair of the firm’s Corporate Governance Advisory Group.  In his practice, he focuses on all aspects of compensation and benefits, including corporate, securities, bankruptcy, employment and tax laws and ERISA.  He has extensive experience in executive compensation and corporate governance matters, Dodd-Frank and Sarbanes-Oxley, and the employee issues raised in the mergers and acquisitions context.  He also has experience advising startup companies in the biotechnology sector regarding corporate and compensation matters.   John joined the firm in 1985 and became a partner in 1994.

John currently serves on the Advisory Committee for the Salzburg Global Forum on Corporate Governance and is an Inaugural Fellow for the American College of Governance Counsel.  He frequently lectures at law schools, including the University of Arizona, Penn, Harvard and the University of Colorado.

John graduated from Harvard and New York University School of Law.


William H. Hinman is Director of the SEC’s Division of Corporation Finance.  The Division seeks to ensure that investors are provided with material information in order to make informed investment decisions, provides interpretive assistance to companies with respect to SEC rules, and makes recommendations to the Commission regarding new and existing rules.

Before serving at the Commission, Mr. Hinman was a partner in the Silicon Valley office of Simpson Thacher & Bartlett LLP, where he practiced in the corporate finance group.  He has advised issuers and underwriters in capital raising transactions and corporate acquisitions in a wide range of industries, including technology, e-commerce, and the life-sciences.

Prior to joining Simpson Thacher in 2000, Mr. Hinman was the managing partner of Shearman & Sterling’s San Francisco and Menlo Park offices.  He received his B.A. from Michigan State University with honors in 1977 and his J.D. in 1980 from Cornell University Law School, where he was a member of the Editorial Board of the Cornell Law Review.  He is a member of the Bar Association of the State of California and the Association of the Bar of the City of New York.  Mr. Hinman also is a fellow of the American Bar Foundation.


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.


 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 and other financial crises.

John is a member of the Financial Accounting Standards Advisory Council (FASAC), which advises the Financial Accounting Standard Board (FASB), and the Standing Advisory Group (SAG), which advises the Public Company Accounting Oversight Board (PCAOB). He is a member of the Board of Trustees and Audit Committee of the Practising Law Institute (PLI) and of the Board of Directors of Financial Executives International (and he regularly attends meetings of FEFs Committee on Corporate Reporting). 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."


 


Alun Milford became General Counsel at the Serious Fraud Office in April 2012. Alun joined the Crown Prosecution Service (CPS) in 1992 after working as a solicitor in a City firm. He covered central London crime and became a solicitor-advocate in 1999. In 2004 he joined the Attorney General’s Office specialising in contempt of court and unduly lenient sentences. Three years later, he moved to the Revenue and Customs Prosecutions Office (RCPO), establishing and leading its Asset Forfeiture Division. He returned to the CPS in 2009 and was appointed as head of its Organised Crime Division following its merger with RCPO.


Chris Roberts is a Managing Director in the Equity Capital Markets Group of J.P. Morgan, based in London. He has been with J.P. Morgan for 10 years and has over 20 years of experience in investment banking and legal practice. Chris is currently Head of J.P. Morgan's EMEA Equity Capital Markets Execution Group. In this role, Chris oversees the structuring and execution of equity offerings bookrun by J.P. Morgan with the aim of ensuring efficiency of process and consistency of execution standards. Prior to his current role, Chris was Head of J.P. Morgan's West Coast Equity Execution function serving primarily the firm's Technology, Media and Telecom (TMT) Equity Capital Markets Group. He has extensive experience of numerous initial public offerings and follow-on offerings across a broad range sectors and geographies. Chris began his career in 1997 as an corporate and securities lawyer and practiced in London and Paris advising clients on a wide range of financing transactions, including in particular public and private equity capital raisings. Chris holds a BA Hons (First Class) from University College London, as well as postgraduate law diplomas from UEA Law School and the College of Law, London.


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.


Joe Salama is an Associate General Counsel and the Global Head of Litigation and Regulatory Enforcement for Deutsche Bank. Joe has been at Deutsche Bank since 2010, prior to which he was associated with the law firms of Latham & Watkins LLP and Cravath, Swaine & Moore LLP.  Joe graduated from New York University School of Law in 1998.


Juan Kim is an Executive Director & Assistant General Counsel in J.P. Morgan’s Capital Market Group for Europe, Middle East and Africa covering debt and equity capital markets transactions within the region. He also represents J.P. Morgan in the AFME High Yield Legal and Regulatory Compliance Committee. Juan has been with J.P. Morgan since 2015. 

Prior to joining J.P. Morgan, Juan was an Associate in the Corporate Department of Davis Polk & Wardwell in London from 2007 to 2014. 

Juan received his B.A. from Columbia University in 1999 and his M.A. from the New School for Social Research, with honors in 2002.  He received his J.D. from Georgetown University, magna cum laude, in 2007 and was an executive editor of the Georgetown Journal of International Law.  He is a member of the New York State Bar Association.


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.


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.


Octavia Knox Cartwright is Head of Litigation for the EME region of Barclays. Octavia joined the Investment Banking division of Barclays in August 2009 and took up her current role in March 2015. Barclays’ Litigation Team manages litigation, investigation and enforcement risk across all the bank’s business areas: Retail, Corporate, Barclaycard, Wealth, Non-Core and the Investment Bank. Octavia’s work has included benchmark investigations and litigation, notably LIBOR and ISDAfix, including the Graiseley (Guardian Care Homes) LIBOR test case, management of the IRHP/swaps portfolio, claims arising from the close out and valuation of leveraged bond portfolios and, more recently, claims and investigations in the Wealth, Cyber and Whistleblowing arenas. Octavia also works closely with the Tax, Financial Crime and Competition teams.

Octavia was in private practice at Linklaters and Nabarro LLP, where she acted on a wide range of litigation and investigation matters for clients such as JPMorgan, Ernst & Young and the SEC. She spent 6 months on secondment to Linklaters’ New York office, where she worked on Enron litigation, the air cargo investigation and claims for investment banking clients. She continues to have a strong cross jurisdictional element to her practice.


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


Richard Youle focuses on private equity matters, including advising private equity houses and financial sponsor clients on all types of leveraged M&A and portfolio assistance, such as restructuring advice. Mr. Youle is recognised as a leading individual in The Legal 500 UK and ranked in Tier 2 in Chambers UK, which quotes clients describing him as a “superb negotia-tor” who “ensures an excellent service.”

His recent representations, prior to joining Skadden, include advising:

  • A consortium comprised of ADIA, Allianz Capital Partners, Borealis Infrastructure and Munich Re on the acquisition of 100 percent of Autobahn Tank & Rast;
  • Epic Funds advised by Castik Capital on its acquisition of Waterlogic and Angel Springs;
  • Essex Woodlands on its acquisition of EUSA Pharma;
  • Global Infrastructure Partners on the agreement to acquire a 35 percent stake in Terminal Investment Ltd from MSC Mediterranean Shipping Company;
  • HgCapital on its:
    • Acquisitions of Kinapse, Sovos Compliance, the Raet Group, The Foundry, Team System, Manx Telecom, JLA, Iris Software Group, e-conomic, Nair & Co, Parts Alliance and NetNames;
    • Investment in Mitratech;
    • Investment, exit and reinvestment in Visma; and
    • Sell-down of a minority stake in JLA and a refinancing of the business;
  • HgCapital portfolio company Nair & Co on its acquisition of High Street Partners to form Radius;
  • HgCapital portfolio company Ullink on its acquisition of Nyfix/Metabit businesses from ICE;
  • Mid Europa Partners on the disposal of Norican Group to Altor Equity Partners;
  • Montagu Private Equity on its acquisitions of DEAS, Accurate Equity AS, Open International, University of Law, CAP and Equatex;
  • Oaktree Capital Management on its acquisition of The Serviced Apartment Company (Saco); and
  • Oyak Girisim Danismanligi on its acquisition of the Almatis Group.

Education
LL.B., Newcastle University, 1995
Legal Practice Course, The College of Law, 1996


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 Clarke is a partner of Herbert Smith Freehills, based in its London office, specialising in banking litigation. 

Simon advises clients on complex civil claims and regulatory issues including contractual disputes, derivatives, structured products, banking confidentiality, investment management and advice, product mis-selling, investigations, and internal systems and controls. 

Simon has worked on a number of high-profile cases resulting from large-scale corporate collapses such as Barings Bank, Enron and Parmalat. Simon was one of the Herbert Smith Freehills partners leading a large team representing the Royal Bank of Scotland in defending actions brought by shareholder and investor groups in connection with RBS’s 2008 rights issue – one of the highest profile pieces of litigation recently before the English courts.


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.


Sonia Tolaney QC is widely regarded as one of the leading Commercial Silks at the Bar. She is the "go-to silk for numerous financial institutions" and is "regularly instructed on the most substantial and topical disputes". Currently she is acting for BNP Paribas on its appeal in the Golden Belt litigation (concerning an arranger’s duties in a complex financial transaction); for Barclays in substantial Lehmans related litigation; for Sothebys in a high profile fine art dispute; and for Deutsche Bank both in the Unitech litigation and in the Commercial Court claim recently brought by the Federal Deposit Insurance Corporation against a number of LIBOR panel banks. Sonia is also acting for a variety of financial institutions and hedge funds (including ABN AMRO, Commerzbank, Dexia, Deutsche Bank, and Carval) in a range of complex disputes concerning FX, ISDA, syndicated credit agreements, waterfall issues and jurisdiction.

Sonia has "an enviable reputation" for her "very compelling and incredibly focused advocacy" and "lethal cross-examination". She is a hugely experienced advocate, having appeared in a vast number of high profile applications, trials and appeals. She has been described as "one of the brightest stars at the Bar" who is "brilliant academically". 'A big name' who is ‘at the top of any right-thinking person's wish list'. 

Sonia was awarded the “Commercial Litigation Silk of the Year” 2017 (Chambers UK Bar Awards 2017). She was awarded the "Banking Silk of the Year" 2015 (an award for which she was also nominated in 2014) (Chambers UK Bar Awards). In 2014, she was awarded The Legal 500 "Commercial Litigation Silk of the Year", where it was noted that she is a serious presence in the market and a great strategist to have on your side." She was nominated for that award again in 2017.

In 2016, Sonia was appointed as a Deputy High Court Judge (QBD) and specifically authorised to sit in the Commercial Court. Sonia is also the Vice Chairman of the Commercial Bar Association (2017).


Stephen A. Thierbach is a US-qualified corporate partner in the London office of Gibson, Dunn & Crutcher.

Mr. Thierbach has a broad cross-border equity and debt capital markets transactions practice. A U.S. qualified lawyer, he advises issuers and underwriters on complex, innovative and multi-jurisdictional offerings of equity, equity-related and debt securities. He has represented governments, companies, selling security holders and investment banks in major financial centres and developing markets.

Prior to joining Gibson Dunn in March 2016, Mr. Thierbach was a partner with Herbert Smith Freehills from 2010 to 2016, most recently serving as the Global Head of its Capital Markets Practice. Before that, he was a partner with Linklaters in London from 1995 to 2010, where he co-led its capital markets practice and served as head of the U.S. practice. He was an associate at Sullivan & Cromwell in New York and London from 1987 to 1994.

Mr. Thierbach is recognized as one of the top equity capital markets lawyers in London by Chambers & Partners and as a leading individual in London equity capital markets by Legal 500.

Education
Harvard University - 1987 Juris Doctor, cum laude
University of Virginia - 1984 Bachelor of Arts, with highest distinction

Admissions
England & Wales - Solicitor - Registered Foreign Lawyer
New York Bar


Therese Chambers began her legal career in private practice in the City as a commercial litigator. For the past 20 years she has worked in UK regulatory enforcement at the FCA and FSA, running investigations and conducting litigation in relation to some of the most high profile, complex and challenging enforcement cases. Therese's key cases in recent years have included Operation Tabernula, the UK's most complex insider dealing ring prosecution, LIBOR and FX. She has also held important responsibilities in relation to the FCA's enforcement strategy. She is currently responsible for the FCA's retail investigations portfolio.


Adam is a Managing Director of Morgan Stanley and is Chief Risk Officer of the firm’s Global Capital Markets business in EMEA, based in London. Adam joined Morgan Stanley in 2010, working in Equity Capital Markets. In his current role, among other responsibilities, he chairs Morgan Stanley’s EMEA Equity Underwriting Committee and oversees the Capital Markets Execution and Transaction Management teams across equity and debt products in the region. Adam also represents the firm on Capital Markets boards and committees of industry organisations in EMEA, including the Association for Financial Markets in Europe and the International Capital Markets Association. Before joining Morgan Stanley, Adam was a corporate lawyer at Linklaters LLP in London. Adam holds a Bachelor of Law degree from the University of Exeter.


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 part of the Vannin Capital team, Rosemary has been at the forefront of the development of dispute resolution funding over recent years, both in the UK and globally. She has particular experience funding insolvency claims, competition claims and group actions both in the UK and across the globe.

Rosemary is a solicitor of the Courts of England and Wales. Before joining Vannin, she was a Senior Associate in the Litigation department at Allen & Overy LLP in London, where she trained and qualified. While at Allen & Overy, Rosemary spent time on secondment at the Court of Appeal as Judicial Assistant to Lord Justice Dyson (now Lord Dyson) and at TUI Travel Plc.
Rosemary has extensive experience in a wide range of corporate and financial disputes both in England and internationally, acting for large corporations, banks and other financial institutions. She also has expertise in managing complex cross jurisdictional disputes both as a practicing solicitor and funder.
Rosie regularly contributes to articles and presents on a wide range of topics in connection with dispute resolution funding, with a particular focus on the benefits of funding to well capitalised claimants, the global growth of funding and its impact on the dispute resolution landscape and the development of group actions across the world. 
In 2017, Rosie was elected Executive Committee Member of the RUSSIAN AND CIS ARBITRATION NETWORK (RCAN) and in 2018 to the Executive Committee of RAIIDAR.


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.


Clive is a well-known commercial litigator who has been involved in a wide range of complex and high-value claims including a number of high-profile frauds, professional negligence claims and banking disputes. His work regularly involves an international dimension.

Expertise
Clive leads the Commercial Litigation team at Stewarts. Over the past few years, he has been involved in several actions against banks, a task that most central London law firms are unable to undertake as a result of conflicts of interest.

Clive also acts as a supervising solicitor appointed by the court in search order cases. He has been involved in several high-profile search order cases including the Ferrari secrets case and the Elton John stolen refuse dispute.

Recognition
Chambers describes Clive as “a great lawyer who’s very good at understanding the case and bringing it forward to court in a clear manner”, and “a well-known practitioner” who “has immense experience” and “amazing energy”. It also notes that he has a “brilliant reputation in the market”, and is “fantastic with clients”.

The Legal 500
notes that Clive “obtains first-class results” and is “an excellent strategist”.

Experience
Clive has acted in several well-publicised cases, including:
• Acting for 83 bankers in a case against Commerzbank regarding unpaid bonuses
• The RBS shareholder litigation concerning the 2008 right issue
• The high-profile diamond business dispute between Lev Leviev and Arcadi Gaydamak

Career
On qualification in 1985, Clive joined Herbert Smith where he worked for many years as an assistant. He set up his own firm in 1994, which grew to become a 13-partner firm seven years later. Clive was Head of Commercial Litigation at Manches from 2004 until 2009, when he joined Stewarts.


Hendrik has been advising lenders and borrowers on all sorts of corporate finance transactions for more than 30 years. His current focus is on capital market based financing through the issue of bonds and structured investment products. Hendrik's other area of expertise is the regulation of financial markets, including bank supervision. He advises German and international financial institutions, particularly in relation to ownership control, the structuring of regulatory capital instruments, as well as the ongoing supervision by the European Central Bank or the relevant national authority.

Hendrik has been the managing partner of Hengeler Mueller and is a member of the partnership board.


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.


Mr. Simpson has been based in London since 1990 and before that practiced law in Skadden’s New York office throughout the 1980s. Mr. Simpson advises clients on cross-border mergers and acquisitions, including contested and hostile bids. He also has significant experience advising a variety of public companies on complex corporate governance issues.

Mr. Simpson’s recent mandates include advising Konecranes plc on its US$1.28 billion acquisition of Terex Corporation’s material handling and port solutions unit; Nokia Corporation in its combination with Alcatel-Lucent; LetterOne Holdings S.A. in its US$5.8 billion acquisition of the oil and gas unit of RWE AG; Israel Corporation Ltd. in its spin-off of Kenon Holdings Ltd. into a separate, publicly traded company; and Colfax Corporation in its US$2.4 billion acquisition of Charter International plc. He also advised Outokumpu Oyj in its €2.8 billion acquisition of the Inoxum business unit from ThyssenKrupp AG, and the subsequent sale of ThyssenKrupp Acciai Speciali Terni S.p.A. and Outokumpu VDM GmbH to ThyssenKrupp AG; and Alfa-Access-Renova in the US$56 billion sale of TNK-BP to Rosneft Oil Company. These latter three matters won IFLR’s “M&A Deal of the Year” awards for 2012, 2013 and 2014, respectively.

He also advised Central European Distribution Corporation, one of the largest distributors of vodka in Russia and Poland, in connection with an initial PIPE investment by Roust Trading Limited and the subsequent restructuring of CEDC via a prepacked Chapter 11 filing. This transaction was recognised for its innovation, including “Restructuring Deal of the Year” at the 2014 IFLR Americas awards and “Global Finance Deal of the Year, Restructuring and Insolvency, Europe” for 2013 as part of The American Lawyer 2014 Global Legal Awards.

In 1999, Mr. Simpson represented Gucci in one of Europe’s most significant takeover defence case studies, successfully resisting a hostile takeover attempt by LVMH Moët Hennessy Louis Vuitton SA. He then advised Gucci in numerous acquisitions of European luxury goods companies, including its acquisition of Yves Saint Laurent. Mr. Simpson also advised Gucci and the company’s independent directors in connection with PPR’s (now Kering) 2004 successful public offer for all Gucci shares.

In 2005, Mr. Simpson acted for Arcelor SA against an unsolicited US$22.8 billion bid from Mittal Steel N.V., and in the subsequent US$33.8 billion merger of Arcelor and Mittal in 2006. He also represented Mannesmann AG in the US$199 billion acquisition of Mannesmann by Vodafone AirTouch Plc in 1999-2000. This transaction, which began as a hostile takeover, remains the largest corporate acquisition to date. Mr. Simpson lectures and participates in seminars on topics related to his practice, including those sponsored by the Practising Law Institute and the American Bar Association. He is an adjunct professor at Ohio State University’s Moritz School of Law and is a regular guest lecturer at Harvard Law School and the Luxembourg University. He also has written and co-authored articles for, among other publications, The Business Lawyer.

Mr. Simpson’s transactional experience has been profiled in The American Lawyer, The Financial Times, The Evening Standard and The Wall Street Journal. Mr. Simpson consistently is ranked among the top transaction lawyers in Europe according to mergermarket data on the value of European M&A deals. He is one of the world’s leading M&A lawyers, according to the Chambers & Partners guides in the U.K., Europe and globally. Mr. Simpson is an adjunct professor at Ohio State University Moritz School of Law and guest lecturer at Harvard School of Law, among other universities.


Pieter is a member of Stibbe’s equity capital markets group with a focus on the more complex capital markets and corporate transactions. 

His capital markets experience includes initial public offerings, rights issues and secondary offerings. In addition, he has been involved in a number of large and complex corporate restructurings over the past few years, including the first successful restructuring of a European CMBS loan.


Sachin (Sach) is a U.S.-qualified partner in the international capital markets department of Allen & Overy in London. Sach specialises in advising foreign governments, issuers and investment banks in connection with international debt and equity offerings, including Rule 144A, Regulation S and other private placement transactions as well as U.S. SEC- registered offerings. Sach is an active member of our EMEA practice and has played a key role in a large number of equity and debt transactions within developed and emerging markets in the region.

Sach has been ranked as a leading individual for emerging markets and a noted lawyer for debt capital markets in the latest edition of Legal 500 as part of A&O’s tier 1 teams in debt capital markets and emerging markets, a highly regarded lawyer in IFLR 1000 and has been ranked by Chambers for his capital markets work in Turkey. Sach worked in New York for eight years before joining Allen & Overy in 2008 and has been a partner since 2011.

Professional qualifications

  • Admitted to the bar, State of New York, USA, 2000
  • Admitted as barrister and solicitor, Ontario, Canada, 2000
  • Registered foreign lawyer, England and Wales, 2011

Academic qualifications
BA, Economics
LLB (Hons), University of Toronto, 1998
MBA, University of Toronto, 1998


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.


Stephen is a partner at Arthur Cox, Ireland’s largest law firm, specializing in M&A and ECM. He has advised on some of the leading Irish corporate transactions in recent years, including a number of mergers, acquisitions, corporate migrations, IPOs and public offerings which have made Irish structures a focus for international corporate transactions. He has particular expertise in corporate transactions in the financial, telecommunications and life sciences sectors, as well as corporate inversions, redomiciliations and migrations into Ireland of NYSE and Nasdaq listed companies.

Recent Mandates

  • Advised Tyco on its $16 billion merger with Johnson Controls
  • Advised Allergan on its $150 billion inversion takeover by Pfizer
  • Advised Eir (Ireland's incumbant telco) on its €3.5 billion sale to NJJ/Iliad
  • Advised the Irish Stock Exchange on its sale to Euronext
  • Advised Mylan on its $27 billion offer for Perrigo
  • Advised Bank of Cyprus on its holding company reorganisation using an Irish listed holding company and €1.45 billion flotation on the LSE
  • Advised Bank of Ireland on its €14 billion of capital raising, and subsequent sale by the Irish State of its €3.5 billion preference shareholding
  • Advised a consortium of Santander, Deutsche Bank, HSBC, KBC, Natixis, Nordea, Rabobank, Société Générale and UniCredit on the establishment of the we.trade blockchain international payment system
  • Advised Greencore on its $750 million acquisition of Peacock Foods
  • Advised TE Connectivity on its $895 million acquisition of Creganna
  • Advised Air France on the sale of Cityjet to Intro Aviation
  • Advised Patrick McKillen on the defense of the takeover bid for the Claridges Hotel Group
  • Advised Covidien on its $43 billion inversion takeover by Medtronic
  • Advised Mallinckrodt on its $8 billion merger with Questcor, $2.4 billion takeover of Cadence Pharmaceuticals and $2.3 billion acquisition of Ikaria

Education
  • LL.B., Trinity College Dublin, first class honors (2001)
  • Ph.D, Trinity College Dublin (2006)

Of Note
  • Editor-in-Chief, Trinity College Law Review (2000-2001)
  • Non-Executive Director of Aidlink (2006-2015)
  • President of the Ireland Spain Economic Association (2013-2015)
 


Tim is a Director, deputy General Counsel at Citigroup Global Markets Limited in London. Tim currently heads up the DCM Legal team in the Banking and Capital Markets and Advisory legal group in Citigroup in EMEA. He has more than 21 years’ experience as a qualified capital markets lawyer. He joined Citigroup from Deutsche Bank in March 2006 and before that he trained at Simmons and Simmons and qualified into the Banking Department there. 

His team’s product area covers: debt securities (plain vanilla RegS and 144A issuance), capital instruments (AT1 and tier 2 debt and hybrids), liability management, high yield issuance and sukuk bonds. Tim has worked with a wide variety of clients across investment grade and the emerging markets, encompassing corporates, financial institutions, Sovereigns and sovereign agencies.

Tim is a member of the ICMA Legal and Documentation Committee and is involved with regulatory review and implementation within Citigroup and Citigroup’s interaction with Regulators. Tim is also a regular speaker at conferences on a number of current Debt Capital Markets topics.