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Investing, Trading and Doing Deals in a Dynamic World 2019


Speaker(s): Adrienne Braumiller, Aimen Mir, Alex Hao, Angelo A. Liberatore, Arthur Shulman, Chris Simkins, David A. Ring, David R Hanke, Jeremy Preiss, John Veroneau, Michael Garson, Michael J. Lowell, Randall Cook, Vanessa Sciarra, Waqas Shahid, William A. Newman
Recorded on: Jan. 15, 2019
PLI Program #: 252190

Adrienne Braumiller is the founder of Braumiller Law Group PLLC and an innovative force in the international trade law arena. With more than 25 years of experience, she is widely recognized as a leading authority in Customs, import, export, foreign-trade zones, free trade agreements and ITAR compliance.

In addition, Adrienne has been a distinguished lecturer for such groups as the American Bar Association, American Association of Exporters and Importers, the International Compliance Professionals Association, the American Conference Institute, the American Petroleum Institute, the National Association of Foreign Trade Zones, and the Department of Energy’s International Nonproliferation Export Control Program (INECP).

Accomplishments

  • Awarded Leader in her Field - International Trade and Customs (USA and Global) by Chambers and Partners
  • Former Global Trade Counsel to the Counsel of Supply Chain Management Professionals (CSCMP) and its Roundtables
  • Awarded Highly Commended as the Best Export Control Law Firm of the Year” by the World ECR
  • Awarded The Texas Excellence Award for Advisory Services by the U.S. Commerce & Trade Research Institute (USCTRI)
  • Nominations: Lifetime Achievement Award and Best Regulatory Lawyer of the Year (C5’s Annual Women in Compliance Awards)
  • Firm awarded Highly Commended as the Best Regulatory Law Firm of the Year (2014 Annual Women in Compliance Awards)

Leadership

  • Head of the World Law Alliance’s Regional Chapter in Texas (2013)
  • Serving her second four-year term on the Regulations and Procedures Technical Advisory Committee (RPTAC)
  • Two consecutive two-year terms on the Department Advisory Committee on Commercial Operations of Customs and Border Protection (COAC) (2007-2008)
  • President, Organization of Women in International Trade (local and national)
  • Firm’s representative to the Association of Trade Compliance Professionals (ATCP)

Education

  • L.L.M. in International Business Transactions from McGeorge School of Law
  • J.D. at St. Mary’s University
  • Studied international law at the University of Salzburg
  • Studied international law at the University of Oxford, Queen’s College


Alex Hao is a partner at JunHe’s New York office and a member of the firm’s Strategy Committee. Alex has been practicing law in New York since 2003.

Alex has significant experience in corporate, M&A, finance and FDI matters involving China. He also advises US clients on complying with China’s rapidly developing laws in areas such as anti-bribery, anti-monopoly, labor and employment, and national security. In addition, Alex acts as outside general counsel for many Chinese clients doing business in the U.S. (including some of China’s largest developers, banks and manufacturers) and links them with U.S. lawyers and other professionals.

Clients report that “Alex has superb instincts, utmost discretion, a keen judgment, a unique ability to de-mystify the complex, and a phenomenal ability to bring in all the expertise that is needed, but never more than what's needed.” Because “he's always exactly where you need him, when you need him” and “extremely creative and responsive”, clients “would recommend Alex in a heartbeat" and “just can't imagine doing anything legal in China without his counsel.”

Alex frequently speaks and writes on China-related legal and business issues, and has been interviewed by leading Chinese and U.S. media. He is an adjunct professor at Fudan University’s Fanhai International School of Finance in Shanghai, and co-chairs Practising Law Institute’s annual seminar on Doing Business in and with Emerging Markets in New York. Alex reads history avidly, studies Spanish and German, and travels the continents.

Education

  • J.D., Northwestern University School of Law
  • LL.B., summa cum laude, Peking University

Professional Associations

New York State Bar Association; American Bar Association


Angelo Liberatore is a Managing Director and lead strategist for the Credit Suisse Special Situations Desk. In this role, he generates proprietary market commentary and provides risk analysis and position management for the firm’s arbitrage/event-driven market making and trading activities. Angelo evaluates and predicts outcomes for announced/non- announced mergers, corporate restructurings (e.g., spin- outs, split offs, Dutch tenders) as well as hostile and activist M&A situations. Much of his time is dedicated to evaluating potential theories of competitive harm and regulatory risks that may arise in connection with announced transactions.

Primary analysis is conducted via teleconferences and meetings with company management teams, industry competitors, customers, suppliers, industry trade representatives, legal counsel and industry experts. Risk analysis includes: fundamentally and technically derived upside/downside analysis, implied vs. actual probability of close, estimating expected value and decision-tree outcomes, identification of deal milestones, assessment of systematic/unsystematic financing environment, evaluation of regulatory and political landscape, determining strengths/weaknesses of merger agreements and proxy statements and reviewing of corporate takeover defenses/management disposition.

Angelo has performed these responsibilities for over a decade. Prior to this, Angelo spent approximately ten years in equity research at JP Morgan, Goldman Sachs and Banc of America Securities covering telecom equipment and data networking companies. He was also an adjunct professor at Fordham University’s Gabelli School of Business for two semesters where he taught financial modeling as part of the core finance curriculum. Angelo graduated from Georgetown University with a finance major and theology minor. He resides in Westchester County with his wife and their three children.


Bill Newman advises his firm's clients on the structuring and execution of sophisticated business and securities transactions while heading the corporate and securities transaction practices at Barton LLP. Bill represents operating businesses, investment funds and individual investors across a wide variety of industries, including information technology, media, life sciences, investment management, real estate, manufacturing and distribution. Using his expertise with the SEC's rules as well as with the regulations of US securities exchanges and other markets, Bill assists both domestic and international entrepreneurial companies in accessing US capital markets. 




Chris Simkins is an attorney and an entrepreneur with deep experience in technology and information security. He is currently the Co-Founder and CEO of Corsha, a fully-funded cybersecurity start-up located in the Washington, DC area.  Corsha's streaming authentication solution is an innovative multi-factor authentication technology that prevents credential-based attacks and provides security for online accounts.  

Chris managed national security programs for the U.S. Dept. of Justice, first in the Counterespionage Section and then as a senior advisor to the Assistant Attorneys General for the National Security and Criminal Divisions.  He is a recognized expert on the Committee on Foreign Investment in the U.S. (CFIUS) and was the government’s primary CFIUS negotiator for three years.  He was a senior lawyer with the Washington DC firms of Covington & Burling and WilmerHale.  For over a decade, he has provided legal and security-related consulting advice to companies on CFIUS, technology, national security, and regulatory matters.  In 2011, he co-founded Chain Security, a technology supply chain and product development security firm, and served as CEO until exiting to start Corsha.


David Ring is a member of Wiggin and Dana’s White Collar Defense, Investigations and Compliance Practice Group, and heads the firm’s Washington, D.C. office while also maintaining an office in New Haven, Connecticut.  David has a national practice representing clients in a wide variety of criminal and compliance matters.  He recently completed his service as a U.S. State Department Monitor for a multi-billion dollar aerospace and defense company, and is proud to report that the company satisfied its consent agreement requirements in three and one-half years – near record time. 

David previously served as the Global Director of Compliance Investigations for United Technologies Corp. (UTC), and was Director of International Trade Compliance for what’s now United Technologies Aerospace Systems (UTAS).  Prior to his work at UTC, David was a federal prosecutor for 17 years in the District of Connecticut and Washington D.C., where he prosecuted a wide variety of criminal cases, ranging from political corruption to national security to capital murder. 

He is a graduate of Harvard College and Harvard Law School, and clerked on the U.S. Court of Appeals for the District of Columbia Circuit.  David serves on the Board of Directors for Lawyers Collaborative for Diversity, a non-profit organization dedicated to promoting minority lawyers in the legal workplace.  He also serves by court-appointment on the Criminal Justice Act Oversight Committee, periodically conducts confidential investigations on behalf of the District Court in Connecticut, and, most rewardingly, teaches criminal law and mock trial to students at inner-city high schools.


John Veroneau is a Chambers’  ranked international trade lawyer and co-chairs the firm's International Trade Practice Group. Having served in senior positions in both Executive and Legislative branches, he provides legal and strategic advice to clients on a broad range of international trade and other public policy matters.

Mr. Veroneau was confirmed by the U.S. Senate to serve as Ambassador and Deputy United States Trade Representative (USTR) under President George W. Bush. He previously served as USTR’s General Counsel. In these capacities, he worked on a wide range of matters, including negotiating trade and investment agreements, initiating and defending World Trade Organization (WTO) disputes, executing U.S. trade laws, and assisting U.S. companies address foreign trade barriers.

Mr. Veroneau was also confirmed by the U.S. Senate to serve as Assistant Secretary of Defense under President Clinton.

He has extensive experience in the U.S. Congress, having served as Legislative Director to Senator Bill Cohen, Legislative Director to Majority Leader Bill Frist and Chief of Staff to Senator Susan Collins.

Education

  • University of Maine School of Law, J.D., 1989
  • The University of Maine, B.A., 1983 with honors


Michael Garson is a Senior Managing Director at Ankura with more than 20 years of experience as an attorney in private practice, an in-house general counsel, and a C-suite operations and compliance executive. In those roles, he advised companies and enterprises of all sizes on US federal, state, and municipal procurements and grants and has specific expertise in defense and technology matters. He specializes in helping clients build and execute on market strategy, prepare winning bids and proposals, and design compliant and efficient business processes and systems. He is based in Washington, DC.

Prior to joining Ankura, Michael provided government contracting and business advisory services to a variety of companies through his own independent consulting firm. Before starting his own firm, he served in various capacities for LGS Innovations, a large US federal government contractor. Those roles included executive vice president and chief administrative officer, general counsel and secretary, chief compliance and ethics officer, and ITAR-empowered official as well as technology control officer. LGS, a technology and R&D company, is primarily focused on supporting the US defense and intelligence communities and, at the time of Michael’s departure, had over 1,000 employees and $300 million in annual revenue. Before that, Michael was a division counsel with Lucent Technologies, supporting its government solutions team, the main predecessor of LGS.

Education

  • AB, Princeton University
  • JD, The George Washington University Law School

Certifications

Certified Compliance and Ethics Professional

Affiliations

  • American Bar Association – Section of Public Contract Law
  • Society of Corporate Compliance and Ethics
  • Ethics and Compliance Initiative
  • International Association of Independent Private Sector Inspectors General, Member


Michael J. Lowell is a partner and co-chair of Reed Smith’s International Trade and National Security Group, where he has an international practice counseling clients on trade and regulatory enforcement matters, including export controls, economic sanctions, anti-bribery, and other laws governing cross-border transactions. Mike advises multinational companies from a wide range of industries, including financial services, defense and aerospace, manufacturing, life sciences, and energy and natural resources. Mike’s practice is focused on the legal regimes that govern international trade.

His work also includes practice before the Committee on Foreign Investment in the United States (“CFIUS”) with respect to foreign investment matters; advising clients on the requirements of the Foreign Agents Registration Act (“FARA”); representation before U.S. Customs & Border Protection (“CBP”) in enforcement matters; and representing clients before the U.S. Departments of Commerce, Defense, Homeland Security, Justice, State, and the Treasury.

Mike routinely represents clients in enforcement matters before OFAC, the Directorate of Defense Trade Controls (“DDTC”), the Bureau of Industry & Security (“BIS”), CBP, and other federal government agencies. He has represented clients in hundreds of regulatory enforcement matters, including voluntary disclosures and agency-led investigations (subpoenas, directed disclosures, seizures and detentions).

Prior to private practice, Mike clerked for the Fraud Section of the U.S. Department of Justice, Criminal Division, where he assisted FCPA prosecutions. He also clerked at the U.S. Attorney’s Office for the District of Columbia and the U.S. Court of Federal Claims. As a litigator, Mike tried more than two dozen jury and bench trials.

Education

  • George Mason University School of Law, J.D., cum laude, Journal of Law, Economics & Policy
  • George Mason University, B.S., Finance, cum laude

Professional Affiliations

  • Society for International Affairs
  • Association of Certified Anti-Money Laundering Specialists (ACAMS)
  • ABA Export Controls and Economic Sanctions Committee
  • ABA International Anti-corruption Committee


Randall H. Cook is a Senior Managing Director at Ankura based in New York. He has more than 20 years of experience leading and advising organizations engaged with critical operational and compliance challenges; conducting complex investigations and audits; and designing and delivering high-performance, persistent risk mitigation solutions. Randy assists organizations to navigate complex risks arising from national  security  concerns  (including  the  Committee  on  Foreign Investments in the US (CFIUS) and US trade controls); government and regulatory investigations and audits; and public and fiscal integrity issues.

Prior to joining Ankura, Randy was Senior Counsel for two Fortune 50 aerospace technology companies, where he built and led global investigations and compliance programs focused on consistent, process- based risk analysis, engagement, and mitigation. These programs were a critical enabler for the companies’ successful navigation of consent agreements with the US Department of State.

Randy was also an Assistant United States Attorney in the federal district of New Jersey, where he prosecuted numerous complex crimes while serving as the Anti-Money Laundering District Coordinator for the Organized Crime and Drug Enforcement Task Force and as District Coordinator for Counterproliferation Initiatives. In addition to this, as an attorney for Covington & Burling LLP in Washington, DC, he provided counsel and advocated for clients confronting complex regulatory issues in multiple industries.

Education

  • JD, Duke University School of Law
  • MA, International Relations, Duke University
  • BSFS, Georgetown University

Certifications

SCCE Certified Compliance and Ethics Professional (CCEP)

Affiliations

  • American Bar Association Bar Admissions: CT, NJ, NY
  • Society for International Affairs
  • International Association of Independent Private Sector Inspectors General, Member


Vanessa P. Sciarra is Vice President for Legal Affairs and Trade & Investment Policy at the National Foreign Trade Council (NFTC), an organization of leading U.S.-based international business enterprises representing all major sectors of the economy.  In this role, she advises NFTC member companies on a wide variety of issues, including trade agreements, customs facilitation, tariff policy and congressional affairs.

Prior to joining NFTC, she worked at the Emergency Committee for American Trade (ECAT) and spent 20 years in private practice, representing a diverse group of clients on a broad range of international trade matters. Ms. Sciarra has served as Assistant General Counsel with the Office of the United States Trade Representative (USTR) where she worked on the negotiation and implementation of the North American Free Trade Agreement (NAFTA) and the negotiation of the WTO agreements and the related implementing bill. She was also a Trial Attorney with the U.S. Department of Justice, representing the government in cases involving antidumping and countervailing duty laws, customs matters, and government contracts.

Ms. Sciarra is a member of the District of Columbia Bar and resides with her husband and three children in Rockville, Maryland.


Waqas Shahid is a Senior Managing Director at Ankura with more than 15 years of multidisciplinary legal, compliance and technology experience, including counseling companies on enterprise compliance and operational risk mitigation (including in the areas of international trade, environmental, and data security/privacy); designing, building, and deploying corporate compliance programs and solutions; conducting internal investigations; and designing and deploying scalable process automation solutions. He is based in New York.

Before joining Ankura, Waqas was a Senior Attorney at a leading aerospace and defense company and led numerous enterprise compliance investigations, conducted enterprise-wide technology systems compliance reviews, and designed and implemented scalable compliance solutions. Earlier in his career, he practiced law at a global Am Law 100 firm, where he counseled numerous clients on trade compliance, environmental, and data security and privacy matters.  Waqas also has extensive experience developing  and  deploying  critical  compliance  software  and  process automation solutions.

Education

  • JD, Georgetown University Law Center, Cum Laude
  • BS, Computer Science, University of Virginia, with High Distinction

Affiliations

  • American Bar Association
  • Washington DC Bar Virginia Bar


Aimen Mir served in various positions at the Department of the Treasury related to the Committee on Foreign Investment in the United States (CFIUS) from 2008 through 2018, including as Deputy Assistant Secretary for Investment Security and as CFIUS Staff Chair and Director of Treasury’s Office of Investment Security.  In these capacities, he managed CFIUS operations, including coordination of all CFIUS reviews and actions.  He also played a leading role in shaping and negotiating the Foreign Investment Risk Review Modernization Act, signed into law in August 2019.  He also served a detail as Counsel in the National Security Division of the U.S. Department of Justice in 2014, where he focused on intelligence reform and cybersecurity issues.  Earlier in his career, Aimen was Counsel in the Defense, National Security, and Government Contracts practice of WilmerHale in Washington D.C.  He graduated with a law degree from the Georgetown University Law Center and a master’s degree from Georgetown’s School of Foreign Service.


Dave is a go-to national security lawyer for domestic and foreign companies navigating the Committee on Foreign Investment in the United States (CFIUS) and implementation of the Foreign Investment Risk Review Modernization Act (FIRRMA) – the most sweeping overhaul of CFIUS in 40 years.

Prior to joining Arent Fox, Dave spent over 12 years on Capitol Hill, serving in a variety of national security staff positions, including as a Professional Staff Member on the US Senate Select Committee on Intelligence and as Counsel for National Security Affairs to Senator John Cornyn (R-TX), then-Senate Majority Whip. He was the primary staff architect of Sen. Cornyn’s FIRRMA legislation and the chief strategist behind its 2018 enactment.

While in the Senate, Dave worked on some of the most complex and multifaceted national security issues and technology-related challenges of the day. His duties included serving as the lead policy advisor to Sen. Cornyn on all intelligence, CFIUS, and related issues; devising, developing, and drafting FIRMMA, a comprehensive modernization of CFIUS; reviewing all classified CFIUS National Security Threat Assessments written by the Intelligence Community; and identifying emerging issues and formulating policy to maximize security for 5G mobile communications.

He also drafted two pieces of legislation to address the growing problem of intellectual property theft by foreign actors.

Dave also held various staff positions in the U.S. House of Representatives, including at the House International Relations Committee, the House Ways and Means Committee, and the Committee on House Administration.

Dave served on active duty in the U.S. Army for three years as a JAG officer in the 101st Airborne Division (Air Assault). He deployed to Iraq for 11 months in support of Operation Iraqi Freedom, during which he served as the Brigade Judge Advocate and then the Brigade Trial Counsel for the 101st Combat Aviation Brigade. In this role, he was the lead prosecutor and principal attorney for commanders at various levels. He also served as a Civil and Administrative Law Attorney and a Legal Assistance Attorney at the headquarters of the 101st Airborne Division (Air Assault). His military awards include the Bronze Star Medal and the Iraq Campaign Medal.


With dual appointments to UTC’s government relations and legal departments, Jeremy Preiss is responsible for UTC’s advocacy on international trade, foreign investment, and related issues, providing policy counsel on: global supply chain matters; trade and foreign affairs legislation; foreign market access issues; international trade and investment negotiations; U.S. trade litigation and WTO disputes; and international codes of conduct, including CSR initiatives.  Jeremy is also an Ethics and Compliance Officer for UTC.  Previously, as UTC’s Vice President, Chief International Trade Counsel, he served in a leadership capacity in the company’s international regulatory function, overseeing a team that helped to ensure UTC’s compliance with export controls, economic sanctions, the Foreign Corrupt Practices Act, and anti-boycott rules.

Jeremy joined UTC in 1997 from the U.S. Senate Committee on Finance where he worked several years as International Trade Counsel, advising the Chairman on all international trade and economic matters before the committee.  Before that, Jeremy was an attorney at the law firm Sidley & Austin where he focused on international legal matters.

Jeremy currently serves on the boards of the National Foreign Trade Council and the U.S.-Poland Business Council (USPBC). From 1998-2008, Jeremy was a U.S. Secretary of Commerce-appointee to the President’s Export Council’s Subcommittee on Export Administration (PECSEA).  He also served as an appointee on the State Department’s Advisory Committee on International Economic Policy (ACIEP) from 2007-2010 and the ACIEP’s Investment Subcommittee from 2007-2014.

Jeremy received his law degree, magna cum laude, from the University of Pennsylvania; his bachelor’s degree from the Johns Hopkins University; and his master’s degree from the Johns Hopkins University’s School of Advanced International Studies (SAIS).


Arthur Shulman is the director for Licensing, Policy, Sanctions and Global Customs for Boeing Global Trade Controls (GTC), based in the Washington, D.C., office and reporting to the vice president for GTC. In this role, Shulman is responsible for coordinating trade control policy, licensing, technology release and customs matters with U.S. Government regulators. His team also provides non-U.S. trade control regulatory guidance and obtains local transfer authorizations to support Boeing’s business around the globe. In addition, he is responsible for monitoring and ensuring company compliance with evolving sanctions regulations.

Most recently, Shulman was the Acting Director of the Office of Defense Trade Controls Compliance in the U.S. State Department’s Directorate of Defense Trade Controls. During his tenure there, Shulman was an integral participant in the U.S. government’s export control policy and licensing reform effort while administering and managing the munitions export control compliance and enforcement program.

Shulman previously worked as a researcher, analyst and advocate for robust strategic trade controls. A native Russian speaker, Shulman earned his undergraduate degree in international relations and history from Tulane University, a masters from the London School of Economics, and his law degree from George Washington University.