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Justin Aldridge

Head of Agency Lending
Fidelity Investments

Justin Aldridge is a senior vice president and head of agency lending at Fidelity Capital Markets (FCM), the institutional trading arm of Fidelity Investments, providing trading products and services to a wide array of clients, including buy-side institutions, hedge funds, and Fidelity’s retail, correspondent, and advisor businesses. Fidelity Investments is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and other financial products and services to institutions, financial intermediaries, and individuals. In this role, Mr. Aldridge is responsible for the development and ongoing management and commercialization of the ... (view full description)

Nancy Allen

Head of Data & Analytics
EquiLend

Nancy Allen is Head of Data & Analytics at EquiLend. As Head of the Data & Analytics division, Nancy has responsibility for the strategic development and growth of the buy- and sell-side market data and analytics offerings across the firm. She has more than 20 years of experience in the global securities finance market.   Nancy joined EquiLend from Northern Trust, where most recently she was senior vice president and head of international fixed income securities lending trading, based in London. Previously, Nancy held various positions in securities finance at Northern Trust, State Street and Deutsche Bank.    Nancy has a Bachelor of Science degree in Business ... (view full description)

Peter Bassler

Managing Director, Business Development
eSecLending

Peter is the Global Head of Business Development and is responsible for developing and implementing eSecLending’s business development strategy on a global basis, with a focus on sales to the institutional investor community across the Americas. Peter joined eSecLending in 2008, having been in the financial services industry since 1996.  Preceding eSecLending, Peter worked at Dresdner Kleinwort Agency Securities Lending (now Deutsche Bank), Allianz Global Investors and Deutsche Bank. Peter received his Bachelor of Arts from Dickinson College in Pennsylvania.
 

Elaina Benfield

Assistant General Counsel
Vanguard

Elaina is an Assistant General Counsel at Vanguard where she manages global regulatory and legal matters impacting Vanguard’s mutual fund and securities finance businesses.  Prior to Vanguard, Elaina served as Senior Counsel at State Street Bank, where she helped launch and expand State Street’s alternative prime brokerage product in the North American, EU and APAC regions.  Prior to State Street, Elaina served as a Summer Associate, Associate and Counsel at the law firm, Wilmer Cutler Pickering Hale and Dorr LLP in Boston, where she specialized in US mutual funds and the asset management industry.  Elaina received her J.D. from Boston College Law School and B.A. from ... (view full description)

Divyesh Bhakta

Founder & CEO
FinOptSys

Divyesh Bhakta is Co-Founder & Co-CEO.  Divyesh brings over 24 years of Securities Finance Business expertise and has built best in class, client centric, cross-asset solution teams, covering Global Institutional clients. Divyesh has a Bachelors degree in Mathematics and Management from King’s College, London and is also a Chartered Accountant and a Fellow of the Institute of Chartered Accountants England and Wales.

Ed Blount

Executive Director
Advanced Securities Consulting

As a consultant for securities lenders in the early 1990s, Ed Blount developed the first benchmarks and peer reviews while CEO at ASTEC Consulting Group, Inc. During the 2008 credit crisis, he received a letter of appreciation from the Risk Management Association for assisting regulators and trade groups in preventing fire sales of collateral investments. Ed has received graduate finance degrees from New York University and Pepperdine University, and an undergraduate Economics/English degree from Fordham University in New York City. After college, he enlisted in the U.S. Marines, received his commission and wings, then served as Captain and fighter pilot with VMFA-314. Afterward, Ed joined C ... (view full description)

Nora Bowman

Senior Vice President, Client Relationship Management
eSecLending

As a Senior Vice President in Client Relationship Management, Nora is responsible for providing customized service and serving as the primary point of contact for designated clients and managing quality control on their behalf for all service offerings. Nora has been in financial services and securities lending since 2007.  Prior to joining eSecLending in 2015, she worked within the Securities Lending division at State Street.  Nora graduated from Wesleyan University with her Bachelor of Arts degree in Economics and Master of Arts degree in Liberal Studies concentrated in Social Sciences.

Doug Brown

Head of Business Development for Agency Lending
Fidelity

Doug Brown is head of business development for Agency Lending for Fidelity Capital Markets (FCM), the institutional trading arm of Fidelity Investments, providing trading products and services to a wide array of clients, including buy-side institutions, hedge funds, and Fidelity’s retail, correspondent, and advisor businesses. Fidelity Investments is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and other financial products and services to institutions, financial intermediaries, and individuals. In this role, Mr. Brown is responsible for the marketing, sales, and relationship management aspects of the Agency Lendi ... (view full description)

Lana Calton

Executive Managing Director
Hilltop Securities Inc.

Christel Carroll

Vice President
Goldman Sachs

Christel is Co-head of Client Service and Relationship Management at Goldman Sachs Agency Lending (GSAL).  Christel joined GSAL in 2003 as a Client Service Analyst through the Northeastern University internship program. In 2008, Christel assumed responsibility for the US Client Services team.  Christel has played a critical role in developing GSAL's industry leading client service model, performance analytics, and highly flexible reporting platform.  As Co-head of the US Client Services team, Christel is responsible for client implementation and program oversight as well as numerous tactical and strategic facing initiatives.  Christel is a member of the Risk Management Association Securities ... (view full description)

Lou Carvajal

Director, Securities Finance
S&P Global Market Intelligence

Anthony Caserta

Director of Business Development
FinOptSys

Anthony has 25 years of experience in securities financing, prime brokerage and fintech. He joined FinOptSys in August of 2021 as Director of Business Development after spending 5 years at Natixis, where he was responsible for global securities financing client strategies in the US. Prior to Natixis, Anthony focused on client service and product development as managing director of securities finance at S3 Partners for 8 years.   He spent the first 7 years of his career at Goldman Sachs, where his roles included US and international securities lending, client coverage and operations.  He eventually moved on to help build out securities financing businesses at Abbey Nat ... (view full description)

Carey Chamberlain

Head of Equity Finance & Delta One Sales, Americas
HSBC

Jivko Chiderov

Sr. Relationship Manager
Northern Trust

Jivko Chiderov is a Relationship Manager for Northern Trust Global Securities Lending, specializing in Large Corporate and Insurance client segments. He is responsible for ensuring that securities lending clients receive quality and coordinated services from our operations, trading and investment areas. Jivko also leads sales and marketing efforts within those segments. Before becoming a Relationship Manager, Jivko worked for four years as an Account Manager for Northern Trust Global Securities Lending, specializing in the Public Funds, Insurance, Foundation and Endowments and Large Corporate segments. Prior to joining the Securities Lending team, Jivko spent six year ... (view full description)

Matt Cohen

CEO
Provable Markets

Matt Cohen is CEO of Provable Markets a New York broker-dealer and operator of the ATS, Aurora. Matt joined the Provable Group following a 14-year Wall Street career during which he was senior institutional trader and portfolio manager on both the buy and sell-side, working at several Wall Street firms, including Merrill Lynch, Jefferies, and Nomura. Matt’s responsibilities ranged from sales, senior equities trader, options market maker, to senior risk and desk manager. His areas of expertise are in the funding and financing markets, structured financing, listed and OTC options, and various arbitrage strategies. Throughout his career, Matt has always taken a keen interest in market structure ... (view full description)

Greg Corcoran

Cash/Securities Lending Analyst
Ohio PERS

Gregory has been a member of the securities lending team at Ohio PERS since August 2014.  In his current position Gregory is responsible for overseeing the day to day trading of all the internally lent assets.  These assets include US Treasuries, Mortgage Backed Securities, and TIPS.  Gregory is also responsible for the daily re-rating of the assets and necessary recall of any security that is being sold from the various portfolios. Prior to joining Ohio PERS Gregory spent the first 6 years in the industry working for eSec Lending.  He began his career on the operations desk managing day to day collateral settlements across numerous relationships, monitoring daily on loan reconciliatio ... (view full description)

Monica Damas-Shaw

Director, Securities Finance – Beneficial Owner Product Manager
S&P Global Market Intelligence

Monica Damas-Shaw, (New York) - Product Manager for Beneficial Owner Products and Solutions in the Americas.  Monica joined the IHS Markit Securities Finance team in April 2019 and is responsible for the product development and relationship management offering for beneficial owners.  Prior to IHS Markit, she worked at JP Morgan for eight years and Credit Suisse for seven years as a Securities Lending client relationship manager.  In both roles, she was responsible for managing and assisting large institutional clients with their securities lending programs. The types of clients covered were Public/Corporate Pension plans, Central Banks, Sovereigns and U.S. M ... (view full description)

Sunil Daswani

Global Head of Securities Lending
Standard Chartered

Sunil joined Standard Chartered Bank in August 2020 and is the Global Head of Agency Securities Lending. He has over 25 years of experience in the industry. He is responsible for the business, strategy and development of securities lending for our clients. This entails ensuring that client’s revenues are maximized while mitigating and minimising risks, through new trade types, reviewing the network of markets we lend in and the counterparties we selectively add to our program. A key objective of his is to ensure clients receive full transparency in their lending activities through close collaboration with beneficial owners, borrowers and industry associations.   Sunil previously ... (view full description)

Samir Dhrolia

Sr Managing Director, Global Derivatives, Trading and Index Portfolio Management (DTI)
British Columbia Investment Mgmt Corp

A Toronto native, returning back to Canada after spending 15+ years internationally in New York, London, and Asia.  Samir previously held senior positions at HSBC as Head of Index Derivatives; Goldman Sachs as Head of Canada, Emerging Market and Latin America Derivatives (CEMLA); and, Merrill Lynch in Equity Derivatives trading. Outside of work, Samir enjoys spending time with his 3 young children. Samir joined BCi in 2016 as Senior Portfolio Manager, Derivatives.  In 2017, Samir’s roll expanded to Vice President of Indexing and Trading in Public Markets.   Samir is responsible global derivatives, trading, securities lending & financing and overseas 40B in passive investments at BC ... (view full description)

Brad Fryer

Executive Director, Head of Cash Reinvestment & Fixed Income Lending
J.P. Morgan

Brad Fryer, Executive Director, is responsible for U.S. Fixed Income Lending and Cash Reinvestment for J.P Morgan’s Agency Securities Lending business. Brad has 13+ years of agent lending experience. Brad joined J.P. Morgan in 2009 in Operations and Product Management before moving into more senior roles, first leading a global team as the Agent Lending Risk and Control Officer and subsequently transitioning to his current roles on the trading desk.  Brad’s current responsibilities include managing teams tasked with the optimization of fixed income portfolios, cash collateral portfolio management, and cash trade execution.  Brad also works closely with the team of Relationship Managers that ... (view full description)

Sal Giglio

COO & Chief Markets Officer
GLMX

Sal has extensive experience trading interest-rate instruments and possesses comprehensive knowledge of all aspects of the secured funding business. As a Managing Director, his responsibilities included managing a team of traders, implementing liquidity discipline, and navigating interest rate and credit risks. He has worked at several major Wall Street sell-side firms including JP Morgan, Bank of America Merrill Lynch and most recently, BNP Paribas. Sal holds an AB/Economics from Columbia University.

Sal holds an AB/Economics from Columbia University.  He currently maintains Series 7, 24 and 63 registrations.

Brooke Gillman

Managing Director, Head of Client Relationship Management
eSecLending

Brooke Gillman manages the Client Relationship Management globally and is responsible for leading the firm’s service model for all client programs and is also responsible for overseeing the firm’s marketing and communications activities.  Brooke has been in the securities lending industry and with eSecLending since its inception in 2000, when she was one of the firm’s founding members that started the business. Brooke has held various senior positions at eSecLending including Business Development, Relationship Management and Head of Marketing and Communications.  Brooke received her Bachelor of Arts in Business Administration from the University of Washington. 

William Goldthwait

Portfolio Strategist
State Street Global Advisors

Will is a Vice President, Portfolio Strategist at State Street Global Advisors. He is a member of the Global Cash and Global Fixed Income Investment Management Teams. Will is responsible for the communication of cash and fixed income investment strategy and performance to clients, consultants and prospects. He covers multiple sectors and vehicles, including both active and indexed fixed income. Prior to joining SSGA in 2014, Will spent time on both the advisory and brokerage side of the business. Most recently he was part of Royal Bank of Scotland's Institutional Fixed Income Sales team and Merrill Lynch's Institutional Money Market Sales Team. Prior to Merrill Lynch will worked as a M ... (view full description)

Robert Goobie

Assistant Vice President, Collateral Management
Healthcare of Ontario Pension Plan

No biography specified

Melissa Gow

VP, Securities Finance
S&P Global Market Intelligence

Melissa Gow, Managing Director of Securities Finance at S&P Global Market Intelligence, which IHS Markit is now a part of.  Melissa has over 25 years’ experience in the financial services industry, with the last 15 focused on securities finance.  She joined Data Explorers in 2008 as the Head of Account Management for North America, and became part of the Markit/IHS Markit/S&P Global team through the 2012 acquisition. Prior to Data Explorers, Melissa worked at EquiLend as the head of Sales and Marketing, and also had roles at Goldman Sachs and Swiss Bank Corporation (now UBS).  Melissa holds an M.B.A in Finance and Information Systems from New York University, and a B.A. in Economics ... (view full description)

Morgan Hillenbrand

Director of Communications
Tetra Tech

James Hraska

Managing Director
DTCC

Jim is responsible for the Fixed Income product group, overseeing all of FICC's products and services. As part of our commitment to deliver greater value to our clients, Jim also leads FICC's efforts in initiatives such as expanding buy-side participation in FICC clearing services, and implementing the Mortgage Novation Service for MBSD. Jim joins DTCC from Barclays, where he most recently served as Global Director of Product Management, specializing in Financing and Structural reform. He has twenty-six years experience in the securities industry with expertise in fixed income and equity financing, fixed income and equity derivatives, financial engineering, reinsurance, structured cred ... (view full description)

Cherie Jeffries

Director of Fixed Income Trading
Florida State Board of Administration

Cherie Jeffries is the Director of Fixed Income Trading overseeing the Pension Cash Sweep Liquidity Portfolio, 3 short durtation portfolios, Internal trading activites, Securities Lending and Middle Office Group.  Her responsibilities include implementation of strategy for assigned portfolios, overseeing internal trading, understanding regulations and impact to trading,  securities lending, trade settlement and performance verification.  She is a member of a Regulation working group where she participates in regulation discussion on operations and contractual needs.  Prior to joining the State Board of Administration of Florida, she worked at Florida State Treasury as the Lead Portfolio mana ... (view full description)

Travis Keltner

Managing Director
State Street

Travis Keltner is the head of Financing and Analytics for State Street Global Market’s (SSGM) Funding and Collateral team.  This role includes product and trading oversight of all bank principal secured funding trading activities, with primary focus on the client activities related to sponsored member and peer-to-peer repo programs.  Travis also oversees proprietary funding, collateral optimization and analytics, as well as development and implementation of business strategies and trade structures.   Travis previously played an integral management role as a member of State Street’s Treasury Liquidity Risk team, overseeing collateral management strategies and implementing liquidity requ ... (view full description)

Roanna Kim

Director
RBC Capital Markets

Roanna Kim is a Director in Equity Finance within the Central Funding Group at RBC Capital Markets, and currently Vice-President of CASLA’s board of directors.  Roanna has 15+ years of Securities Finance experience which includes tenure at an Agent Lender on the Equity & Fixed Income trade desk, and Business Development & Relationship management teams. 
 

Louisa Li

Director
Citi

Bill Mascaro

Managing Director - North America Head of Agency Securities Lending (ASL) & Directed Agency Investment Services (DAIS) Trading
Citi

Bill is the North America Head of Agency Securities Lending (ASL) & Directed Agency Investment Services (DAIS) Trading. This includes trading desk oversight for domestic equity, international equity, corporate fixed income and government fixed income trading, as well as cash investment services. Prior to this role, Bill oversaw Strategic Trading in North America, as well as the international equity lending desk in New York. Bill joined Citi as an analyst in Global Transaction Services in 2004 and rotated through the firm’s Treasury and Trade Solutions and Markets and Securities Services divisions. Bill graduated from Cornell University with a B.S. in industrial and labor relations, ... (view full description)

Marney McCabe

Senior Vice President
Brown Brothers Harriman

Marney McCabe joined Brown Brothers Harriman in July 2006. She is the Head of Securities Lending Relationship Management and Sales for the Americas. During her tenure at BBH, Ms. McCabe has been responsible for overseeing the lending programs for many of the Firm’s strategic asset manager clients. She is a co-chair of BBH’s Boston Women’s Network. Ms. McCabe joined BBH from Emerson Investment Management in Boston, where she was a Portfolio Manager providing investment and wealth management services to a wide range of institutional and individual clients. Ms. McCabe also spent seven years in San Francisco where she worked as an Equity Research Associate at Soundview Technol ... (view full description)

John McGuire

Managing Director, Global Head of Business Development
State Street

  John McGuire was named Global Head of Business Development in State Street’s Securities Finance division after serving as Global Head of Enhanced Custody since 2016. Mr. McGuire has been part of the Securities Finance organization since 2005.  He helped launch the Enhanced Custody product in 2008 and was responsible for business development since the product’s inception. Since joining State Street in 1996, Mr. McGuire has held a variety of positions within Global Services, Global Treasury and Global Markets at State Street.Mr. McGuire holds a Bachelor of Arts in Hist ... (view full description)

Gene Meshechek

Director
BlackRock

Gene Meshechek, CFA, Director, is the Head of North American Institutional Product Strategy for BlackRock's Securities Lending business within the Portfolio Management Group. Prior to moving to his current role in 2018, Mr. Meshechek was the Global Head of Fixed Income Securities Lending Trading.  Previously, Mr. Meshechek was a portfolio manager in BlackRock's Global Cash Management business, primarily responsible for managing securities lending reinvestment portfolios, as well as the primary trader for short duration fixed income instruments. Mr. Meshechek's service with the firm dates back to 2007, including his years with Barclays Global Investors (B ... (view full description)

Patrick Morrissey

Head of Product, Strategy, and Implementation- Securities Lending
The Vanguard Group

Patrick Morrissey is the Head of Trading for its internally lent domestic and international lending programs and has had management responsibilities since 2013. He joined The Vanguard Group in 2005 and has 9 years of experience in Securities Lending.Prior to this, Mr. Morrissey worked as an American Depositary Receipt analyst and trader within the Broker and Institutional Marketing group at The Bank of New York.Mr. Morrissey holds a Bachelor of Science in Finance from Saint Joseph’s University and a Masters degree in Financial Engineering from Temple University.

Chris Napoli

COO
Hurricane Capital

Before joining Hurricane Capital to assume the role of Chief Operating Officer, Chris Napoli served as the Head of Global Trading, Financing Operations, Global Syndicate, and Counter-party Relationship Management for Eastbay Capital since the firm’s launch in 2013 until 2021. Chris brings experience in specialty international financing, dealing expertise throughout emerging and developed Asia, Pan Europe, as well as, global and domestic synthetics. Chris’ charge at Eastbay management oversaw counter party risk, portfolio finance efficiency, and all aspects of firm’s financing and trading globally. Prior to joining Eastbay, Chris spent four years as the cross-asset tra ... (view full description)

Owen Nichols

Managing Director
State Street Global Markets

Owen Nichols is a managing director in State Street's Securities Finance division and manages new business development and relationship management for registered fund clients in the United States. His team works with existing and potential lending clients helping them customize programs that will provide opportunities and alternatives to help enhance risk-adjusted returns.Mr. Nichols has more than 15 years of experience in the securities lending industry with extensive knowledge of mutual fund lending. He is responsible for all aspects of account management, from performance analysis and reporting to overall customer satisfaction and retention. Mr. Nichols is a Vice President ... (view full description)

Thomas Ryan

Senior Vice President
MUFG

Tom Ryan is based in New York and is the Head of Asset and Liability Trading for Global Securities Lending Solutions Group of MUFG Investor Services Tom Ryan is Senior Vice President and Head of Asset and Liability Trading. His responsibilities include establishing guidelines, specific policy and providing senior level input into strategic business plans in Agency Lending Trading; carrying out all trading activity on behalf of MUTB Securities Lending clients across all asset classes, sub-product and maturity spectrums in the discretionary manner within client specific guidelines. Previous to joining MUTB Tom was Head of the Deutsche Bank Agency Securities Lending busin ... (view full description)

Stan Sadovski

Account Director, Americas
Credit Benchmark

Stan joined Credit Benchmark as an Account Director, focusing on managing relationships with contributing banks in the Americas. He brings 10 years of industry experience working in Finance and Technology. Prior to joining Credit Benchmark, Stan spent 5 years working at Goldman Sachs in the Credit Risk Management and Advisory department, primarily covering Industrial and Technology sectors. He was also a member of the Workout and Restructuring team, covering EMEA and APAC regions out of London.  Stan holds a Bachelor’s degree from Seton Hall University with a focus on Finance and Accounting.

Armeet Sandhu

Chief Executive Officer
EquiLend Spire

Armeet Sandhu, CEO Stonewain Systems Inc., is an accomplished business and technology leader specializing in the Financial Services Industry. Armeet has been the driving force behind the development and growth of Stonewain’s flagship securities finance solution, SpireTM. Using his extensive industry experience and deep domain expertise, he works strategically with the senior management teams to diagnose operational and technological issues and develop innovative solutions to address these. Prior to joining Stonewain, Armeet served as the Managing Director at Scotia Capital. He also worked at Wells Fargo/Wachovia as the Managing Director/SVP – Technology and Operations. He received ... (view full description)

David Schwartz

Executive Director
Center for the Study of Financial Market Evolution

David Schwartz is the Executive Director of the Center for the Study of Financial Market Evolution. His business and legal career spans 30 years and includes work in both the public and private sectors. Mr. Schwartz has served as Treasurer of the County of Kauai, Executive Director of the Kauai Economic Development Board, and Senior Managing Director at Advanced Securities Consulting, LLC. Previous to that, he held positions as Senior Counsel at the Securities and Exchange Commission and the Mutual Fund Directors Forum and was an associate at the Washington, DC firm K&L Gates, where he specialized in risk management, corporate governance, and the regulation of financial services and prod ... (view full description)

Sumit Sharma

Secured Funding - Equities
TD Securities Inc

Zorawar Singh

Managing Director
Deutsche Bank AG

Based in London, Zorawar has been part of the senior management team within the Agency Securities Lending product for 5 years. In his prior role, he had responsibility for the growth of the Agency Securities Lending structuring business and has a proven track record of successfully driving innovation within the product.   He started his career with Deutsche Bank more than 12 years ago in treasury and rose to become the EMEA ex. Germany head of Asset & Liability Management of the Transaction Banking business. During this time, he was involved in the integration of the Agency Securities Lending business into Deutsche Bank when it was acquired from Commerzbank in 2009. Based on ... (view full description)

Michael Slomienski

Managing Director
Goldman Sachs & Co.

Michael is head of Supply for US Securities Lending in Prime Services. Previously, he worked in a sales-trading capacity on the US Demand team covering hedge funds in Securities Lending. From 2006 to 2012, Mike worked in both the Tokyo and London offices in various Securities Lending capacities. He joined Goldman Sachs as an analyst in New York in 2004 and was named managing director in 2017. Mike serves on the Board of Equilend, a financial technology company that specializes in the global securities finance marketplace. He also serves on the Board of the New Jersey Golf Foundation, an organization committed to impacting lives and communities through golf with a focus on t ... (view full description)

Tim Smollen

Global Head, Global Securities Lending Solutions
Mitsubishi UFJ Trust and Banking Corporation

Craig Starble

CEO
eSecLending

Craig Starble is the Chief Executive Officer at eSecLending where he leads the development and implementation of eSecLending’s overall strategy. Craig joined eSecLending in 2013 and began his career in financial services in 1984. Prior to eSecLending, Craig was the Founder and CEO of Premier Global Securities Lending, LLC (PGSL), Executive Vice President and Head of State Street Bank’s global securities lending division from 2004 to 2009, was a Co-Founder and CFO for Shoebuy.com, and was Managing Director for the Treasury Funding Group at BankBoston Corporation. Craig received a Bachelor of Arts in Economics and Government from Connecticut College.

 

Anthony Toscano

Head of North American Global Securities Lending Solutions
Mitsubishi UFJ Trust & Banking

Tony joined MUFG in January 2020 as part of an initiative to build a new third-party global securities lending platform.  He is North American Head of their legacy Agency Securities Lending and Repo buisness.  Prior to MUFG Tony was Head of the Americas for Deutsche Bank’s Agency Securities Lending business from 2009 to 2019. Prior to the 2009 acquisition of Commerzbank’s program by Deutsche, Tony held the same position with Dresdner Kleinwort from 2002. Before 2002 he was the head of US domestic lending for Deutsche Bank’s program for six years. Earlier, Tony also spent nine years at JP Morgan in several key positions including Head of Liability Trading, Equity Derivatives borrowing securit ... (view full description)

Matt Wolfe

Exec. Director, Sec. Finance
OCC

Matt Wolfe is Executive Director, Securities Finance for OCC. OCC is the world’s largest equity derivatives clearing organization.   In his current role, Mr. Wolfe is responsible for the product strategy and development of OCC’s securities finance business. This includes the replacement of its technology platform and the program’s legal and operational framework. In his prior roles, Mr. Wolfe focused upon strategic initiatives for OCC’s clearing services including managing and working with the team responsible for launching new exchanges, options and futures products, as well as services for participant exchanges. He joined OCC in 2000 as a Specialist in Collateral Services. ... (view full description)

Brian Yeazel

Managing Director - Fixed Income
Northwestern Mutual



Mr. Yeazel is a senior portfolio manager at Northwestern Mutual Investment Management Co, an investment subsidiary of Northwestern Mutual Life. He has over 25 years of experience in fixed income portfolio management and trading. As a portfolio manager, Mr. Yeazel is responsible for Treasury securities, short-term investments and securities lending across all client portfolios at Mason Street Advisors. He is also responsible for asset allocation and duration strategy for client portfolios. Mr. Yeazel earned his Bachelors degree in Economics (1987) and an MBA in Finance (1988) from the University of Wisconsin. He earned his CFA in 1993.
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Event Contacts for The 27th Annual Beneficial Owners' International Securities Finance & Collateral Management Conference

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*Privacy. Any submissions, including private personal information, like names, addresses and so on, are voluntary and you waive any and all rights you have to the protection of that information. By submitting ideas, suggestions, documents or other matter ("Submissions"), you agree that: (a) the Submissions are not confidential or proprietary information; (b) IMN has no obligation to keep the submissions confidential; (c) IMN can use or disclose the Submissions for any purpose, in any way, in any media worldwide; (d) if asked, you will irrevocably assign to IMN all rights to your Submissions; and (f) you are not entitled to any compensation of any kind from IMN under any circumstances.

*Content by Becoming a User of DirectConnect: As part of obtaining registration access to DirectConnect, unless you opt out, you may receive invitations to network from other conference attendees. We may also send you emails to keep you updated on developments in the site and services. Your registration for and/or subscription to such an email service and your use of the content received through these email services will be subject to these terms. You can unsubscribe to our email service by changing your email preferences on the website.

*License. If you comply with all your obligations under this Agreement, IMN grants you a limited, revocable, nonexclusive license and right to access the Services, through a generally available web browser, mobile device or application view information and use the web pages and in accordance with this Agreement for your use only. Any other use of DirectConnect is strictly prohibited. All rights not expressly granted in this Agreement, including, without limitation, title, ownership, intellectual property rights, and all other rights are retained by IMN.

*Anti-Hacking. You expressly agree not to use or attempt to use any "virus," "spyware," "malware," "adware," "Trojan horse" "deep-link," "scraper," "bot," "spider," "data-mining," "computer code" or any other automated device, program, tool, algorithm, process, or methodology or manual process having similar processes or functionality, to access, acquire, copy, or monitor any portion of this website or content. You also agree not to obtain or attempt to obtain through any means any materials or information on the website that have not been intentionally made available either by their public display on the Web Site or through their accessibility by a visible link or portal. You further agree not to violate the security of the website or attempt to gain unauthorized access to the website, data, materials, information, computer systems or networks connected to any server, through hacking, password mining or any other method.

*No Linkage. You expressly agree not to link or attempt to link to this website or the web pages contained herein.

*Third Party Information. Some of the information you access here is the property of third parties, made available here with the express permission of those third parties. IMN is not responsible for the content of any third party information provided on this website. You are cautioned that any further use of that information by you may be subject to the rights of those third parties and you may be required to obtain a license to use any such information. Failure to obtain third party permission may be a violation of federal law. You should contact the third party provider of the information to ascertain the requirements for using the information.

*Copyright and Trademarks. The layout of the website pages, graphics and pictures used and the collection of individual contributions are protected by copyright. All copyrights belong either to IMN, the third-party content providers or both. Either IMN or the third-party content providers own all trademarks and service marks depicted here.

*Indemnification. You agree to indemnify hold harmless and defend IMN, including our employees, officers, agents and contractors and our related entities and their employees, officers, partners, agents and contractors ("Indemnified") and continue to keep the Indemnified indemnified from and against any actions, proceedings, claims, demands, costs (on a full indemnity basis including, without limitation, reasonable legal and accounting fees) brought or made against the Indemnified by any person arising in connection with your use of the Website or content, or a breach of your representations and warranties in the Terms and Conditions of Use or this Agreement, or your violation of any of the Terms and Conditions of Use or this Agreement or any other activity in which you engage on or through, and from and against any damage, loss(whether personal or property, and whether direct or consequential, including without limitation consequential financial loss), cost or expense suffered or incurred by any Indemnified as a direct or indirect consequence thereof.

*Changes in Terms and Conditions. IMN may at any time revise the terms and conditions by which you may access the website or use IMN products or services. By using this website and IMN products and services, you agree to be bound by any such revisions and should therefore periodically visit this page to determine the then current version of this document.

*Limitation of Liability. Neither we, nor any of our suppliers, officers, employees, partners, affiliates, subsidiaries, successors and assigns, agents or representatives (our "Representatives") will be liable to you for:

(a) any incidental, punitive, indirect, special or consequential damage, loss or expenses, including but not limited to any loss of business, contracts, revenue, or profits, any business interruption, security breach, loss of data, loss of goodwill or reputation or other pecuniary loss suffered by you, even if we or any of our Representatives have been advised of their possible existence; nor? (b) any direct damage loss or expenses arising from loss of customers, loss of profits, loss of anticipated profits or loss of savings.

*Termination. You may terminate this Agreement, for any or no reason, at any time, when IMN receives notice from you. IMN may terminate the Agreement and your account for any reason or no reason, at any time, with or without notice. This cancellation shall be effective immediately or as may be specified in the notice and may include disabling your current and future access to DirectConnect. IMN may also suspend or terminate this Agreement if you invite other users with whom you do not know to connect; abuse the any DirectConnect messaging services; creating multiple or false profiles; infringe on any intellectual property rights, violating any provisions in this Agreement, disparage IMN or its executives, Board members, affiliates, staff or other related entities or persons, or exhibit any other behavior that IMN, in its sole discretion, deems contrary to the purpose of the website.

*No Waiver. Failure by either party to exercise any right or remedy under these Terms does not constitute a waiver of that right or remedy.

*Entire Agreement. These terms (including any terms incorporated by reference in these terms), constitute the entire agreement between you and us with respect to your access to and use of the website or receipt of any service and supersede all prior agreements, negotiations and discussions between you and us relating to the same.

*Law and Jurisdiction. Where you visit, register and/or subscribe to a this site or related service (as indicated on this website or otherwise notified to you), these terms (and any dispute or claim arising out of or in connection with these terms, including non-contractual disputes or claims), to the maximum extent permissible under the law of the territory that you are located in, will be governed by the laws of the State of New York. Any action to enforce these terms shall be brought in a federal court or a state court located in the state of New York, county of New York, and you agree to submit yourself to the personal jurisdiction of those courts in any such action.

*Force Majeure. We shall not be deemed to be in breach of these Terms by reason of any delay in performing, or any failure to perform any service or our obligations in relation to these Terms, if the delay or failure was due to any cause beyond our reasonable control, including but not limited to acts of God, explosions, floods, fire or accident, war or threat of war, terrorism or threat of terrorism, sabotage, civil disturbance, epidemics, prohibitions or measures of any kind on the part of any governmental, parliamentary or local authority, import or export regulations or embargoes, or industrial actions or trade disputes (whether involving our employees or of third parties).

*Severability. If any provision of these Terms is found to be wholly or partially invalid, void or unenforceable by any court having competent jurisdiction or by virtue of any legislation or any other reason, that provision shall be invalid, void or unenforceable to that extent only and no further and the validity and enforceability of the remaining provisions of these Terms shall not be affected.

*Notices. Any notice given pursuant to these Terms shall be made by email or first class post, in the case of you, to the address provided on your registration form and, in the case of us, to the address posted on the website or otherwise notified to you in relation to any relevant service. Any such notice shall be deemed to have arrived if sent by post within three (3) days of posting and if sent by email at the time of transmission.
Information Management Network - Privacy Notice

Introduction - Who we are

Euromoney Institutional Investor PLC (“Euromoney”, “we”, “us” or “our”) is an international business-information group covering asset management, price discovery, data and market intelligence, and banking and finance. The group also runs an extensive portfolio of events for the telecoms, financial and commodities markets.

For a full list of our brands and group companies, please click on this link. Euromoney and its group companies are committed to respecting the privacy of every person who visits, registers with or subscribes to our websites, publications, events and other products or services.

Euromoney is the primary data controller of personal data collected through this website or that we may collect in different ways as described in this Privacy Notice. If you are contacted by our other group companies, they will also be controllers of your personal data. This means that they are responsible for how your personal data is used, just as we are. You may contact any of these companies directly, or you can contact Euromoney by emailing dataprotectionofficer@euromoneyplc.com or writing to the Data Protection Officer at Euromoney Institutional Investor PLC, 8 Bouverie Street, London EC4Y 8AX, United Kingdom.

This Privacy Notice was updated on 23 May 2018

Our Approach to Your Privacy

This Privacy Notice outlines the information we may collect about you in relation to your use of our products and services (“personal data”). It also explains the legal rights that you have in relation to your data and how you may exercise these rights.

Some of our group companies may collect and use personal data for different purposes; those companies have their own websites and privacy notices.

We will process your data for the following lawful purposes: with your consent; to fulfil our obligations to you; and where there is a legitimate interest to do so.

When possible, we rely on your consent to use your data for the purposes described in this Privacy Notice. We also process personal data to fulfil our contractual obligations to you, for example, when you register for any of our services, subscribe to a publication, sign-up for an event or purchase a product from us, we will need to process some of your personal data. This will also include details of the person/people responsible for payment (if different).

We may determine that processing your personal data serves both of our legitimate interests. This is the case in relation to many of our research, customer survey, sales, marketing and advertising activities described in this Privacy Notice. These activities allow us to better understand your requirements, which in turn enables us to provide you with a better service. We review the bases for our processing decisions carefully and you can object to these activities at any time (see the “Your Rights” section of this Privacy Notice).

What Personal Data We Collect & Why

Our primary goal in collecting personal data from you is to give you a relevant customised experience of our products and services.

  • Registration, Free Trials & Subscriptions

    When you register with our website and/or sign up for a free trial of our products or services, we may ask you to provide your name, address, email address and telephone number, and details relevant to your occupation or employer.

    If you subscribe to one of our products or services, we will also ask for payment details. Credit/debit card payments are processed using a third party supplier and we do not retain the credit card data (see the Third Party Sites of this Privacy Notice). Address details may be shared with third party service providers engaged by us for order fulfilment, delivery and payment collection. This personal data is used by us to complete subscription requests.

  • Events & Conferences

    If you have registered for an event through a group website we may collect personal data including: name, job title, company, address, telephone number and email.

    This information is necessary so that we can complete your registration for the event and provide you with relevant event materials.

    We may also provide delegate details (e.g. name, email) to event sponsors who, subject to your consent, may contact you for their own advertising and marketing purposes.

  • Advertising & Marketing

    We use the personal data you provide us and which we collect from you to inform you about similar products and services which we provide. We may send you marketing communications that are sponsored by our partners and which are targeted to your interests based on information you have provided us such as job title, employer and/or industry. If you have consented to receive information from other Euromoney group companies, we may share your personal data with these companies so that they can fulfil your request to receive marketing materials in accordance with your preferences. We will not share your personal data with any third parties for their own marketing purposes unless you have provided your consent.

    Each of the Euromoney group companies that may contact you is a data controller in relation to the personal data that you have agreed to share with them. If you have any questions or concerns, you may contact the individual company, or us – using the contact details set out in the “Who We Are” section.

    You can opt out from receiving such materials at any time.

    The personal data we may use for advertising and marketing purposes includes your name, email address, job title, phone number, company name/employer, geo location, postal address and data collected using cookies and other similar technology (Please read our separate Cookies Policy to find out more about which cookies we use, how they work and how you can control your cookie options).

    Marketing materials are sent electronically, by post and we may occasionally call you.

  • Online Targeted Advertising

    We use targeted advertising on our websites to display advertisements that are relevant to what we believe are your interests. In order to deliver relevant advertisements, we use third parties to deliver cookies that collect information about your IP address and how you interact with our sites (e.g. browsing information, which articles you have read etc.). This data is used by the third parties to determine which advertisements may be of interest to you.

    We may also share your personal data with third parties to deliver targeted advertising to you on other websites (e.g. Twitter Tailored Audiences or Facebook Custom Audiences). This could include your email address, cookie data, and information obtained from third parties. Third party cookies may also be used to enable us to target advertisements to you on other websites that you visit.

  • Lead Generation and Scoring

    We occasionally use the services of trusted third parties in order to ensure that the personal data we use for advertising and marketing purposes is accurate and up-to-date. To do this, we transfer personal data of individual leads (such as name, email, job title, location and phone number) to these third parties who conduct research to verify the data – primarily against public information.

    We also use algorithmic software technology to help us improve the quality and relevance of marketing activities. The personal data analysed by the software includes email address, phone number, job title, address, purchase history and account information. This allows us to provide meaningful offers that are relevant to your specific profile.

  • Surveys, Market Research & Customer Feedback

    We want to understand the needs of our readers and customers. We may therefore use the information you provide us – including your name and contact details – to contact you to request your feedback, or to participate in our customer and market research.

  • Public forums, message boards and blogs

    Some of the pages on our group websites may include message boards, blogs or other facilities for generating content from users. Any information that is disclosed in these areas becomes public information and you should always be careful when deciding to post any personal data. User generated content is also subject to our site Terms & Conditions.

  • Business or Asset Sale

    If we sell a business or assets we may need to disclose your personal data to the prospective buyer of such business or assets.

    If Euromoney, or any of our group companies is sold or sells our assets or is acquired by a third party, then personal data about our customers will be acquired by that third party. A transfer of your personal data in these circumstances would be necessary so that the services you have contracted for can still be delivered, or so that you can continue to enjoy the benefits of our free products and services. You will receive notice if a new controller assumes responsibility for your personal data.

  • Additional Third Party Disclosures

    We may disclose your personal data to other third parties in the following situations:

    • To third party partners who help us by providing services such as technology, marketing, advisory or other services. These third parties only receive encrypted data and may only process personal data to provide those services to us.
    • Where we are required by law or regulation to do so. In each case we will seek, where practicable, to minimise the amount of data that is disclosed.
    • If required to protect the rights and interests of other users and/or Euromoney and its affiliates (including our employees, agents and contractors), or as otherwise set out in our Terms & Conditions. This may include exchanging information with other companies and organisations for the purposes of fraud protection.
  • Email Tracking

    We may include small pixel tags (small image files) within the emails we send you in order to determine whether our emails are opened and/or whether the hyperlinks inside our emails are clicked through. We may also collect browser, location and the device used to engage with our email communications. This information allows us to better understand whether we are meeting our users’ needs and how we can improve our communications. No other information is collected. You can opt out of receiving our direct marketing emails either by following the instructions in each email, or by contacting us (see the “Who We Are” section of this Privacy Notice).

International Transfers

Some of the Euromoney group companies are based outside the European Economic Area (EEA). If you have consented to being contacted by our group companies, then the transfer of your personal data will be made according to the terms of an international data sharing agreement that contains obligations approved by European data protection regulators. Any of our group companies that receive your personal data will be co-controllers of that data, which means they may determine how they process your personal data – although they may only use it for the purposes for which it was shared, unless you are informed of new or additional processing activities.

We may also transfer personal data to third party service providers as described in this Privacy Notice which are located outside the EEA. Where we conduct these transfers, we take all steps necessary to ensure that your data is treated securely and in accordance with applicable privacy legislation, either by only sending your personal data to jurisdictions that provide an adequate degree of legal protection for your data or by imposing approved contractual terms on these third parties.

Retention Periods

We have a data retention policy that ensures we don’t use or store your personal data for longer than necessary. We consider the following issues to determine retention periods:

  • Guidance from the UK Information Commissioner or other regulatory agency, or industry best practice recommendations;
  • The business rationale for collection and expiry of the purpose for which personal data was collected;
  • Our ongoing ability to ensure the accuracy of the data; and
  • Legal and regulatory requirements.

We may occasionally need to keep personal data for either shorter or longer periods than specified in our retention policy. In such circumstances, application of the retention period to the data will be temporarily suspended. The suspension of an applicable retention period will be carried out in a manner that respects the rights and interests of all persons concerned.

How You Can Set Your Data & Privacy Preferences

You can use our Preference Centre to select the topics that are of interest to you so that we can send you publications and information about our products and services that are especially relevant to you. You can also choose the channels we use to contact you (email, phone, post, etc.) and can also opt-out of receiving marketing communications.

Your Rights

You have certain rights in relation to your personal data which include the following:

  • Access & Portability

    You may request access to any personal data of yours for which Euromoney is responsible as controller. Unless there are legal or regulatory reasons for not doing so, we will confirm whether we process any of your personal data and if we do, we will provide you with the following information: the purposes of the processing, the categories of personal data, any recipients of your personal data, the applicable retention period and the data source. Copies of your personal data will be made available to you in a structured, machine-readable format.

    You may also request that we transfer the personal data that you have submitted to us, to another controller, where it is technically feasible for us to do so.

    If you have consented to our processing of your personal data, or if we are processing your personal data in order to fulfil our contractual obligations to you, then you can submit a request that we transfer your personal data to another data controller.

  • Rectification, Restriction, Objection

    You have the right to request that Euromoney rectify any errors in the personal data that we process. In some circumstances, you may also be able to ask for the erasure of personal data, and/or request that the processing of your personal data be restricted. You may also object to the processing of your personal data for sales or marketing purposes.

  • How to Exercise Your Rights

    To exercise any of these rights, please contact us by post or email at the following addresses:

    Euromoney Institutional Investor PLC
    8 Bouverie Street
    London, EC4Y 8AX
    United Kingdom

    Email: dataprotectionofficer@euromoneyplc.com

    Web form: Complete Subject Data Request Form

    We may need to check your identity prior to processing a request.

    Euromoney will do our best to respond to any questions and address any of your concerns. You are also able to register any complaints regarding the processing of your personal data directly with the UK Information Commissioner.

Protecting Your Data

Euromoney is committed to keeping your personal data secure and we will take appropriate technical and organisational measures to protect your personal data from loss, unauthorised use, disclosure or destruction. Although we do our best to protect your personal data, we cannot guarantee that any transmission of data is without risk. We have therefore implemented information security policies and rules, staff training on information security, and technical measures to ensure the integrity of data that we have under our control.

All our employees, contractors and data processors (i.e. those third parties that process personal data on our behalf) are required to keep such data confidential and not to use it for any purpose other than the performance of services we have requested.

Third Party Sites

Our site may contain links to other websites – including, for example, providers of payment processing services. Euromoney is not responsible for the privacy and data collection practices of third party sites and we therefore recommend that you review the privacy policies and terms of service of each site you visit.

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