Andrea Aguiar

COO, Executive Director - Bank Resource Management
Morgan Stanley

No biography specified

Nancy Allen

Global Product Owner
DataLend

Nancy Allen is the product owner of DataLend, the securities finance market data division of EquiLend. As product owner, she is responsible for determining and delivering the product roadmap, including enhancements and new features, and managing its team of business analysts and technical staff. Allen has more than 17 years of experience in the securities finance market across client types, geographies and roles. Previously she worked at Northern Trust, where she was senior vice president and head of international fixed income securities lending trading, and held various positions in securities finance at State Street and Deutsche Bank. She has a Bachelor of Science degree in Business/Manage ... (view full description)

Andrew Auslander

Former Head of Risk Management
Itaú Unibanco

Andrew Auslander has over 20 years of experience in the global financial markets.  He has spent half his career as an enterprise risk manager experienced in developing risk frameworks to support overall business strategy for asset management, private banking, and investment banking.  During this time, he managed market, traded credit, counterparty credit, liquidity, operational, vendor, and model risks. He has taught the benefits of risk culture in various countries.  He is effective at communicating risks and mitigators to senior management, internal audit, and regulators.   Andrew was most recently Head of Risk Management for Itaú Private Bank Miami and Itaú USA Asset Managemen ... (view full description)

Steve Baker

Director, Securities Finance
IHS Markit

Steve Baker, Director of Securities Finance at IHS Markit.  Steve has over 25 years' of experience within the financial industry and joined Markit in 2013 as product manager for their repo and collateral management solutions before becoming a senior member of their consulting team in 2015. Prior to Markit, Steve began his career on the primary dealer repo desk at Nomura Securities International before moving to the technology side of the business as product and business development manager for several securities finance technology firms including Imagine Software, Horizon Global Trading and Real Time Financial Management (Martini) which was acquired by SunGard Securities Finance. Steve gradu ... (view full description)

Viktoria Baklanova

Senior Financial Analyst
Office of Financial Research, U.S. Department of Treasury

Viktoria Baklanova, Senior Financial Analyst, joined the OFR's Current Analysis team in 2014 after nearly 15 years in the financial services industry. She has an extensive background in short-term funding markets and asset management. She has written OFR briefs and working papers and contributed to OFR annual reports. Baklanova also leads the interagency bilateral repo and securities lending data collection projects. She previously worked at Fitch Ratings, Moody's Investors Service, and Landor Capital Management LLC.  She coauthored a book, Money Market Funds in the EU and the US: Regulation and Practice, and has published in various law and financial journals. Baklanova has a do ... (view full description)

Michael Barrett

Head of Collateral Management Services and Solutions
GENPACT Capital Markets

No biography specified

Peter Bassler

Managing Director, Business Development
eSecLending

Peter Bassler is a Managing Director at eSecLending. In his current role, he is the Global Head of Business Development. Peter joined eSecLending in 2008 and has more than 22 years of industry experience. Prior to eSecLending, Peter was the Director of Institutional Marketing and Client Management at Dresdner Kleinwort Agency Securities Lending (now Deutsche Bank). Prior to this role, Peter was a Senior Vice President at Allianz Global Investors. Prior to Allianz, Peter was a Vice President of Origination and Investor Marketing within Global Markets at Deutsche Bank in New York. Peter began his career at Deutsche Bank as a commercial banker and credit analyst within the Financial Institution ... (view full description)

Shawn Bengtson

Vice President, Investment
WoodmenLife

C. Shawn Bengtson, Ph.D., CFA, CIOP is the Vice President, Investment for WoodmenLife. Shawn is committed to integrating enterprise risk management into investment decision-making. She has 25 years’ experience in insurance practice; she has also spent a number of years as a professor in finance and investments. Shawn holds a MS in Actuarial Science and a BS degree in mathematics and statistics.
 
Shawn actively volunteers in the community with a number of nonprofit organizations, and relishes the opportunity to continually learn.
 

Chris Benish

Asset & Risk Allocation Analyst
State of Wisconsin Investment Board

Christopher Benish, CFA
Analyst
State of Wisconsin Investment Board
Chris Benish is an analyst in the Asset and Risk Allocation group at the State of Wisconsin Investment Board (SWIB) where he is part of a team focusing on liquidity/collateral management, asset allocation, risk analysis and exposure management.

Ed Blount

Executive Director
Center for the Study of Financial Market Evolution

Ed Blount has testified as an expert in fiduciary services and securities finance before all three branches of the United States federal government. He serves as executive director of the Center for the Study of Financial Market Evolution (CSFME), in Washington, D.C., and senior research fellow at Fordham University's Center for International Policy Studies in New York. Ed is also president of Advanced Securities Consulting, LLC., a regulatory compliance and litigation support firm. In 1993, while CEO of ASTEC Consulting, a firm he later sold to SunGard Data Systems, Ed created the first securities lending benchmarks for an institutional research cooperative of 150 securities lenders, 30 len ... (view full description)

Robert Boraczek

Executive Director,Global Prime Finance
JP Morgan Securities LLC

Robert joined JP Morgan Prime Services in 2008 and currently manages the International Sec Lending and Swap team in NY .  He has over twenty years of experience where he spent time in New York and London.  Prior to JP Morgan he worked for Lehman Brothers and Goldman Sachs.  He graduated from Providence College in 1994.
 

William Bryce

Head of Mutual Fund Performance Oversight, U.S. Securities Lending Oversight
Deutsche Asset Management

No biography specified

Arianne Collette

Executive Director – Bank Resource Management
Morgan Stanley

Arianne Collette is an Executive Director and the Global SFT Project Manager of the Clearing and Collateral, Strategy and Optimization team within Bank Resource Management at Morgan Stanley.  In her project management and product development role she is responsible for the strategy, development and execution of Securities Finance Transaction ("SFT") centralized clearing initiatives globally.  Prior to joining the CCP team, Arianne was the North America Head of Trading and Execution for the Firm Secured Funding desk, trading both Fixed Income and Equity products.  Previous to this, she was a trader on the Securities Lending desk covering hedge fund clients.  Arianne has over 15 years experien ... (view full description)

Scott Cowan

Counterparty Risk Manager
T. Rowe Price

Scott Cowan is a vice president of T. Rowe Price Associates, Inc., and is counterparty risk manager in the Enterprise Risk Group. Scott is chairman of the Counterparty Risk Committee and the Securities Lending Oversight Committee. He is also a member of the Investments Derivatives, Global Trading, U.S. High Yield Trading, Complex Products, and Market Oversight committees. Scott joined the firm in 2007. Prior to his current role, he held positions of increasing responsibility within retail operations, investment operations, and investment risk management. Scott earned a dual B.S. in business administration and accounting from Towson University and a dual M.B.A. and M.Fin. from the ... (view full description)

Tim D'Arcy

SVP
FIS ASTEC Analytics

No biography specified

Sudha Datta

President & Founder
SL& C Consulting

Sudha Datta, previously with Abu Dhabi Investment Authority (ADIA), a sovereign wealth fund with a global, diversified portfolio of holding across sectors, geographies and asset classes. At ADIA, he worked as head of operations and was responsible for custody, securities lending and investment operations, for over 20 years. His role included the selection of custodians and the maintenance of custody relationships. He also played a major role in setting up securities lending program for ADIA. Sudha is the founder/principal consultant of SL & C Consulting Inc. and currently serving asset managers, pension funds, family investment offices and sovereign wealth funds (i.e. benefic ... (view full description)

Jerry Davis

CIO
American Pension Professionals/Piedmont Family Offices

Commander Jerry D. Davis is the Employee Representative on the Board of Trustees for the New Orleans Employees' Retirement System. He was first elected to this five-member board in 1986 and was re-elected for his eighth term effective July 1, 2008. He has served as Chairman of the Board since 1994, after serving as Chairman of the Investment Committee for seven years, during which time the Fund progressed from a fixed-income-only allocation to a balanced mix of asset classes. During his unprecedented tenure, the Fund has earned over $700 million from a base of $94 million, while providing generous pensions and minimizing the Employer's burden. In his CEO role, Jerry manages relati ... (view full description)

Geoffrey Davis

Partner
Squire Patton Boggs

Geoff Davis concentrates his practice in domestic and international business transactions, including all phases of structuring, drafting and negotiating private equity investments, mergers and acquisitions, leveraged buy-outs, securities offerings (and periodic reporting matters), joint ventures and secured and unsecured loan transactions for large and small private and public companies, financial institutions and primarily, sovereign wealth funds based in the Middle East. Geoff represents clients investing in a broad range of industry groups, including emerging technologies, biotech, telecommunications, energy, banking, foods, ship ... (view full description)

Chip Dempsey

SVP & Chief Commercial Officer
OCC

Chip Dempsey is Senior Vice President and Chief Commercial Officer at OCC. OCC is the world's largest equity derivatives clearing organization. In this role, Mr. Dempsey is responsible for OCC's strategy, planning and business and product development efforts. Prior to joining OCC, he served as Executive Director of Principal Strategic Investments for Morgan Stanley where he co-led investments in market structure and fintech companies, and formulated investment theses regarding such areas as distributed ledgers, artificial intelligence and emerging markets. Mr. Dempsey's previous clearinghouse experience includes the re-engineering of the Board of Trade Clearing Corporation after the de ... (view full description)

Dan Dougherty

Chief Operating Officer
EquiLend Clearing Services

Dan Dougherty is the COO of EquiLend Clearing Services. He has spent more than a decade at EquiLend in various roles including COO for North America; global head of Relationship Management; and global co-head of Sales & Marketing.

Prior to EquiLend, Dougherty worked for Morgan Stanley and Barclays Capital, as well as independent consulting engagements with other major banks and broker-dealers.

He graduated with a bachelor’s degree in Finance from Siena College and is Series 7, 24 and 63 licensed.

Chris Ekonomidis

Director, Business Consulting
Sapient Global Markets

No biography specified

Maria Fiorini Ramirez

CEO
Maria Fiorini Ramirez, Inc.

No biography specified

Robert Goobie

Senior Portfolio Manager Fixed Income & Derivatives
Healthcare of Ontario Pension Plan

No biography specified

Melissa Gow

Executive Director
IHS Markit

Melissa Gow, Executive Director of Securities Finance at IHS Markit.  Melissa has over 25 years’ experience in the financial services industry, with the last 14 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 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 from Georgetown University. 
 

Theresa Hajost

Special Counsel, Office of Trading Practices
U.S. Securities and Exchange Commission

Ms. Hajost is an attorney in the Office of Trading Practices, Division of Trading and Markets at the U.S. Securities and Exchange Commission.

Bob Hollinger

Partner
Barrington Partners

Robert B. Hollinger, Jr. brings more than 25 years of information technology and business leadership experience to his role at Barrington Partners.  His background includes strategic business and technology planning, organizational development, program management, systems development and integration, and investment management operations.  Prior to joining Barrington Partners, Mr. Hollinger served as VP & CTO of the Rydex Funds.  He has also served as: VP, MIS, Fidelity Investments Systems Company in Boston, MA; Chief Information Officer, BlueCross and BlueShield of Massachusetts; and Director, Management Systems for Procter & Gamble.   At Barrington ... (view full description)

Patricia Humbert

CIO
Office of the Arizona State Treasurer

Patricia (Patty) Humbert is the Chief Investment Officer for the State of Arizona Treasurer’s Office, with management and direction of the $15 billion portfolio, consisting of the $5 billion Permanent Endowment, $6 billion State Agency investments and the $4 billion Local Government Investment Pools (LGIP).

Patty began her career with the Treasurer’s Office in 1996 and served as the Assistant Deputy Treasurer and Senior Portfolio Manager. After a brief leave, Ms. Humbert returned in 2007, and was promoted to CIO in January of 2014.

Previous positions; VP at Metropolitan West Asset Management and VP at Bank of America.

Cherie Jeffries

Director of Fixed Income Trading
FL 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)

Roger Joseph

Partner
Morgan, Lewis & Bockius LLP

Roger Joseph’s practice encompasses both publicly offered and private investment funds, and includes representation of funds, sponsors and independent directors. He is known for advising clients on the evolving federal regulatory environment for funds and managers, including under the Dodd-Frank Act and the Volcker Rule as well as federal securities laws. Roger has participated in many innovative developments in the investment management industry, including heading up the legal team that developed the master/feeder legal structure and shepherding the first funds using that structure through the US registration process. He also led the investment management team in the legal structuring of th ... (view full description)

Sonelius Kendrick-Smith

Head of Corporate Treasury Solutions-Americas
Deutsche Asset Management

Sonelius Kendrick-Smith is Head of Corporate Treasury Solutions, Americas and a senior portfolio manager for Deutsche Asset Management. In these roles, he is responsible for the management of approximately $100B of Liquidity Management’s core strategies, as well as the alignment of business strategies for Corporate Treasury’s Global Client Group. Mr. Kendrick-Smith’s significant expertise in tax exempt/municipal, investment grade and short duration investment products serves clients well in determining the appropriate solutions for their operational cash and short-term investment needs.  He has managed a variety of strategies including tax exempt, government and ... (view full description)

Laura Klimpel

Executive Director, Clearing Agency Services
DTCC

Laura Klimpel is Executive Director of DTCC Clearing Agency Services. In this role Klimpel supports the development and implementation of overall strategy and priority of initiatives for DTCC’s Systemically Important Financial Market Utility (SIFMU) businesses. She works with cross-functional teams and industry partners to devise strategies for building new products and services for SIFMU businesses that mitigate risk, create market efficiencies and reduce costs.   Prior to her current role, Klimpel was General Counsel and Chief Compliance Officer at New York Portfolio Clearing, LLC (NYPC) for four years. During this time she led the effort to obtain registration as a derivatives ... (view full description)

Len Lipton

Managing Director
GlobeTax

Len Lipton manages the firm’s sales and marketing activities for the Americas. His responsibilities encompass promotion of the company’s services to custodians and asset managers, including spearheading the firm’s business development activities to the hedge fund community. Len also participates in the firm’s product development efforts so that GlobeTax can continue to provide the highest levels of service to its clients in the rapidly changing global tax landscape. Prior to joining GlobeTax in 2004, Len focused on new business and relationship management with Elkins/McSherry, LLC (a State Street Company) as a Managing Director, assisting institutional investors in monitoring por ... (view full description)

William Locke

Chief Risk Officer
eSecLending

William “Bill” Locke joined eSecLending in January 2014. Bill is responsible for identifying, quantifying and managing market and credit risk in eSecLending’s securities financing and cash management programs. Bill brings over 34 years of industry experience, which includes work on policy development, credit risk management, customized trade structures, interest rate risk management and collateral eligibility and valuation. Prior to joining eSecLending, Bill worked as a Financial Services Market Specialist for the Federal Reserve Bank of Boston, Vice President of Global Securities Lending at Brown Brothers Harriman (BBH) and Managing Director of Securities Finance at State Street Bank and Tr ... (view full description)

Irv Lowenberg

Treasurer
City of Southfield, MI

Irv Lowenberg has been the elected Treasurer for the City of Southfield, Michigan since 2005. Southfield has a daytime population nearing 175,000. It is Michigan’s suburban business center with 26 million square feet of office space and more than 9,000 businesses. The city has over 80 “Fortune 500” companies. Irv is a distinguished graduate of City University of N.Y./Baruch College of Business - Finance/Accounting program. Mr. Lowenberg made the National Deans List, was a Baruch Scholar, and a member of Beta Gamma Sigma business school honor society. He is very active in many government finance organizations such as: Finance and Legislative Advisory Committees of the Michigan Muni ... (view full description)

Stephen Malekian

Head of US Business Development
Elixium



Stephen has over 35 years of experience in the global financing markets, having run Global Fixed Income Finance and Prime Services at Citi also European and Asian Fixed Income Finance at Barclays.  Steve has been Chairman of SIFMA’s Executive Committee of their Funding Division,  member of the New York Federal Reserve Task Force on Triparty Reform, as well as a member of the European Repo Council and the LCH Risk Committee.
 
 

Gene Picone

Director, Global Prime Services
Scotia Capital (USA) Inc.

Gene is a Director in Scotiabank Prime Services Division.  In addition to overseeing Scotia’s agency securities lending offering Gene has responsibility for various aspects or sales, product and client management within the prime brokerage division. He recently has been tasked with the roll out of Scotia’s prime services products in the Latin America region.   Prior to joining Scotia Gene was a Managing Director at Wachovia Global Securities Lending, a division of Wachovia Bank. While at Wachovia Gene was responsible to Global Distribution, Client Management and Product Development. Gene was also a member of the firms Executive, Investment and Credit Committees.   Pri ... (view full description)

Bill Pridmore

President
William F. Pridmore, Ltd.

Bill has over 30 years of diversified experience as an independent consultant and senior manager in Institutional Trust and Commercial Banking. This includes extensive experience in all aspects of Global Securities Lending, Global Custody, Master Trust Securities Operations and Securities Finance. Bill currently works as an independent consultant out of an office in the northern suburbs of Chicago. He provides advice to large institutional investors on their participation in the securities lending and short-term investment markets. His consulting clients have include large public and private pension funds, multinational insurance companies and mutual fund complexes. For the potential lender ... (view full description)

Phil Prince

Managing Director, Head of Treasury
Pine River Capital Management

Prince is a Managing Director of Pine River Capital Management and Head of Treasury based in New York. He is the Chairman of Pine River’s Brokerage Committee and Counterparty Credit Committee. Prior to joining Pine River, Phil was at Goldman Sachs from 1983 to 2014, most recently as Managing Director and head of Central Funding within the Investment Management Division. In this role, he managed the team responsible for financing, cash management and liquidity risk management. Phil began his tenure at Goldman in 1983 as an Associate in Repurchase Finance and later held a variety of positions including head of U.S. dollar funding for GS Group, general collateral trader, GSE debt t ... (view full description)

Michael Saunders

Head of Securities Lending Investments & Trading
BNP Paribas

Michael Saunders is Head of Investments & Trading, Securities Lending North America at BNP Paribas. In this capacity, Mr. Saunders is responsible for managing client lending and cash collateral reinvestment portfolios with a focus on risk management. Mr. Saunders is also a member of the securities lending groups Investment Committee and Product Management Committee. Mr. Saunders has extensive knowledge of investment grade, short-duration investment products which assist in the construction of client portfolios consisting of 2a-7 like assets including corporate bonds, asset-backed commercial paper, securitized products and other liquid assets. His professional experience also ... (view full description)

Manmohan Singh

Senior Economist
International Monetary Fund (IMF)

Manmohan Singh is a Senior Economist with the International Monetary Fund in Washington DC. He writes extensively on topical issues including rehypothecation and securities lending of collateral, collateral velocity and reuse,  monetary policy and collateral,  shadow banking, deleveraging in financial markets, and under-collateralisation and counterparty risk in OTC derivatives market. He has written a new book “Collateral and Financial Plumbing” that looks at all the above themes from the lens of financial collateral. Manmohan has led work-shops for the IMF to official sector policy makers on strategic asset allocation and impact of regulations on financial markets. He has ... (view full description)

Mark Skowron

SVP, Head of US Trading
Northern Trust

Mark currently manages the U.S. Equity and Fixed Income trading desks in Global Securities Lending. Mark joined Securities Lending in 1996 as a trader on the U.S. Equity desk with responsibility for trading American depositary receipts and corporate actions and began managing the desk in 2000. He has been managing all U.S. trading activity since 2009.   Prior to joining the Securities Lending team, Mark spent five years in various operations roles, including manager of Mortgage Backed Securities Processing. In 1991, he joined the Cash Investment Management unit where he managed the investment of securities lending cash collateral as well as other short durati ... (view full description)

Tim Smollen

Global Head of Agency Securities Lending
Deutsche Bank

Tim Smollen is the Global Head of Deutsche Bank’s Agency Securities Lending (ASL) Program and is based in New York.   As Global Head of ASL, Tim currently oversees all aspects of the business and the 80+ strong lending team which is based in NY, London, Frankfurt, Hong Kong, Dubai and Sydney.  Tim has over 26 years of securities lending experience which includes running both custodial and 3rd party lending platforms in both global markets and securities services organizations.  Prior to Deutsche Bank, Tim was based in London where he was initially Global Co-Head of the Dresdner Bank Agency Securities Lending business which he and his team built from scratch and h ... (view full description)

Craig Starble

CEO
eSecLending

Craig Starble joined eSecLending in 2013 as Chief Executive Officer. Prior to joining eSecLending, Craig was the Founder and CEO of Premier Global Securities Lending, LLC (PGSL), where he was responsible for designing and launching a new securities lending operation. Before that, he served as Executive Vice President and Head of State Street Banks global securities lending division, responsible for directing a vertically organized global division of 450 individuals comprised of trading, client service, product development, sales, operations, technology, credit/risk and asset/liability management professionals. Craig was also a Co-Founder and CFO for Shoebuy.com, and Managing Director for ... (view full description)

Anthony Toscano

Managing Director, Head of US Trading
Deutsche Bank

Anthony Toscano is Head of Agency Securities Lending for Deutsche Bank in North America.  He has a background in Asset/Liability Trading and all aspects of risk management.    He is part of a core-team of individuals who founded Deutsche Non-Custodial Securities Lending program which has developed into one of the premier providers in the industry. Anthony has over 20 years of securities finance experience from both agent and principal perspectives as well as custodial and non-custodial perspectives. Prior to Deutsche, Anthony spent nine years at J.P. Morgan.  Anthony was the liability manager for J.P. Morgan’s securities lending product and was responsible for implementing risk management to ... (view full description)

James Vance

SVP and Treasurer
Western & Southern Financial Group

James Vance, Vice President and Treasurer, The Western & Southern Financial Group, was appointed Treasurer in 1999. As Treasurer, Jim oversees enterprise wide Corporate Finance, Cash Management, Mergers & Acquisitions, Risk Management, Mortgage Loan Servicing, and Payroll. Jim manages the Insurance Company as well as the Pension Fund Securities Lending Program and also review of the Touchstone Mutual Fund Securities Lending Program, owned by Western & Southern. Jim also has managerial oversight for enterprise wide Collateral Management. Prior to joining Western & Southern Jim Director of Corporate Finance had numerous Treasury responsibilities with Eastman Kodak, ... (view full description)

Lance Wargo

North American Head of Agency Securities Lending
BNP Paribas

No biography specified

Robert Wittie

Partner
K&L Gates LLP

Mr. Wittie concentrates in securities and financial transactions and the regulation of investment companies and financial institutions.  He represents investment company and other beneficial owners, as well as lending agents, in connection with their U.S. and international securities lending programs.  He also regularly assists financial services clients in connection with a range of matters, including secured credit, derivatives, equity finance, regulatory compliance and documentation issues.  Mr. Wittie has spoken frequently on securities lending and other topics. Mr. Wittie has written and lectured on a variety of legal topics and has served on the special drafting committees ... (view full description)

Jay Wolstenholme

Senior Analyst, Securities & Investments Group
Celent, a division of Oliver Wyman

Jay Wolstenholme is a senior analyst with Celent’s Securities and Investments practice and is based in the firm's New York office. His research focuses on Investment Services including portfolio management, portfolio accounting, collateral management and all front, middle and back office processes. His professional experience includes, equities, fixed income, commodities and derivatives trading and processing.   Jay has over 25 years of experience within Investment Services handling technology and business processes for equity, fixed income and treasury trading desks. He has managed, developed and overseen implementations of trading, pricing, analytics and risk systems including ... (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 Specific Contacts for The 23rd Annual Beneficial Owners' International Securities Finance & Collateral Management Conference

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*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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