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The annual Financial Regulatory Symposium is a CFA Institute event dedicated to discussing major policy and regulatory developments that affect the global finance and investment industry.


Topics: Financial Regulation

Hosted by CFA Institute

Overview

Our aim is to analyze issues which emerged or strengthened during the previous year through the lens of business conduct and professionalism, which together constitute the stalwart of CFA Institute’s mission. The upcoming event, scheduled for October 2022 will be the third edition of the symposium.

1.5 PL

CFA Institute members/charterholders who log in to register will automatically receive PL/SER credits in their online trackers post-event.

About the Speaker(s)

Martin Moloney
Martin Moloney

Martin Moloney joined the International Organization of Securities Commissions (IOSCO) in September 2021 as secretary-general.
Prior to joining IOSCO, Martin was director-general of the Jersey Financial Services Commission (JFSC), and before that he worked as a special adviser on Risk and Regulation to the Central Bank of Ireland (CBI), where he served for 16 years, previously heading up the Markets Policy, Markets Supervision, and Legal and Finance Divisions respectively. Prior to joining the CBI, Martin worked for brief periods in the Department of Justice and the Irish Competition Authority, and spent ten years working in the Irish Department of Finance in positions of responsibility in relation to both national and semi-State debt management and the sale of State banks. Martin spent his early career working in Industry at Barclays Bank and the Bank of Ireland in London.
Martin has an LLM in Business Law and a Master's qualification in Economic Policy, both from Trinity College Dublin. He has Postgraduate Diplomas in Arbitration, Regulatory Management and has completed professional examinations of the Chartered Institutes of Bankers and the Chartered Institute of Arbitrators.

Paul Andrews
Paul P. Andrews

Paul Andrews oversees the strategic direction and leadership of the Research, Advocacy, and Standards function at CFA Institute, where he seeks to position the organization as an innovator and thought leader in investment management. Previously, he served as secretary general of the International Organization of Securities Commissions (IOSCO). Mr. Andrews also served as vice president and managing director, international affairs, at the Financial Industry Regulatory Authority (FINRA), where he directed the organization’s international engagements and worked closely with key regulators and regulatory bodies worldwide, including IOSCO. In addition, he worked at the US Securities and Exchange Commission, where he worked in the Division of Market Regulation and the Office of the General Counsel. Mr. Andrews has also worked in private legal practice. He is a graduate of the Catholic University School of Law and Villanova University.

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Pedro Barroso

PhD and Master in Corporate Law at Universidade de São Paulo (USP). Post-Graduate in Business Law, with concentration on Corporate Law and Capital Market at FGV Law School. Extension Programs at Harvard Law School. Bachelor of Laws – Pontifícia Universidade Católica do Rio de Janeiro (PUC-RJ).

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Sean Hughes

Sean Hughes commenced as an ASIC Commissioner on 1 December 2018, for a five-year term. He is the Co-Chair of IOSCO’s Retail Market Conduct Taskforce, also co-chairs an enhanced supervisory cooperation working group within IOSCO’s Asia Pacific Regional Committee.Sean was previously the inaugural Chief Executive of New Zealand’s securities and financial services regulator, the Financial Markets Authority. Sean has also held senior executive roles in the banking, wealth management and superannuation (pensions) sectors, as well as sports and media businesses. Sean has a Bachelor of Arts and a Bachelor of Law (Hons) from the University of Canterbury in New Zealand, and a Master of Law from Cambridge University in the UK. He holds a Graduate Diploma from the Australian Institute of Company Directors.

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Emily Shepperd

As Chief Operating Officer, Emily is responsible for the FCA’s operations and business performance, systems and infrastructure, communications function and finances.

As Executive Director, Emily oversees Authorisations for firms and individuals applying to carry out regulated financial services activity as well as the Supervision Hub which acts as first point of call into the FCA for consumers and firms.

Before joining the FCA, Emily was Director of Customer Services and Change at Aegon UK. Prior to this, Emily was EMEA Chief Operating Officer for Bank of New York Mellon where she led operations, technology and change across all businesses and support areas, ranging from global markets to asset servicing.

Outside, she has been involved in many industry initiatives including chairing the Association for Financial Markets in Europe technology and operations group.

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Mark Uyeda

Mark T. Uyeda was sworn into office on June 30, 2022. He was nominated by President Joseph Biden earlier this year and confirmed by the U.S. Senate on June 16.

Commissioner Uyeda has served on the staff of the SEC since 2006, including as Senior Advisor to Chairman Jay Clayton, Senior Advisor to Acting Chairman Michael S. Piwowar, Counsel to Commissioner Paul S. Atkins, and various staff positions in the Division of Investment Management. He most recently served on detail from the SEC to the Senate Committee on Banking, Housing, and Urban Affairs as a securities counsel to the committee's minority staff.

Prior to joining the SEC, Commissioner Uyeda served as Chief Advisor to the California Corporations Commissioner, the state’s securities regulator. He also worked as an attorney at the law firms of K&L Gates (formerly known as Kirkpatrick & Lockhart LLP) in Washington, D.C., and O’Melveny & Myers LLP in Los Angeles.

Commissioner Uyeda earned his bachelor's degree in business administration at Georgetown University and his law degree with honors at the Duke University School of Law.

He is the first Asian Pacific American to serve as a Commissioner at the SEC.

Josina Kamerling
Josina Kamerling

Josina Kamerling is head, regulatory outreach, for CFA Institute for the Europe, Middle East, and Africa (EMEA) region and is based in the Brussels office. She is responsible for supporting CFA Institute's EMEA policy development, advancing the impact of advocacy efforts, and promoting capital market integrity and investor protection issues.