CEO and Managing Director
Philippa Allen, CEO and Managing Director of ComplianceAsia, has over 20 years extensive experience of business and regulation in Japan, Korea, Taiwan, the PRC, Hong Kong, Singapore, South East Asia, the Indian Subcontinent and Australia. The launch of ComplianceAsia in 2003 was driven by her particular expertise and experience in developing compliance solutions for foreign and new entrant financial institutions in these markets as well as in managing regulatory issues arising from mergers and acquisitions. Seeing a niche in the industry, ComplianceAsia focuses solely on providing compliance advice, consulting and solutions for the financial industry.
As a respected leader in her chosen profession, Philippa was one of the drafters of the Fund manager Code of Conduct in Hong Kong and has been involved in a number of submissions to regulators and lobbying efforts with financial industry bodies.
Philippa's career includes a role at Dresdner Bank as Head of Compliance for Asia Pacific, to which she was responsible for all lines of business including commercial and retail banking, global equities, global debt, investment banking and asset management. After the merger of Dresdner Bank with Allianz AG, Philippa joined Allianz Dresdner Asset Management as Head of Legal and Compliance, Asia Pacific with an additional responsibility for handling regulatory relationships for the Allianz Group within the region.
At GT Asset Management, later LGT Assest Management, until its acquisition by Invesco, Philippa took on the role of Head of Legal and Compliance for Asia. During this time she was responsible for implementing a new compliance regime in the asset management division and advising the private banking division on regulatory issues in the region.
Philippa holds a Bachelor of Jurisprudence and Bachelor of Laws (LLB) from the University of Western Australia, graduating in 1987. Upon graduation she commenced practice as a barrister and solicitor for Freehills Hollingdale and Page, in Perth, Western Australia, primarily in the commercial litigation department but also spent time in the corporate division.
Co-Chair, Singapore Working Group of the FIX Trading Community
Head of Sales & Marketing, Blue Ocean
Anthony Bowyer is currently Head of Sales & Marketing for Blue Ocean (Brunei) Pte Ltd. Previously he spent 5 years at Instinet Singapore as Vice President Sales for South East Asia. Prior to that he was at Fimat SNC Australia in Electronic Trading for Listed Derivatives and Options. He has also worked for Reuters PLC and Thomson Financial in both London and Hong Kong focusing on trading and research solutions. Currently he is co-chair of the Singapore working group for FIX Trading Community.
He has a Bachelor of Commerce from the Australian National University.
CEO of Asia Pacific
Shaun Bramham is the Asia Pacific Regional Head of Instinet, a role he assumed in March 2013. He is responsible for all aspects of Instinet's brokerage operations in the region. Prior to his current position, he served as the Chief Operating Officer of Nomura's equities business in Asia ex-Japan. Shaun played a key role in the integration of Instinet and Nomura Equities.
Shaun is a seasoned professional with more than 17 years of industry experience. He joined Lehman Brothers in 1996 in the Fixed Income Operations Department in London, and subsequently held senior roles in Operations in New York, Tokyo and Hong Kong. He was named Global Head of Execution Services Equity Operations in 2009.
He holds a LLM from University College, London.
Advanced Execution Services
David Broadfield is responsible for Credit Suisse's DMA and Algorithmic trading in Australia. Prior to joining Credit Suisse he was a Director of Sales and Trading at ITG in Sydney and an Index Futures sales/trader at UBS in London.
V Wealth Capital
Catalin has 17 years of experience in fund management and trading in Tokyo and Singapore. He has worked with numerous high profile institutions such as Millennium Partners , Morgan Stanley, Barclays Global Investors.
At V wealth Capital, Catalin is in charge of managing the funds using proprietary and systematic models in intraday/high-frequency space and long-short market neutral. He leads the investment process, managing product development, risk and strategy from the firm. Catalin holds a PhD in Electrical Engineering from the Tokyo University and an MBA from INSEAD in France.
Executive Director and Asia Head of Electronic Trading
Gabriel Butler is an Executive Director and Asia Head of Electronic Trading at Morgan Stanley. Based in Hong Kong, Gabriel is responsible for developing and implementing optimal trading strategies and help clients achieve best execution across each of the markets in Asia.
Prior to joining Morgan Stanley, Gabriel was a Director of Asia Execution Sales at Bank of America Merrill Lynch (BofAML) from 2009 to 2012. Previous to that, he spent seven years at Investment Technology Group (ITG), a specialized brokerage and financial technology company in Hong Kong and the US as a Director of Execution.
Gabriel graduated from Harvard University with a Bachelor of Arts in Economics.
Distinguished Systems Engineer
Nick Ciarleglio is currently a Distinguished Systems Engineer at Arista Networks. Nick arrived at Arista Networks in 2008 as the company's first System Engineer. In his current role, Nick is responsible for network architecture consulting in the financial services vertical. Nick also provides field feedback and "real world" expertise to the Arista development teams. Prior to his arrival at Arista, Nick was a Senior Technical Consultant for Hewlett Packard.
Co-Chair of the Asia Pacific Education and Marketing Subcommittee, FIX Trading Community, and
Head of Asia, REDI Technologies
Michael serves as Head of Asia for REDI Technologies, an independent technology company offering unique trading solutions globally and a fully broker-neutral product offering. He serves as the co-chair of FIX Trading Community’s APAC Education and Marketing Subcommittee. Previously, Michael worked at Goldman Sachs for seven years in its New York, Tokyo, and Hong Kong offices, focusing on execution sales, product development, and marketing for its electronic trading division. Michael holds a BBA from The University of Texas at Austin's Red McCombs School of Business.
Managing Director, Head of Liquidity Solutions Asia Pacific
Michael Evangelista is the Head of Liquidity Solutions for NYSE Technologies, Asia Pacific. His responsibility set convers the full range of NYSE Technologies trading product solutions for the region.
Prior to joining NYSE Technologies as a Managing Director in 2013, Michael was a Vice President with Goldman Sachs working across various electronic trading roles in both their New York and Tokyo offices. Michael earned his BA from Rutgers College, New Jersey in 2000.
FIX Trading Community Director, and
Chief Executive Officer, Chi-X Australia
John Fildes is Chief Executive Officer of Chi-X Australia, joining the organisation in April 2013. He brings extensive experience in stockbroking, investing, market development, market infrastructure and market platforms in Australia and Asia.
Mr. Fildes previous roles include Director of Strategic Development for Getco Asia and Managing Director and COO, Asia, of Instinet Pacific, where he oversaw regional operations for Instinet in Asia, including Japan. Before joining Instinet in 2006, John Fildes served at Morgan Stanley for 10 years in Hong Kong, where he held positions as the Head of Equity Marketing and Head of Electronic and Program Trading for Asia-Pacific.
Mr. Fildes has been closely involved with the development of the FIX Protocol in Asia Pacific and has served as Director of FIX Trading Community, and is a former Board Member of the Stockbrokers Association of Australia. Mr. Fildes is a member of the Australian FMRC Market Quality Advisory Panel and until recently was a member of the SGX Derivatives Committee in Singapore.
MD, Head of Electronic Brokerage & Analytics
ITG Asia Pacific
Ofir Gefen is Managing Director and Head of ITG's Electronic Brokerage & Analytics Groups in Asia Pacific. In this role he oversees client consultation around strategic trading techniques & electronic trading as well as manages ITG's world-leading analytics & execution products including ITG TCA, Smart Trading Analytics, Posit MarketPlace and Posit Alert.
Mr. Gefen has worked at ITG for over 14 years and in this time has developed experience across the regions through roles in product development and execution services in Europe, the US and now Asia Pacific. Prior to joining ITG he worked at Intel for a number of years. He holds a BSc in Information Systems Engineering and an MBA from the UCLA Anderson School of Management.
Lionel Ghouila Houri
Head of Prime Clearing Services, Asia-Pacific
Lionel Ghouila Houri is heading the Prime Clearing Services division for Newedge in Asia-Pacific, based in Hong Kong. His primary role is to work with clients including proprietary trading firms in the region to provide high frequency trading platforms and trading solutions on futures and options.
Prior to his current role, Lionel was in charge of business development for Newedge (and Fimat, before the merger of the company and Caylon Financial to form Newedge in 2008) in Tokyo. As the Deputy Managing Director of Fimat in Toyko, Lionel spearheaded the development of the Professional Trading Group business in Japan and Asia-Pacific region.
Lionel has extensive industry experience. He has been working with high frequency trading firms since 2005, providing access to Asian derivatives markets, and is well connected with the exchanges in the region.
Lionel began his career with Société Générale in Paris. He worked for 9 years in IT Management and Risk Management before joining Fimat in Tokyo in 2005.
Lionel holds a Master's degree in Mathematics and Finance from Université Panthéon Sorbonne in France.
Head of Global Trading Technology, Asia Pacific
Stuart is currently the Asia Pacific Head of Global Trading Technology for RBS, with responsibilities covering the full spectrum of financial markets related infrastructure technologies, comprising electronic trading, market data, eCommerce, grid computing and execution/market connectivity services. The division's product coverage is cross asset-class and extends from front through to back office operations, from client research through to settlement and confirmation. Stuart has previously worked at JP Morgan in various capacities and prior to that spent many years travelling the world with PwC and Accenture advising Financial Services firms on internet-based wealth management and dealing propositions.
Managing Director, Asia Pacific
Chris joined Tora in 2006 as Managing Director for the Asia Pacific region. Chris has been in the industry for over 16 years, 10 of these in Asia.
Tora is a provider of asset management technology including EMS, OMS and downstream systems, algorithmic strategies and off market liquidity. Prior to joining Tora, Chris worked in Hong Kong at SWIFT, where he managed the Asian FIX sales team. Before SWIFT, Chris worked for Macgregor, a U.S. based order management system (OMS) provider. Chris also worked for AXA Investment Managers and HSBC Stockbroking in London.
Chris has previously served as co-chair of the Asia-Pacific Committee for FIX Trading Community, and had been instrumental in expanding the use of electronic trading throughout Asia.
Director - Head of APAC Electronic Trading Sales
Bank of America Merrill Lynch
Josephine Kim is responsible for Bank of America Merrill Lynch's Global Execution Services (GES) Sales in Asia. GES provides Direct Market Access, multi asset algorithmic strategies, analytics and execution consulting services throughout the world. Josephine actively participates in industry consultations through various expert opinion editorials and events across Asia. She is also a co-chair of FIX Trading Community Singapore working group.
Paul Kwan is the CIO of Millennium Partners in Asia. He has extensive, international, and well-rounded experience from the buy-side, sell-side, and stock exchange. In his current role, Paul, a 10-year veteran at Millennium, is responsible for driving technology initiatives and collaboration, and overseeing the firm's trading systems build-out with external organizations. Paul is responsible for all IT functions including trading, infrastructure, onboarding, and new business initiatives to support trading activities across the region. He moved to Millennium’s Hong Kong office for this role in 2009 after working in the New York head office for 6 years.
Prior to joining Millennium, Paul was an Executive Director at Goldman Sachs (Asia) LLC in the Enterprise Technology Department in Hong Kong from 2000-2002. He held dual roles as the Asian Ex-Japan Relationship Manager for the FICC, Equities, and Investment Management Divisions and as the IT Manager for regional offices including Singapore, Sydney, Seoul, and Taipei. From 1996-2000, Paul was the Head of Infrastructure at Deutsche Bank Canada, managing all the infrastructure functions for the bank across Canada.
Paul started his career in the financial industry 23 years ago at the Toronto Stock Exchange. He held positions in various areas including UNIX, Networking, and Systems Architecture during the 7 years at the TSX.
Paul holds a M.A.Sc. in Computer Engineering from the University of Toronto.
Julien Le Noble
Managing Director, Asia Pacific
Julien Le Noble serves as Managing Director, Asia Pacific, of CME Group. Based in Singapore, he is responsible for leading CME Group's initiatives to expand its presence in the region, including its partnerships with regional exchanges, delivering a growth strategy and developing benchmark products and services to meet the needs of current and prospective clients.
Before joining CME Group in August 2011, Le Noble served as CEO and Representative Director, Japan and Head of Equities, Asia Pacific for Newedge, where he led the firm's Japanese business development and sales efforts for its Tokyo-based subsidiary. Following the 2008 merger of Fimat and Calyon, which formed Newedge, Le Noble led the firm's merger integration effort in Japan. Prior to the formation of Newedge, Le Noble served in executive roles for Fimat, first as Managing Director, Singapore from 2002 to 2006 and as Managing Director, Japan and Head of Commodities, Asia Pacific from 2006 to 2008. Le Noble began his career in Chicago with Fimat Group in 1995, where he held leadership roles until 2000, as well as in London with Boursorama (now Selftrade), a European retail online bank broker that is part of Societe Generale, from 2000 to 2002.
Le Noble earned a master's degree in economics at Universite de Nice and a post-graduate business degree from the Ecole Supérieure de Commerce de Toulouse. He is a Certified Public Accountant and has served as a board member, member of the executive committee and chair of the financial instrument committee of FIA Japan, as well as a member of the FIA Asia Risk Management Committee and Advisory Committee. He also has been a member of the International Banking Association in Japan.
Mr. Lim has been with Eastspring Investments trading Asia Pac Equities for the past 8 years. Part of Prudential Corp Asia, Eastspring Investments is Prudential's asset management business in Asia with about US$95bil under management as at December 2012.
On the desk, he is part of a team of 8 covering most asset classes ranging from fixed income to equities, including derivatives and F&O. Main markets under his cover include Japan, Korea, Taiwan and Singapore. Started career on the sell side with more than 10 years experience trading South East Asian markets before switching lanes.
Regional Director, Asia Pacific, FIX Trading Community, and
Mr. Edward Mangles is the founder and Publisher of GlobalTrading, the official publication of the FIX Trading Community. He has a long history within the financial technology sector and has worked closely with FIX Trading Community for a number of years. He has supported the organisation’s Asia Pacific committee for the past 10 years, playing a key role in promoting FIX adoption across the region. He has also worked for leading financial publishing and marketing firms in both London and Hong Kong. In March 09 Mr. Edward Mangles was appointed FIX Trading Community Asia Pacific Regional Director.
Executive Director, Equities, Direct Execution
UBS Investment Bank
Abhishek Mohla is Executive Director at UBS in the Equities Client Trading and Execution team, based in Singapore since Jan 2011. In this role, Abhishek acts as Account Manager for South East Asia and India clients' global Electronic Trading needs. This entails ongoing education on Market Microstructure changes, DMA/Algo product enhancements and Execution Consultancy through Transaction Cost Analysis.
Prior to Singapore, Abhishek was based in Hong Kong holding the role of Asia-Pacific Head of Client Facing Technologies for UBS Equities IT. Abhishek joined UBS as a Graduate in London as an IT Developer in the firm’s web-based trading platform before moving to Hong Kong in Oct 2007.
Abhishek holds a Masters of Engineering degree from the University of York, UK.
Co-Chair of the FIX Trading Community Asia Pacific Exchanges and Regulatory Subcommittee, and
Head of Asia Pacific Commission Management and Market Structure, Deutsche Bank
Jessica Morrison is the Head of Asia Pacific Commission Management and Market Structure for Deutsche Bank.
Commission Management offers Commission Sharing Agreements to fund managers from a range of jurisdictions allowing clients to pay for appropriate research and execution services on an unbundled basis from execution. Market Structure focuses on the effect that changes in regulation and technology have on trading behaviours in Equity products.
Jessica actively participates in industry consultations, lobbying and speaks at Deutsche Bank client education events on topics such as the recent SFC electronic trading requirements. She is the Co-Chair of the FIX Trading Community's Exchanges and Regulatory Subcommittee and represents DB at the ASIFMA Equity Trading Committee.
Having moved to Hong Kong in January 2011, Jessica has worked for Deutsche since early 2009, initially in Compliance. She previously worked for Morgan Stanley and holds an MA in Law from the University of Cambridge.
Head of Asia
Farid Moslehi is KCG's Head of Asia. He has wide experience in risk management and trading.
Farid was Head of Asia for GETCO from 2012 until the company's merger with Knight Capital Group to form KCG in July 2013. He joined GETCO in 2005 and has served in a variety of capacities, including Chief Risk Officer, trader and team leader in both data services and risk management.
Before GETCO, Farid was an independent trader for 6 years. Prior to that, he was a fixed income derivatives trader with Bank One and First Chicago. Earlier in his career he held positions in technology, quantitative research and risk management at Lehman Brothers, CIBC and First Chicago.
Farid has a B.S. and M.S. in Aerospace Engineering and a Ph.D. in Mechanical Engineering.
Head of Client Development, Asia, Broker-dealers and Investment Banks
Barnaby Nelson joined BNP Paribas in 2008 and is responsible for the strategic development of the broker-dealer and investment bank client franchise in Asia. Based in Hong Kong, his role encompasses business development, relationship management and service management. He is a member of the BNP Paribas Securities Services regional executive committee.
Having grown up in Hong Kong, Barnaby has worked in the Asian financial services sector for over ten years, servicing major banks across both custody and technology. He has had an extensive and varied career with Reuters since 2001, lastly at Reuters Pricing and Data where he was a business owner. There he launched and led Reuters' Asian reference data business. Previous to this role, his experience has ranged from sales in the Benelux region to establishing a new, central business unit to manage strategic alliances and partnerships for Reuters DataScope, Europe. He has wide-ranging knowledge across both asset management and asset servicing.
FIX Trading Community's Americas Regional Committee
Partner, The LaSalle Technology Group, LLC
Jim Northey has over twenty five years experience as a manager, consultant, and implementer in the financial markets. He is currently a partner in The LaSalle Technology Group, LLC, a Houghton, Michigan and Chicago, Illinois based engineering and products company focused on providing connectivity solutions for the financial markets. Lasalletech offers products and solutions for specification management, testing, onboarding, operations, and monitoring. Lasalletech also provides a variety of consulting for global exchanges and investment banks.
Jim has been a very active leader and innovator in creating and promoting financial messaging standards by regularly contributing to the FIX and ISO 20022 standardisation efforts. He is currently serving his third term as the co-chair of the FIX America's Regional Committee. He served as co-chair of the FIX Global Derivatives Committee from 2003 to 2005. Jim served as the Industry Standards Liaison for FIX Trading Community representing FIX Trading Community on the ISO 20022 Registration Management Group and Technical Support Group. Jim also represents FIX Trading Community within ASC X.9 as the co-chair of the X9D Subcommittee for securities processing, which is responsible for US standards. Jim has represented FIX Trading Community and has also served as a US delegate within SC4 since 2008. Jim was the convener of the TC68/SC4/WG1 ISIN standard systematic review.
As part of regulatory response following the 2008 credit crisis, Jim served on the CFTC Technical Advisory Committee - Subcommittee on High Frequency Trading. He was selected to serve on the U.S. Department of the Treasury Financial Research Advisory Committee. He also represents the FIX Trading Community in the Financial Stability Board of the G20 Private Sector Preparatory Group for the Global Legal Entity Identifier.
In 2006, Jim was awarded the Annual Achievement Award from the Futures Industry Association for creation the FIXML standard for listed derivatives clearing.
Jim holds a B.S. in Mathematics from the University of Indianapolis and an M.S. in Financial Markets and Trading from the Illinois Institute of Technology with an emphasis in Computational Finance. He serves periodically as an adjunct lecturer at Michigan Technological University School of Business and Economics currently teaching Special Topics in Finance.
Head of Asia Pacific
Based in Liquidnet's Hong Kong office, Lee joined Liquidnet in July 2007 and now heads up Liquidnet’s Asia Pacific offices. Lee has over 20 years of industry experience and has been based in Asia for the last 13 years.
Prior to Liquidnet, Lee was a Director at Credit Suisse, heading up Regional Cash Equity Operations. He worked at Credit Suisse for ten years, where he held a variety of roles in Hong Kong, Singapore, London and New York, covering Relationship Management, Middle Office, Capital Markets, Settlements, Cash management and Control functions across all asset classes. Lee has also worked for Citibank, Mitsubishi Corporation Finance, and HSBC.
Asia Editor, Financial News
Michelle was appointed Asia editor of Financial News in August 2013, having served as Trading and Technology editor since October 2010. Prior to joining Financial News, Michelle was Business Editor at the FT's The Banker magazine, where she took responsibility for technology, trading, retail banking, and all Asia-Pacific coverage. Before her stint on The Banker magazine, Michelle worked on two business and technology publications. Michelle is an award-winning journalist with a BA (Hons) in history from the University of Cambridge.
Senior Vice President, Head of Trading & Derivatives Clearing Solution Technology
David Pryde is Head of Trading and Derivatives Solution Technology for the Singapore Exchange, joining the Exchange in June 2011. He is responsible for the applications supporting Equities and Derivatives Trading, Listed and OTC Derivatives Clearing, Clearing Risk and Market Data. Previously, he spent 18 years in Technology at Macquarie Group in Australia, Hong Kong and South Africa working with Equities, Derivatives, Commodities and Treasury businesses.
Managing Director Solutions SEA
Mark represents the Solutions Group for Markit in SEA with specific responsibility for Analytics, a position he has held for the last 3 years.
Mark has over 25 years of experience obtained through a variety of senior Treasury, Trading and Risk Management roles at a number of Australian and Foreign Financial institutions including Westpac, Commonwealth Bank and the Industrial Bank of Japan. His background includes Financial Markets, Traded and Non Traded Risk Management (oversight, policy and methodology), Treasury and ALM Balance Sheet Management, Business Performance Measurement and Strategic Project Sponsorship of a number of risk system implementations including QuIC when he was at Westpac.
Before Markit, Mark established his own risk consultancy business providing advice to companies and financial institutions on risk management policy and risk frameworks in Australia and Asia. This included several risk consulting assignments at Fund Management and Energy Companies in Australia.
Regional Head Asia
The Depository Trust & Clearing Corporation
Peter Tierney, is originally from Ireland and has worked in senior financial technology roles in the UK, US and Asia. Peter draws on deep subject matter expertise in both the pre‐ and post-trade environments, telcomms, trading architecture and data management and has a demonstrated specialty in developing platform services that bring together communities within the financial space.
He joined Thomson Financial ESG (now Omgeo) in 1991 as part of the founding team and worked in London, Singapore and the company's headquarters in Boston. Peter was part of the executive team that defined and executed the merger with the Depository Trust and Clearing Corporation (DTCC) creating Omgeo.
Peter then joined the financial extranet provider Radianz (now BT Radianz) where he led global strategic business development. Among other things, Peter and his team was instrumental in developing their low‐latency proximity hosting offering in NY, London and Tokyo.
As regional COO for NYSE Technologies Peter led the successful development of that organization's business in Asia. Under his leadership, the business established a strong enterprise software and services revenue flow in the areas of order routing, market data and exchange technology. Peter was instrumental in the acquisition of Japan-based Metabit in 2011 and the definition of NYSE Technologies' global Liquidity Hub strategy.
In March 2013, Peter joined DTCC to lead the global trade repository (GTR) initiative in Asia.
Chief Risk Officer
Vulpes Investment Management
Scott is Chief Risk Officer of Vulpes Investment Management, an alternative investments management firm based in Singapore. Prior to that he worked for Deutsche Bank in Singapore where he headed a quantitative team covering modelling and valuation risk for the Bank's Asian trading businesses. He has also worked in venture capital and private equity investing which included five years with Macquarie Bank in Sydney.
Scott has a BEng from the University of Melbourne, an MBA from the Melbourne Business School, a Master of Quantitative Finance from the University of Technology, Sydney and he is completing a PhD in Finance with EDHEC.
Head of Electronic Execution, Pan Asia
Ben Valentine is a Director, Head of Electronic Execution Sales for Asia Pacific, based in Hong Kong. Prior to Hong Kong, Ben was based in Sydney where he ran the Citi Electronic Execution Sales desk for 7 years. Over the years, Ben has played an active role in market reform, working closely with both the buyside, sellside and local exchanges/regulators.
T K Yap
OCBC Securities, Singapore
Mr. TK Yap, CFA, is Executive Director at OCBC Securities overseeing the Institutional Business Group, which includes the institutional execution and electronic execution teams handling Asean direct execution and ETF block execution.
His experience in the investment and securities business over the last 27 years spanned local and foreign firms, buy and sell sides, distribution and origination. His stockbroking background involved stints as head of research and head of sales of a regional brokerage in the early 90s. He joined OCBC Securities in 1998 to start its broker dealer sales trading and electronic execution business, serving the cash, derivatives, portfolio trading, proprietary and market making desks of the global and regional broker dealers, electronic trading networks, and other market participants who require an execution service with local sales trading color, such as the trading desks of private banks and buy sides. He is currently expanding the firm’s reach into automated trading firms, market makers, delta one and synthetic/swap desks.
TK serves on the Securities Advisory Committee of the Singapore Exchange and other committees on the Institute of Banking and Finance, the Securities Investors Association of Singapore and has also served on Monetary Authority of Singapore committees and task forces.