Michael J Aitken
Capital Markets Cooperative Research Centre
Michael Aitken is widely regarded as the most industry-centric academic associated with Australian capital markets. As the founder and former CEO of the Securities Industry Research Centre of Asia-Pacific (www.sirca.org.au), he has used his industry affiliations to build and share infrastructure which now underwrites the research activities of 50+ universities across the Asia-Pacific region.
Working through SMARTS Group (www.smartsgroup.com) which he founded, he designed the world's first "off-the-shelf" surveillance software now in use at 40 national exchanges and regulators (including the NYSE-Euronext, Nasdaq-OMX, the FSA (UK), SFC Hong Kong, HK Exchanges, the Swiss Exchange, the Australian Securities Exchange and the Australian Securities and Investments Commission) as well as 200+ brokers across 50 countries.
Currently he leads the research initiatives of the Capital Markets Cooperative Research Centre (www.cmcrc.com) one of 40 national research centres of Australia which he founded in 2001. The CMCRC which works at the intersection of academia and industry developed and provides fully outsourced surveillance services to the securities industry as well as to the health insurance and general insurance sectors. The centre also developed the Market Quality Framework which enables securities markets to be compared on the basis of efficiency and integrity.
In 1999, he was awarded the Business and Higher Education Roundtable Award for Outstanding Achievement in Collaboration in Education and Training, in recognition of his contributions to business and academia. In 2010, he was named E&Y ICT Entrepreneur of the Year. In the same year he was also recognised as NSW and Prime Minister’s Exporter of the Year for his work with SMARTS Group. More recently, in recognition of his significant service to the education, business and finance sectors of Australia, he was awarded a member of the Order of Australia in the Queen’s Birthday Honours List in June 2014.
Senior Manager, Trade Execution & Sales
Australian Securities Exchange
Richard Atkins is Senior Manager, Trade Execution and Sales at the Australian Securities Exchange (ASX). Richard is responsible for ASX's cash market including trading product and trading platform development and sales. Richard joined ASX in 2012 after a number of years running a consultancy business in London assisting major investment banks and industry associations in dealing with and providing thought leadership on developing market structure.
Richard previously spent 14 years with London Stock Exchange Group and was latterly responsibility for the management and development of the Group's cash market trading products and trading platform. During his time with LSE, Richard also held senior strategic, regulatory and operational roles.
Head of Australia Electronic Trading
Jeremy Balding is responsible for Morgan Stanley’s Electronic Trading (MSET) business in Australia & New Zealand. Jeremy has been with Morgan Stanley for over 10 years and has almost 20 years in financial markets covering Trading, Program Trading and most recently Electronic Trading. His role responsibilities are sales, coverage and Product development.
Market Structure Partners
Niki has over 20 years’ experience working in financial markets. She spent much of her career working at Merrill Lynch International during a period that spanned a multitude of changes in capital market structure, technology and regulation. She ultimately became Managing Director and Head of Market Structure for the EMEA region and was responsible for Merrill Lynch’s relationships and developments with trading platforms and clearing houses, all related cost management and advising the firm and their clients on the changes in equity and derivatives market structure. With international experience across US, European and developing markets, she has built a strong buy and sell side following for her knowledge and opinions on the subject of exchanges, clearing, electronic trading, regulation and technology.
In 2008 she founded Market Structure Partners in 2008, providing strategic advice on financial market structure to clients that include some of the world’s leading trading and clearing infrastructures, global and regional buy and sell side participants, proprietary trading firms, private equity firms and government entities. In addition to her consulting work, she is a Non Executive Director of Cheuvreux International Ltd and of The Moscow Exchange where she is also Chairman of the Strategy Committee and a member of the Audit Committee. She is also Non Executive Chairman of Aquis, an alternative European trading platform. She is a member of the Regulatory Decisions Committee of the UK Financial Services Authority and the Secondary Markets Advisory Committee of the European Securities Markets Authority.
Director of Policy & Global Markets
Financial Services Council (FSC)
Andrew is the Director of Policy & Global Markets at the Financial Services Council (FSC), which represents Australia's retail and wholesale funds management businesses, superannuation funds, life insurers, financial advisory networks, trustee companies and public trustees. The FSC has over 125 members who are responsible for investing more than $2.2 trillion on behalf of 11 million Australians.
Andrew leads the Council’s public policy agenda and engagement across the Commonwealth Government.
Before joining the Financial Services Council in 2009, Andrew worked at Ernst & Young in Advisory and Government Practice; he also worked as a financial services, superannuation and corporate governance policy adviser in the Commonwealth Government.
Andrew currently serves on the
- ASX Corporate Governance Council (Director)
- ASIC’s Market Supervision Taskforce (Adviser)
- Asia Pacific Regional Committee of the Global Investment Performance Standards (Chairman)
He holds a Bachelor of Arts and Master of Business (Accounting) from the Australian National University (ANU) and a Master of Financial Regulation from Macquarie University.
Eugene Budovsky runs the Autobahn Equities electronic execution platform in Australia and New Zealand, and has responsibilities that cover sales, trading, connectivity, and product development. He has been with Deutsche Bank since 2009, prior to which he held a trading role with Citi in Sydney.
Eugene has 8 years front office experience in the Australian equities market with roles covering electronic execution, portfolio trading, facilitation, and ETF market making.
William Chris Cotterell
Head of Surveillance, Global Markets Compliance
William's role at ANZ is to develop and lead its market and electronic communications surveillance team covering global markets. In his previous role at ASIC he was business lead for the FAST surveillance programme. Over the past six years William has gained extensive technical expertise in the areas of market surveillance technology and big data analysis.
William has over 10 years of markets trading experience, having worked as a proprietary trader principally in equities and equity derivatives. Originally from Johannesburg, William spent several years as a senior equity derivatives trader at Macquarie Bank / Nedbank before moving to Sydney where he continued as a derivatives trader for Dutch market maker IMC Pacific. William holds business and economic degrees from the University of South Africa.
Vice President of Product Management
Brandon DeCoster is the Vice President of Product Management for FIX Flyer LLC, and is a specialist in production operations and the FIX Protocol. Brandon studied at the Rochester Institute of Technology, earning a BS in Information Technology in 2005, and worked for years as a software engineer at IBM. He entered the financials in 2007 as an engineer for Pipeline Financial Group, supporting their dark matching engine and algorithmic equities trading, and is an avid student of game theory, a topic on which he lectures widely.
Chief Executive Officer
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 KCG Holding, Inc. 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 Trading Community 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.
John Greenan is an independent consultant specialising in FIX and Electronic Trading for fixed income, foreign exchange, futures and equities. He is a member of the FIX Strategy committee and has worked with FIX since the late 90s.
Now based in Sydney he has previously worked with firms such as NAB, BNP Paribas, ABN Amro and JP Morgan.
Co-Chair, Australia Working Group, FIX Trading Community, and
Head of Sales - Australia, Fidessa
James Hardcastle is Head of Sales for Fidessa in Australia where he has been based since November 2011. James joined Fidessa in 1998 as a Technical Consultant based in London and worked on projects for numerous tier-one investment banks across Europe. Prior to Sydney James was based at Fidessa’s Tokyo office, where he lived for 12 years, and was most recently Head of International Sales. In addition to his role with Fidessa James is also Co-Chair of the FIX Trading Community Australia Working Group committee actively involved in the adoption and promotion of all things FIX culminating in the annual conference held in October each year. James has a BSc Honours degree in Computer Science & Business Studies from Anglia Ruskin University in the UK, and in his spare time enjoys running, cycling and travelling.
Senior Executive Leader, Financial Markets Infrastructure
Oliver leads ASIC's Financial Market Infrastructure team, and has primary ASIC responsibility for oversight of market infrastructure, such as financial market operators and clearing & settlement facilities. Of recent times, his work has had a particular focus on innovations and developments across the whole area of financial markets, including OTC derivative reform following the global financial crisis. Prior to joining ASIC, Oliver worked with McKinsey & Company in their New York Office, in the Global Corporate & Institutional Banking Practice. In that role, Oliver served a number of clients, including large exchanges, investment banks and professional services firms. Oliver is a qualified lawyer and commenced his career with a major international law firm.
Head of Trading Solutions
IRESS Market Technology
Ben Jefferys has specialised in financial markets trading technology for over 18 years. Ben joined IRESS in 2010 and his role as Head of Trading Solutions oversees all aspects of trading technology including solution design, regulation change, connectivity, smart order routing and dark pools. Ben has also played an integral role working with regulators, exchanges and clients in developing the multi-market capabilities at IRESS. Prior to joining IRESS, Ben has worked in similar roles at Saxo Bank, Commonwealth Bank of Australia and MF Global in London and Sydney.
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 17 years, 11 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.
Executive Director, Electronic Trading
Ian Jones is responsible for electronic execution at Goldman Sachs in Australia. Prior to Goldman Sachs, Ian spent 6 years with ITG where he was responsible for analytics sales and research helping clients achieve best execution and a better understanding of the evolving market microstructure. Ian holds a BE Honours degree in Aerospace Engineering and BSc in Computer Science from UNSW and became a CFA charter holder in 2012.
Global Head of Dealing & Exposure Management
Joe Kassel has over 24 years' experience trading in institutional financial markets both in Australia and globally.
Joe graduated from Sydney University in 1989 with a BA majoring in pure mathematics before commencing his first trading role for Barclays de Zoete Wedd as a futures floor trader in index futures and options on the Sydney Futures Exchange in 1990.
Joe moved to Bankers Trust Australia in 1992 as an institutional advisor in equities and equity derivatives and then to BT Funds Management in 1997 where he took responsibility for European, US and then Asian trading.
In 2002 Joe moved to the UK to take the role of Director and Head Trader for global equities for Principal Global Investors returning to Australia with Citigroup in 2007.
Joe's role at Citi was as a Director in the firm's market leading transition management team and in this role he was closely involved in many of the region's largest and most complex asset re-organizations.
Joe joined his current firm, AMP Capital Investors, in 2009 taking responsibility for global Toshin Fund trading and led the creation of the global dealing capability for AMP Capital's REIT and listed infrastructure joint venture with Brookfield.
In 2014 Joe moved into his current role with the firm as Global Head of Dealing and Exposure Management. In this role Joe oversees a global team responsible for all dealing in liquid assets as well as rebalancing and exposure management of the firm’s range of multi asset funds.
Director, Business Development
John joined Yieldbroker in 2001 and is a Director, Business Development. He has been responsible for liaising with market participants to encourage the growth of electronic markets for Australian debt securities and derivatives that promote transparency, liquidity and efficient trade and information processing.
With 30 years of experience in financial markets, John has previously worked in a variety of roles with both buy-side and sell-side institutions.
Vice President, Head of SMARTS, Market Technology
Dr. Rob Lang is the Head of the SMARTS Business within Nasdaq and is responsible for the Sales, Business and Product Development and Delivery of the Surveillance and Compliance product offerings from Nasdaq. Since 2007, Rob has lead the technology and software development for all SMARTS products as CTO. Prior to joining SMARTS in January 2007, Rob spent 10 years in various Technology Management roles mostly in Silicon Valley, California, producing hardware products in the computer graphics and image processing industry, most notably for Silicon Graphics and Nvidia. Rob received a PhD in Computer Engineering from Newcastle University in Australia in 1996.
Head of Asia Pacific Trading
Jason Lapping heads Dimensional's equity trading desk for Asia Pacific. His focus is on ensuring the firm's execution strategies and technological infrastructure region meet the highest standards in the region.
Originally from South Africa, Jason studied economics at the University of Cape Town, before moving to London to start his career in the financial sector.
Jason has been at Dimensional since 2010. He brings deep knowledge and experience of global markets, including in depth knowledge of Asia Pacific's unique market microstructure. Much of Jason's experience was garnered over 14 years working around the world with Societe Generale in their equities derivatives division and heading desks in London, Paris, Hong Kong and Sydney.
Reporting to Glenn Crane in Sydney, Jason works with a regional team of seven traders and is an integral part of an international trading network headed by the London-based John Romiza.
Director of Markets
Financial Conduct Authority
David Lawton is Director of Markets at the Financial Conduct Authority, responsible for the UK Listing Authority; primary, secondary, post-trade and wholesale conduct policy; market surveillance and investigations into market abuse; the supervision of the market infrastructure and client assets in the UK; and the regulation of the UK Covered Bond programme.
Prior to this he was Head of the Market Infrastructure and Policy Department of the FSA. Before joining the FSA in January 2005, David spent nearly 20 years at Her Majesty's Treasury, latterly as Head of Capital Markets and Governance.
David is an economist by training, with degrees from Cambridge University and the London School of Economics.
Paul Le Roy
Director, Execution Services
Pershing Securities Australia
Paul is the Director, Execution Services for Pershing and his responsibilities include Pershing's equity and equity derivative trading, and stock loan businesses. Paul has over 15 years' experience in both trading and management positions with over 10 years specifically working in the wholesale space. Prior to joining Pershing, Paul co-founded D2MX, Australia's first wholesale only brokerage. Paul holds a BBus in economics and finance from QUT and an Executive MBA from UTS.
Co-Chair of the Asia Pacific Education and Marketing Subcommittee, FIX Trading Community, and
Head of Financial Services Market Segment, Telstra
Matthew Lempriere is the Global Head of Financial Services Market Segment of Telstra, an Australian telco and information services company.
Based in Hong Kong, Lempriere is responsible for identifying and optimising opportunities for the company within the financial services sector across Asia Pacific, EMEA and the US.
With more than 20 years of sales and account management experience in the financial and telco industries, Lempriere's has in-depth specialist knowledge in the delivery of electronic trading and information applications to the banking industry. Before joining Telstra, he was the Head of BT Radianz for Asia Pacific.
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 11 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.
Amanda works collaboratively with financial market participants, exchanges and regulators to raise integrity standards across the financial industry. MIntegrity is passionate about financial market infrastructure, regulation and market integrity rules.
Amanda was previously at the Australian Securities & Investments Commission. As part of the leadership team for the Market & Participant Supervision department, she was instrumental in the development and implementation of financial market infrastructure regulations and reforms including the supervision transfer to ASIC from market operators, the introduction of trading competition (Chi-X market launch), market cost recovery regulations, supervision and surveillance of market participants conduct on market and ASIC's risk based assessment program, RADAR, which assesses market participants' governance, culture and conduct.
Prior to her 4.5 years in regulation Amanda spent 15 years in Investment Banking on the securities dealer side as Director, Head of Operations at UBS AG in Sydney and at Morgan Stanley, Vice President - Head of Infrastructure in Australia and Vice President, Equity Client Service in New York, USA.
Amanda has represented ASIC at the International Organisation of Securities Commissions (IOSCO) Meeting of Directors of Intermediary Supervision in Shenzhen, on an annual basis at Financial Industry Regulatory Authority (FINRA) Supervisory College in New York and at the Asia-Pacific Economic Cooperation (APEC) - Financial Regulators Training Initiative in Shenzhen, Fiji, Kuala Lumpur, Shanghai and Cambodia.
She is a member of the Australian Institute of Company Directors (GAICD), Stockbrokers Association of Australia (MESAA) and Women On Boards.
Dealer - Australia/New Zealand
T. Rowe Price
Richard Nelson has 25 years’ experience in investment markets.
Richard joined T. Rowe Price International in January 2014 and is responsible for dealing Australian & NZ equities for local and global portfolio managers.
Before joining T. Rowe Price, Richard worked at AllianceBernstein in London as Head of EMEA Trading and in Sydney as Head of Australia/NZ Dealing.
Richard holds a CFA charter from the CFA Institute and Master of Applied Finance degree from Macquarie University.
Head of Prime Services, Australia & NZ
Ian Nissen is Citi’s Australian Head of Prime Services.
Ian has over 20 years of experience in the Futures industry in both Australia and Asia. Prior to his employment with Citi, Ian was an Executive Director for J.P. Morgan Markets Australia Pty Ltd with primary responsibility for the strategic development and marketing of futures clearing and trading platforms to a broad cross section of the Australian client base.
Prior to J.P. Morgan, Ian was employed by HSBC for 13 years with 10 of those based in Singapore. During this time he held positions in both futures and rates sales and prior to leaving HSBC his role was as Managing Director, HSBC Futures (Singapore) Pte Ltd.
Ian is a sitting member of the Australian Financial Markets Association – Futures Steering Committee and the MGC Sub-committee for OTC Clearing.
Head of Australia & NZ Electronic Execution
Murrough O'Brien is Head of Electronic Execution for Australia & New Zealand, based in Sydney. Murrough joined Citigroup London in 2006, before moving to Sydney in 2009 and has over 13 years' experience in the financial markets. Murrough's Electronic Execution responsibilities include DMA and Algo sales & trading, Connectivity, Market Microstructure analysis and Crossing Networks/Dark Pools. Murrough has also played an active role in market reform, working closely with both the buyside, sellside and local exchanges/regulators. Prior to joining Citigroup Sydney, Murrough worked in business and technical roles at JP Morgan, UBS, Nomura and HVB-Unicredit in both New York and London.
Co-Chair, Australia Working Group, FIX Trading Community, and
Consultant, ASX Limited
Yemi has over 15 years' experience in financial markets, specialising in electronic trading. At the ASX he has worked on a number of projects providing solution analysis and FIX expertise. He has also managed relationships with specialised vendors and coordinated delivery of solutions. Roles prior include implementing electronic trading solutions for Deutsche Bank and UBS.
Global Banking & Markets Compliance
Bank of America Merrill Lynch Australia
Nitish is part of the Markets Compliance team which is responsible for ensuring the firm meets its market related obligations across equities, futures and FICC. This comprises of market surveillance, implementing regulatory reform, providing guidance on emerging issues and relationship management to achieve strategic objectives.
Nitish has 8 years of local markets experience. His previous roles have included risk management (Mizuho), futures trading (Propex), frontline market operations (ASX) as well as market surveillance and participant compliance (ASIC).
Global Execution Services
Bank of America Merrill Lynch Australia
Ben is responsible for Merrill Lynch's DMA and algorithmic trading product in Australia. This comprises of sales and trading coverage, product development and market structure consultancy.
Ben has 9 years of experience in global electronic trading. Prior to joining Bank of America Merrill Lynch in 2009, he held electronic trading coverage roles at both Citi and ITG in London.
Head of Analytical Products and Research - Asia Pacific
Ms. Stanton is responsible for client management and sales across ITG's Analytical Products and Research (APR) offerings in Asia Pacific. This includes ITG's full suite of pre-trade, real-time and post-trade analytics. Over the past six years with ITG, she has managed the APR Client Services team in the US and recently transitioned to run the APR team locally out of Hong Kong. Ms. Stanton holds a Bachelors of Art degree from Lehigh University in both Computer Science and Economics and prior to working at ITG she worked for JPMorgan Private Bank in New York.
Managing Director, Australia
Prior to joining GreySpark's office in Sydney, Braian was a business development manager at Barclays where he initially focused on high-yield credit derivatives and structured credit. He later worked to establish and distribute the bank's OTC client clearing offering across the UK and Europe. Before his time at Barclays, Braian worked in financial valuation for Dresdner Kleinwort Investment Bank.
Andrew is an equities dealer at AllianceBernstein where has worked for 6 years, initially as an associate portfolio manager before moving to the dealing desk to specialise in Asia Pacific equity markets. His role has also covered fixed income and currency dealing. Prior to joining AllianceBernstein, Andrew was an investment analyst with St George Bank, working on their multi-manager strategies. Andrew holds an honours degree in Chemical Engineering from the University of Queensland.
Co-owner & Director
Alerts4 Financial Markets
Dave has had a wide-ranging career in Capital Markets for over 35 years. He began his career at Hambros, working and leading teams in business, technology and change management.
Following a spell as an independent management consultant, Dave joined US systems integrator Keane, as the senior business consultant for Capital Markets. He managed many engagements for some of world’s largest financial institutions, addressing a range of business and technology challenges, including risk and compliance.
At security and anti-fraud specialist Detica, Dave developed a deep specialisation in Market Surveillance, working with clients including the FSA, Turquoise and Merrill Lynch, combining knowledge of Compliance, MiFID and Surveillance, with an understanding of the potential application of new and emerging technologies, which led to the design of the first real-time surveillance solution, based on the Apama CEP engine.
In 2009, Dave co-founded Alerts4 Financial Markets as specialists in Surveillance and Monitoring. Alerts4 are global partners with Apama in the design and implementation of Market Surveillance Solutions. Alerts4 have also designed and implemented their own complimentary historic analysis solutions, focused on both Market Surveillance and Rogue Trader monitoring. Clients include Citi, ICAP, BGC, RBS, ING, ANZ, State Street and Futures First.
Dave is also the author of a number of published articles and whitepapers in this area and is an occasional speaker and panellist at various industry events and conferences.
Phillip founded BestEx in 2012 as Australia's first broker neutral, outsourced buy-side trading desk. He is responsible for the firm's trading activities. Phillip has over 10 years of institutional trading experience. He previously managed the trading desk at Karara Capital and before that, worked as an FX Options Trader at National Australia Bank.
Phillip is a regular panelist at trading conferences around the world and has presented on the subjects of dark pools, algorithmic trading and multi-markets. He holds a Bachelor of Business (Banking and Finance) and a Bachelor of Laws from Monash University.
Wong Joo Seng
Joo Seng was the Founding CEO of GK Goh Financial Services (S) Pte Ltd. (GKGFS), then a member firm of the Singapore Exchange - Derivatives Trading ("SGX-DT"). He joined in 1998 and was instrumental in the start-up of the unit. GKGFS is the wholly owned securities/derivative brokerage and foreign exchange trading subsidiary of GK Goh Holdings Ltd; a listed company based in Singapore. In his time there GKGFS became one of Asia largest FX trading houses. Joo Seng was the Managing Director and Chief Executive Officer of GKGFS since its inception until his departure in Jan 2014 when he joined M-DAQ Pte. Ltd.
Director and Quantitative Specialist
Henry Yegerman is Director and Quantitative Specialist for Markit Data Analytics and Research. He has over 25 years experience creating leading edge analytical products for the global investment community. He is responsible for strategic marketing and development of Markit's trading analytic products.
Prior to coming to Markit, he was responsible for designing and building the analytics product suite at Investment Technology Group and is the creator of ITG's transaction cost analysis products. Henry started his career at Morgan Stanley developing new products for MSCI equity indices, investment management and prime brokerage.
Henry has written and co-authored numerous papers in the area of trading analytics and is a frequent speaker at industry conferences. He has an M.B.A. from New York University, a Ph.D. from The Johns Hopkins University and a B.A. from the University of Louvain, Louvain, Belgium in Philosophy.