Speakers

Mr. U.K. Sinha, Chairman, Securities & Exchange Board of India

Mr. U.K Sinha was appointed as Chairman of Securities & Exchange Board of India with effect from February 18, 2011. Mr. Sinha, formerly from the Indian Administrative Service, brings with him rich experience in the financial markets for more than a decade. Mr. Sinha, has held several responsible positions with distinction in the State and Central Governments. He was Joint Secretary (Banking) and Joint Secretary (Capital Markets), Ministry of Finance, Government of India. He was also the Chairman of the Working Group on Foreign Investment in India formed by the Government of India. He was a member of several committees set up by the Government of India including the Committees on Liquidity Management, Foreign Institutional Investors, Corporate Bond Market and Investor Protection.

Prior to taking over as Chairman at SEBI, he was Chairman and Managing Director of UTI Asset Management Company Limited and also Chairman of Association of Mutual Fund in India.  He has actively contributed to the financial sector reforms in the country. He is also credited with starting the micro pension movement in India.

Mr. Karl-Burkhard Caspari, Chief Executive Director and member of the Executive Board of the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistung-saufsicht - BaFin). He heads BaFin´s Securities Supervision/Asset Management in Frankfurt.

Mr. Karl-Burkhard Caspari is also member of the Board of Supervisors of the European Securities and Markets Authority (ESMA) and of the Executive and Technical Committees of the International Organization of Securities Commissions (IOSCO). With a total of more than thirty years of working experience in the fields of securities law and supervision, he has served as head of the Kreditabwicklungsfonds section (fund for the management of debt of the former GDR), the stock exchange/investment law section and the sub-division for banking, insurance, investment, stock exchange and securities supervision at the German Federal Ministry of Finance before taking up his current position.

Mr. Stefan Helming Country Director Gesellschaft fuer Internationale Zusammenarbeit (GIZ) India

Mr. Helming has done a post graduation in international development from the German Development Institute, Berlin (Deutsches Institut fuer Entwicklungspolitik) and has studied economics at the Albert-Ludwigs-University in Freiburg, Germany. Internships included stations at the Federal Ministry of Economic Cooperation and Development amongst others. He was responsible for the Technical Backstopping for GTZ's worldwide water and sanitation programs as the Director of GTZ Water Division. He was also the Director of Corporate Policy Department and Department of North Africa and Middle East in the GTZ Office in Eschborn. He headed the GTZ IS in Ethiopia, which was the largest Country Program for GTZ IS for four years. He is currently the Country Director GTZ in India since April 2010.

Mr. Thorsten Giehler, Programme Director Financial Sector Reform, Deutsche Gesellschaft fuer Internationale Zusammenarbeit (GIZ) China

Mr. Giehler is the Director of the Financial Sector Reform Programme of Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) in China. He moved to China in 2006 and has headed in the last seven years several Sino-German intergovernmental projects with the China Securities Regulatory Commission on the topic of Investor Protection and with the China Insurance Regulatory Commission on Consumer Protection. He also spearheaded the Sino-German Projects with the Peoples Bank of China on the topic of Microfinance, asset pricing, macro prudential supervision and real estate finance among others.

Sino-German projects with the Postal Savings Bank of China on Micro and SME Finance and with the Tianjin Municipality on Property Rights Exchange Reform and Financial Centre Cooperation were also headed by Mr. Giehler. Additionally he has been working with the Financial Office in Inner Mongolia on Micro, SME Finance and Green Finance. Mr. Giehler worked as a Financial Sector Specialist at the GIZ headquarters in Eschborn before moving to China. He previously worked for the Food and Agriculture Organization of the United Nations in Rome, Italy and for the German Development Institute in Berlin. Mr. Giehler studied in Germany and Venezuela and has in the past years published several professional articles on development finance.

Mrs. Menaka Doshi

Menaka Doshi has been a business journalist for over 17 years. An economics graduate from St. Xavier’s College, Mumbai, she started her professional career with television features and production company TV18 in 1996. She moved from being a business features reporter on India Business Report (BBC) to a business news reporter on India’s first business news television channel CNBC TV18 - when it launched in 1999. She has since then covered several corporate beats and hosted many flagship shows including India Business Hour, Cutting Edge, Young Turks, Realty Check, Rules Of The M&A Game, EnterpriseInc, Riders In The Storm, Business Sutra…

Menaka is currently Executive Editor, CNBC TV18 – she hosts a daily India markets show
‘Closing Bell’ and a daily show on global markets ‘Your World @10’ and is host and editor of ‘The Firm’ - India’s only show on corporate law, tax and audit matters.

She also writes an occasional column for the Financial Express titled ‘Equal & Opposite’… it explores business practices prompted by legal & regulatory action and vice versa.

In 2005-06, Menaka was awarded the first Ramnath Goenka Excellence in Journalism Award in the category of Business & Economic Journalism (Broadcast).

Prior to TV18, Menaka worked with Plus Channel, Spenta Multimedia, Sterling Newspapers & Ogilvy & Mather, in a series of summer jobs and long period internships.

Mr. Tajinder Singh, Deputy Secretary General, International Organization of Securities Commissions

Mr. Tajinder Singh is currently Deputy Secretary General of the International Organization of Securities Commissions (IOSCO). He was previously Head of International Affairs & Human Resource Development and Executive Assistant to the Chairman in the Securities and Exchange Board of India (SEBI).

Mr. Singh comes from the Indian Administrative Service and has held various positions in the Ministry of Finance in the Government of India, as well as handling a number of assignments for the government in the financial and other sectors. He has over 20 years of experience at senior leadership positions in different organizations dealing with strategic issues in regulation, finance and administration, and significant domestic and international experience dealing with Government and regulators.

Mr. Singh was Vice-Chairman of the Implementation Task Force of IOSCO, and played a key role in organizing the IOSCO Annual Conference in Mumbai in 2007.

Mr. Singh holds a Masters Degree in Systems Science and Automation from the Indian Institute of Science (IISc), Bangalore, and graduated in Electrical and Electronics Engineering from the Indian Institute of Technology (IIT), Kanpur.

The Deputy Secretary General’s duties include providing strategic advice; implementing aspects of IOSCO’s Strategic Direction; managing relations with IOSCO’s membership and being responsible for the administrative functioning of the Secretariat.

Mrs. Nicoletta, Giusto Director Head of the International Relations Office, Consob

Graduated in Law at the University of Genoa; master in Law & Economics of EU. In 1987 she joined Consob, where she was appointed Head of the International Relations Office in 2006. Since 1987, she has attended most of the working parties convened by the EU Commission and the EU Council related to the EU legislation in the securities field as well as ESMA and IOSCO working groups. She represents Consob at the Joint Forum.

Dr. ZHAO Min, Deputy Director of the Investor Protection Bureau under China Securities Regulatory Commission (CSRC)

Dr. ZHAO Min, Deputy Director of the Investor Protection Bureau under China Securities Regulatory Commission (CSRC), has 18 years of experience in securities regulation. She started her career at CSRC Inner Mongolia Bureau in 1995 and served as its division head and deputy director. She was responsible for the regulatory and auditing work of listed companies and securities trading institutions. In 2007, ZHAO Min became a full fellow at the Administrative Punishment Committee of the CSRC, handling such violations as market manipulation and insider trading. In 2011, she led the establishment of the Investor Protection Bureau under CSRC. She focused particularly on top-level institutional building and improved various relevant systems for protection of China’s securities investors. Under the leadership of Dr. ZHAO, the Investor Protection Bureau achieved remarkable results in strengthening investor education, deepening investor service, and exploring channels and mechanisms for protection of investors’ rights.

Mr. Ashishkumar Chauhan, MD & CEO of the BSE Ltd., Asia’s first stock exchange

Ashish is the MD & CEO of the BSE Ltd., Asia’s first stock exchange. He serves on the Board of ICCL, CDSL, BSE Training Institute, BFSI Sector Skill Council and Marketplace Technologies Limited. He is also a member of the Board of Governors of IIIT D&M, Jabalpur and a few SEBI committees. He currently is the Chairman of the Advisory Committee on Technology of FMC, member of several SEBI committees (including PMAC and SMAC) and has served on various other government and regulatory committees; CBDT and FMC, among others in the past. He is also a member of the Advisory Board of Lend a Hand India – a NGO working in implementing vocational skill development programs for rural and urban youth by providing them practical training at high school level. He is a member of the Capital Markets Committee of FICCI, National Council on Corporate Governance & Regulatory Affairs of CII and Financial Sector Development Council of CII.

He has recently been a recipient of the Zee Business award for business transformation.

Ashish has over 22 years of experience in Financial Markets and technology. Ashish was part of the 5 member team that set up NSE and set up NSE’s equities and derivatives segments and created the NSE Fifty (Nifty) index. He was the Group CIO of the Reliance group and was ranked amongst the top 50 CIOs in the world by several magazines and institutions. He also headed the Corporate Communications for Reliance group in between and was the CEO of Mumbai Indians.

Ashish holds a B.Tech in Mechanical Engineering from IIT Bombay and PGDM from IIM Calcutta.

Dr. Kusumaningtuti Sandriharmy Soetiono, Member of the Board of Commissioners Indonesian Financial Service Authority in charge of Financial Education and Consumer Protection

Born in London, UK, July 21, 1954. She holds a law degree from the University of Indonesia, Jakarta in 1979, got her L.LM degree from Washington College of Law, The American University USA in 1984 and obtained her Doctorate of Law at the University of Indonesia, Jakarta in 2008.

She began her career as a staff in the Credit Planning and Supervision Department of Bank Indonesia in 1980. In 2001, she was appointed as Acting Director of the Legal Directorate then as, Director of the Directorate of the Foreign Affairs Bank Indonesia in 2003, and Director of the Centre of Central Banking Research and Studies Bank Indonesia in 2006. In 2007, Kusumaningtuti S. Soetiono served as a Director of the Directorate of Human Resources Bank Indonesia and in 2010 she was given the mandate as a Head of Representative Office of Bank Indonesia New York until 2012.

On July 18, 2012 she was appointed as a Member of the Board of Commissioners OJK in charge of Financial Education and Consumer Protection based on Presidential Decree No. 67/P year 2012 and inaugurated on July 20, 2012 by the Chief Justice of the Indonesian Supreme Court for the term of 2012-2017.

Mr. Ranjeet S Mudholkar, CFP, FPSB India

Mr. Ranjeet S. Mudholkar is currently serving as the Vice Chairman and CEO of Financial Planning Standards Board India (FPSB India). In the past ten years, he has led the transformation of FPSB India, from its early inception as Association of Financial Planners in 2002 till date. During this period, he has also served as the Chairman of the Asia Pacific Forum, comprising Financial Planning Standards Board Ltd. (FPSB) Affiliates for the year 2009 during meetings held in Dublin, Singapore, and Tokyo.  Mr. Mudholkar has also served as a member of the Nomination Committee to select and nominate the Board Members of FPSB, US for the year 2012-16.

Besides ensuring that the vision and goals of successive Boards are well executed, he has been responsible to ensure the growth of the organization while keeping all the stakeholders aligned. He has been the spokesperson of the organization and the Editor of the Financial Planning Journal, a leading monthly periodical for the Financial Planning community in India. During his career, he has gathered experience across various disciplines, from education, financial planning, human resources, mutual funds and research. 

Earlier, he has served as the Director of Symbiosis Institute of Management Studies (SIMS), a premier business management school in India, between 1997-2001. 

A graduate in statistics and computer programming with post graduation in management, Ranjeet has been called ‘Mr. Turnaround’ by the Times of India, and has featured under ‘Smart People’ by Business Standard, and ‘Front Runner’ by Business India. Apart from being on various TV shows as an expert in financial planning, he also gives lectures to senior officials of various organizations.

Mr. Moritz Beker, Senior Policy Officer, Section INT 4 International Policy/Affairs Securities Supervison BaFin

Mr. Moritz Beker joined the Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) in 2006 and initially worked in the day-to-day supervision of investment firms. In 2011, he was seconded to the Ministry of Finance in Berlin, where he worked in the department responsible for stock markets and securities. Since his return to the BaFin Mr. Beker is a member of the Department "International cooperation and representation of the BaFin in the area of ‚Äč‚Äčsecurities law". Currently his main focus and interest lies with the ongoing legislative process to revise the European Directive on Markets in Financial Instruments Directive (MiFID).

Mr. Stephen Po, Senior Director, Intermediaries Supervision Department, Securities & Futures Commission, Hong Kong

Mr Po is currently the Senior Director and head of the SFC’s Intermediaries Supervision Department. Inthis role, Mr Po has primary responsibility for supervising intermediaries in the securities and futures sector to embrace high standards of conduct and integrity.

The SFC supervises over 1,900 financial intermediaries in Hong Kong including securities dealers, futures brokers, financial planners and hedge fund managers. Mr Po oversees key supervision activities such as carrying out on-site inspections of firms for the purpose of identifying and managing risky firms and detecting misconduct. He has also been actively involved in the formulation and implementation of anti-money laundering measures for the securities and futures industry.

Mr Po is also the Chairman of the International Organisation of Securities Commissions (“IOSCO”) Committee 3 on the Regulation of Market Intermediaries. The C3 is part ofIOSCO’s standard setting body that is responsible for reviewing and proposing standards on the regulation of market intermediaries in a cross border environment. The C3 currently comprises of members from 28 regulatory authorities around the world.

Mr Po is a qualified accountantand holds a MBA and BBA degree.

Mr. Yasuto Watanabe, Director of International Financial Markets and International Accounting, Financial Services Agency, Japan

Mr. Yasuto Watanabe is appointed as the Director of International Financial Markets and International Accounting (Financial Services Agency, Japan). Mr. Watanabe also served as the Director for Global Environment Bureau under the Ministry of the Environment (Japan). Further, Mr. Watanabe has also served as an Economist, followed by Deputy Director for the Ministry of Finance (Japan). A Master’s graduate in International and Development Economics from Yale University, Mr. Watanabe has also worked with prestigious institutions holding seniors roles such as a Board member for Asian Development Bank and a Senior Counselor for Inter-American Development Bank.

Mr. Robert Elsen, Financial Counselor, German Embassy Beijing, China

Mr. Elsen is a representative of the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) at the Germany Embassy in Beijing China. Prior to his secondment to the German Embassy, Mr. Elsen was the Deputy Head of Section INT 1 (International Policy Technical cooperation). He also worked in the prospectus section of the BaFin and was engaged in the drafting work of the prospectus directive as well as its implementation into national law. He participated in the CESR group prospectus on the European level (until 2006) as well as the IOSCO subcommittee on Disclosure (until 2009) and was at the time the deputy head of the Section Pro 1.

Mr. Elsen studied law in Germany and gained working experience at the UNOV in Vienna, UNON in Nairobi and at the German Embassy in South Africa prior to working for BaFin. He was until 2012, when he moved to China, a guest lecturer at the University of Applied Sciences in Mainz and has written various articles and publications.

Prof. Dr. Günter Hirsch

Günter Erhard Hirsch is Honorary Professor at the University of Saarbrucken, Germany. Mr. Hirsch was President of the German Federal Supreme Court of Justice (2000–2008) and is lead author of various publications in European and German law. Before that he has served for several years as judge at the Court of Justice of the European Union, he was president of the Constitutional Court of the Free State of Saxony, president of the Higher Regional Court Dresden, president of the District Court Dresden. Before taking up his positions as court president, he was head of the division Legislative Planning, Constitutional Law, European Law at the Bavarian State Ministry of Justice. He was educated in Germany, Great Britain, the USA and at the Diplomatic Academy of Vienna. He holds a PhD from the University of Erlangen, Germany.

Mrs. Zia Mody

ZIA MODY is the Founder and Senior Partner of AZB & Partners and one of India’s foremost corporate attorneys. She passed her law degree from the University of Cambridge in 1978 and was enrolled as an Advocate with the Bar Council of Maharashtra & Goa in 1978. She did her LLM from Harvard Law School and was then admitted as a member of the New York State Bar by examination in 1980. Zia worked as a corporate associate at Baker & McKenzie, New York, for five years before moving to India to set up practice, establishing the Chambers of Zia Mody in 1984, which then became AZB & Partners in 2004. The Firm has offices in Mumbai, Delhi, Bangalore, Pune and Chennai with an integrated team of approximately 250 legal professionals.

Zia’s abilities are recognized globally, as is reflected in her appointment as a non-executive director of the HSBC Asia Pacific Board, a member of the World Bank Administrative Tribunal, Washington D.C. (2008-2013), and a Vice President and Member of the London Court of International Arbitration (2010-2013). Zia serves on various advisory committees of the Confederation of Indian Industry including its National Council and its committees on Corporate Governance, Financial Services, Capital Markets, Legal Services and Retail and a member of the Godrej Committee on Corporate Governance recently constituted by the Ministry of Corporate Affairs.

Listed by Forbes Asia as one of ‘Asia’s 50 Power Businesswomen’ (2012), Zia is the recipient of numerous awards and has been awarded the “Business Woman of the Year, 2010” award by the Economic Times, for which she was felicitated by The Society of Indian Law Firms (SILF) as the “Law Leader 2010”. The Economic Times voted her one of the country’s most powerful CEOs (2004 to 2012), and one of the 15 most powerful Indian women leaders in 2010 to 2012. She has also been selected as one of the 25 most powerful women in business by Business Today in 2004 to 2012. AsiaLaw Profile hailed her as one of ‘The Leading Lawyers - India’ in the fields of Mergers & Acquisitions, General Corporate Practice, Dispute Resolution, Corporate Governance and Capital Markets & Corporate Finance for 2010 and 2011, while Asia Pacific Legal 500 and Chambers Global, have identified her as a leading individual in the Corporate Mergers & Acquisition, Private Funds, Private Equity, Litigation and Infrastructure Sectors. Zia has been nominated as one of the world’s leading practitioners by the International Who’s Who of Private Funds Lawyers in 2006 - 2012, among the world’s pre-eminent commercial arbitration specialists by the International Who’s Who of Commercial Arbitration 2010 to 2013 and one of the world’s leading lawyers by the International Who’s Who of Corporate Governance Lawyers 2012 and the International Who’s Who of Business Lawyers, 2013 and is recognized in the 2012 Guide to the World’s Leading Women in Business Law for her work in the field of Mergers & Acquisitions. Zia is also listed as one of the Leading Lawyers of Asia (2012) by Global Business Magazine. Zia has recently received the “Legal Icon of the Decade – 2013” award at the Legal Era Awards.

 

Mr. P. K. Bindlish

Mr. P. K. Bindlish is the Chief General Manager , Securities & Exchange Board of India (SEBI), India & is presently heading the Market Regulation Department dealing with Stock Exchanges, Depositories, Clearing Corporations, market policies & monitoring thereof.

Mr. Bindlish is a Rank Holder Chartered Accountant from Institute of Chartered Accountants of India.

Mr. Bindlish has rich experience of more than 30 years in the field of finance & capital market. .Since 1993 he is working with SEBI. During his association with SEBI he has carried out various functions such as policy formulation, investigation, adjudication etc.

Mr. Bindlish has been associated with various committees constituted by SEBI, Reserve Bank of India (RBI), Ministry of Corporate Affairs (MCA), Institute of Chartered Accountant of India, and Institute of Company Secretaries of India.etc. Mr. Bindlish had been the member of N R Narayanmoorthy Committee on Corporate Governance, Kumar Manglam Birla Committee on Corporate Governance, J R Varma Committee of Carry Forward Mechanism, Committee on Uniform Bye Laws, Committee on Delisting of Securities, Risk Management Committee, Payment & Settlement Committee of RBI, Secretarial Standard Board of ICSI, and Financial Reporting Review Board of ICAI etc. Mr. Bindlish has also been associated with various other committees such as Justice Kania Committee on Demutualization & Corporatisation of Stock Exchanges, Accounting Standards Committee, Derivative Committee, Dematerialization Committee, Secondary Market Advisory Committee etc. Mr. Bindlish has been associated with major changes in capital market in India such as on line trading, dematerialization of securities, rolling settlement, derivatives, robust risk management system, corporate governance, demutualization of stock exchanges etc.

He has also handled several sensitive investigations. He has passed several Adjudicating Orders establishing jurisprudence in the Capital Market.

Mr. Weiping Ge, Vice-chairman of Securities Association of China (SAC)

Mr Ge has a long experience in supervision of securities firms in China. He worked at China Securities Regulatory Commission (CSRC) since 2001 and was head of the Department of Intermediary Supervision and deputy head of the Office of Risk Disposal. He organized and participated in the project of securities firms’ risk disposal and bankruptcy liquidation and played an important role in drafting regulatory laws and rules for securities firms. Since 2008, he became executive director and vice-chairman of China Securities Investor Protection Fund (SIPF). During this period, he led investor education activities, securities firms’ risk disposal, as well as the set up of long-term protection mechanism for investors. Last year, he became vice-chairman of Securities Association of China (SAC) and Head of China Capital Market Monitoring Center (CCMMC). Now he leads the Dispute Mediation Center at SAC and supervises market surveillance for private placement market at CCMMC.

Mr. Bui Hoang Hai, Deputy Director of Securities Issuance Department, State Securities Commission ò Vietnam (SSC)

Bui Hoang Hai has worked for SSC since 1997. From June 2008 to present, as the Deputy Director of Securities Issuance Department of SSC, Mr. Hai has been responsible for overseeing IPOs of public companies, promoting good corporate governance practices in listed companies and drafting guidelines for securities listing and offering of VietNam companies in overseas markets. Mr. Hai has a bachelor degree in economics from the Hanoi Foreign Trade University and a master degree from the National University of Singapore.

Mr. R. Sundararaman, Chief, Business Excellence and New Products at National Stock Exchange of India (NSE)

R. Sundararaman, Chief, Business Excellence and New Products at National Stock Exchange of India (NSE) is certified ‘Financial Risk Manager’ by Global Association of Risk Professionals, New York. He is also an Associate member of Institute of Cost & Work Accountants of India and a Certified Associate of Indian Institute of Bankers. He has a long experience of around 30 years in the area of finance.

At NSE he is working for the past 19 years. He has handled various portfolios at NSE. Presently he is heading the New Products, Business Excellence operations, Index related services and data and info-vending products.

 

Mr. Somasekhar Sundaresan

Somasekhar Sundaresan heads the securities law and financial sector regulatory practice at JSA, a national Indian law firm. He has been in practice for the past 14 years. In addition to a commercial transactional practice in the area of securities laws and M&A of listed companies, he also acts as counsel before the Securities and Exchange Board of India, the Securities Appellate Tribunal and the Supreme Court in connection with securities regulatory litigation.

Somasekhar has also been actively involved in regulatory policy and legislative drafting. He was a member of the Working Group on Foreign Investment in India under the chairmanship of Mr. U.K. Sinha, which submitted its report in July 2010. He was a member of the Securities and Exchange Board of India’s Takeover Regulations Advisory Committee, and drafted Takeover Regulations, which has been substantially implemented. He was a consultant to the Financial Sector Legislative Reform Commission, which submitted its report in 2013, containing the draft Indian Financial Code, which contains new financial sector legislation for India. He is currently a member of a committee of the Securities and Exchange Board of India that is drafting regulations governing insider trading in India. He is a permanent invitee to a committee that is writing a new policy for issuance of global depository receipts and foreign currency convertible bonds.

Somasekhar authors a fortnightly column titled Without Contempt on investment law and policy in the Business Standard, a national business newspaper in India. He is an active member of FICCI’s Steering Committee and its Capital Markets Committee, as also a member of the CII’s Economic Policy Council. He is an independent director on the Board of Oxfam India, a rights-based NGO.

Mr. Dirk Cupei, Managing Director, Financial Market Stability, Deposit Protection German Banking Association and Vice Chairman European Forum of Deposit Insurers (EFDI)

Mr. Cupei was the initiator and founder of the European Forum of Deposit Insurers- EFDI. He has been the Vice Chairman of the EFDI since 2005 and chairs the EFDI Investor Compensation Working Group. In his role as the Managing Director of Financial Market Stability, Deposit Protection at the Association of German Banks, he is responsible for both the voluntary and mandatory deposit protection schemes for private banks in Germany. He represents the Association of German bank in difference European and international organisations and chairs the Working Group on Deposit Insurance at the European Banking Federation –EBF. In addition, he acts as a consultant for a number of German, European and International institutions and is a member of various creditors’ committees of banks.

Mr. Cupei graduated from the Rhenish Friedrich-Wilhelms University, Bonn and the Westphalian Wilhelms University, Muenster. He is a qualified lawyer, specialising in business and banking law.

Mr. HUANG Zibo, China Securities Investor Protection Fund Corporation (SIPF)

Mr. HUANG Zibo started his career in October 2000 after joining CSRC Tianjin Office (known later as “CSRC Tianjin Bureau”). With arrangement made by higher authorities, HUANG was transferred to CSRC’s Shenzhen Office in June 2004 and transferred to China Securities Investor Protection Fund Corporation (SIPF) in March 2013. From May 2004, HUANG engaged in the work of risk treatment and carried out risk management over such securities agencies as Minfa, Dapeng, Hantang, Guangdong, Centergate and Jutian. In 2009, Mr.HUANG Zibo took part in the investigation over securities agencies in China and was in charge of the investigation over Chinalion Securities, Northeast Securities, Stockren Securities and China Galaxy Securities. In August 2007, he won the “Excellent Lawyer Award” for comprehensive regulation over securities agencies.

Mr. Michael Zollweg, Head of Trading Surveillance Office (TSO) Frankfurt Stock Exchange & Eurex Deutschland

Mr. Michael Zollweg is the Director and Head of Department of the Trading Surveillance Office (TSO) of Eurex Deutschland and the Frankfurt Stock Exchange. Before joining Deutsche Börse AG in 2000 he worked in the Legal & Compliance Department at Salomon Brothers and Barclays Bank in London, Frankfurt and Milan. Mr. Zollweg studied law at the University of Frankfurt and is a certified (CCI) bank clerk and certified Exchange Trader.

Mr. Carl-Frederik Scharffenorth, Senior Trading Surveillance Analyst, Trading Surveillance Office (TSO) Frankfurt Stock Exchange & Eurex Deutschland

Mr. Carl-Frederik Scharffenorth is an Expert Analyst of the Trading Surveillance Office (TSO) of the Frankfurt Stock Exchange. He is chair of the Surveillance Subgroup Practices Inter-market Surveillance Group (isgportal.com). Prior to joining Deutsche Börse AG in 1999 he worked at the Commodity Futures Exchange, Hannover. Mr. Scharffenorth studied economics at the University of Bonn/Amsterdam and he is a certified exchange trader.

Mr. Maruyama, Director of Market Oversight Intelligence, Securities and Exchange Surveillance Commission, Japan

Mr. Maruyama joined the Securities and Exchange Surveillance Commission (SESC) in 2012 and has made use of his long years of experience in securities industry to oversight the market.
He began to build his career at the Tokyo Stock Exchange in the middle of 1980s and experienced various business functions of stock exchange such as market oversight, planning of market services, listing examination, IT planning, corporate publication and so on. He seconded to the Accounting Standard Board of Japan (ASBJ) from 2007 to 2009, where he engaged with developing accounting standards and coordinating with other countries’ standard setters.
His main focus at SESC lies with intelligence analysis of market trend, news, information and so on.