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AND INVESTOR EDUC ATION PROGRAMMES: CHANGING BEHAVIOUR ACROSS LIFE STAGES

List of Speakers

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2013 IFIE/IOSCO INVESTOR CONFERENCE - DELIVERING DYNAMIC FINANCIAL C APABILIT Y

BIOGRAPHY

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Born in 1967

Married with 3 children

Education:

• Master in International Economics (University of Denver, 1993)

• Master in Executive MBA (University of Denver 1998)

• AMP Harvard Business School, 2004

• B.S in Political Science (King Saud University, 1989)

Experience:

• Head of Media & Investor Awareness in CMA from 2008 till present time

• Head of Marketing and Sales (Al Rajhi Bank, 2005-2008)

• GM Mawrood PR Agency (2004-2005)

• Deputy Managing Director Saudi research and Publishing Co. (1999 – 2004)

• Administration Director Neo-International Group (1995 -1997)

Abdullah Al-Kahtani Head of Media and Investor Awareness, Capital Market Authority (Saudi Arabia)


Paul Andrews is Vice President and Managing Director of FINRA’s International Affairs Department. In this capacity, he directs all international engagements. Among other things, he has led FINRA’s efforts to establish strong working relationships to harmonize and improve regulation with key regulators and regulatory bodies outside of the U.S. including the Financial Services Authority in the UK, the European Securities and Markets Authority, the Australian Securities and Investment Commission, the Autorité des Marchés Financiers of France, the Securities and Exchange Board of India (SEBI), and the Comissão de Valores Mobiliários - CVM (Securities and Exchange Commission of Brazil). He also leads FINRA’s efforts at IOSCO – the International Organization of Securities Commissions and COSRA – the Council of Securities Regulators of the Americas. He heads the Ahead of the Curve Working Group as part of IOSCO’s Self Regulatory Organizations Consultative Committee.

During his time at FINRA, Mr. Andrews has led a number significant international projects, including serving as the senior member of a FINRA team to advise the SEBI on market regulation issues and the implementation of a new integrated market surveillance system and assisting the Saudi Capital Markets Authority develop its policies, processes and procedures for market surveillance, enforcement, inspections, authorization, and corporate finance. In addition, he led a project with the Singapore Stock Exchange in assessing the risk related to clearing and settlement. He also led the establishment of a Master’s Degree and Diploma program with the UK’s University of Reading to provide education and training courses for practicing compliance and regulation professionals. When he first joined FINRA (then NASD) in 1998, he served as Counsel to Chairman and CEO Frank Zarb.

Prior to joining FINRA, Mr. Andrews spent eight years at the U.S. Securities and Exchange Commission. During this time, he worked in the Division of Market Regulation and the Office of the General Counsel. In these capacities, he led the international affairs office in Market Regulation, analyzed various legal and policy issues concerning the structure of securities markets, market intermediaries, and dispute resolution. Prior to the SEC, Mr. Andrews spent four years in private legal practice in Washington, DC.

Paul P. Andrews Vice President and Managing Director of FINRA’s International Affairs Department

BIOGRAPHY

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2013 IFIE/IOSCO INVESTOR CONFERENCE - DELIVERING DYNAMIC FINANCIAL C APABILIT Y20

BIOGRAPHY

Patrick Armstrong works in the Investment and Reporting division of the European Securities and Markets Association (‘ESMA’), where he is responsible for Financial Innovation and Investor Education.

Prior to joining ESMA in 2012, Patrick spent the prior 12 years as the Co-Head Global Investment Risk Management for State Street Global Advisors. He did his graduate work in Economics at The University of Michigan. He has earned the CFA, FRM and PRM certifications.

Patrick K. Armstrong ESMA


BIOGRAPHY

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Patricia Bowles is the Director of Communications and Education at the BC Securities Commission, reporting to the Chair and CEO.

The BC Securities Commission is an independent government agency that regulates and enforces the rules for the securities industry and protects investors from fraudulent, unfair and improper practices.

Patricia oversees the Commission’s investor education and corporate communications programs. A central focus of its investor education program is InvestRight.org, a consumer friendly website that provides tools and content to protect investors and to help investors make the right investment decisions.

Most recently, the BCSC has launched a multifaceted three year Be Fraud Aware campaign aimed at Canadians 50+ in Chinese, Punjabi and English.

This campaign has won the International Association of Business Communicators’ Bronze, Silver and Gold Quill Award, which it will receive in New York at the gala awards night, June 25.

Prior to joining the Commission in 2006, Patricia held senior executive positions with TELUS and Westcoast Energy (now Spectra Energy Corp). She has provided advice to both federal and provincial government officials. Before moving to BC in 1994, Patricia was an owner and director of McLaren McCann Advertising in Toronto.

Most recently, Patricia was a senior consultant for BC’s Ministry of Attorney General providing advice for high profile trials in BC’s Supreme and Provincial courts.

Patricia Bowles Director of Communications and Education at the BC Securities Commission


BIOGRAPHY

Alparslan Budak Assistant Secretary GeneralThe Association of Capital Market Intermediary Institutions of Turkey

Alparslan Budak graduated from the Bosphorus University in Istanbul with a BA degree in Business Administration in 1993. In 1995, he received his MSc degree in Money, Banking & Finance from the University of Birmingham in the UK.

Between 1993 and 2001, Mr. Budak held various positions at the Research, Asset Management, International Business Development and Corporate Finance departments at Demir Investment, a prominent investment bank in Turkey. During his term, he produced research reports on various topics and industries, managed equity mutual funds, established brokerage firms in Romania and Bulgaria and took part in several IPO and M&A projects.

He joined the Association in 2001 and is currently in charge of the Research & Statistics, International Relations, Public Relations and Information Technology departments.


BIOGRAPHY

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Jeremy Burke Associate Economist at RAND, Director of RAND’s Behavioral Finance Forum, Associate Director of RAND’s Center for Financial and Economic Decision Making

Jeremy Burke is an Associate Economist at RAND, Director of RAND’s Behavioral Finance Forum, Associate Director of RAND’s Center for Financial and Economic Decision Making, and a professor in the Pardee RAND Graduate School. His main fields of research are information and behavioral economics, with a particular focus on how people gather and use information to make economic and financial decisions. His recent research has examined the impact of financial literacy and social acceptance on the decision to strategically default on one’s mortgage; whether financial literacy and financial decision-making can be improved by providing information sequentially rather than all at once; and how reliance on financial advice (particularly biased advice) is influenced by financial literacy. Currently, he is examining how individuals make investment decisions in defined contribution plans, developing and evaluating novel programs designed to improve financial capability amongst the economically vulnera-ble, and designing soft-commitment savings products to try to promote healthy savings behavior.


BIOGRAPHY

A CFA charterholder since 2002, Randy Cass is President of Orchard Asset Management and the host of BNN’s Market Sense news show. He founded First Coverage in 2006, a financial services software company that was acquired by London-based YouDevise in 2011. He began his career as a derivatives trader at TD Securities and then managed portfolios at the Ontario Teachers’ Pension Plan. He holds an MBA from the Richard Ivey School of Business at the University of Western Ontario, and also earned a law degree from the University of Toronto. Randy has been a frequent media commentator for The Wall Street Journal, Barrons, The New York Times and National Post. Randy joined the Society’s board in 2011.

Randy Cass President of Orchard Asset Management and the host of BNN’s Market Sense


BIOGRAPHY

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Dr. Catherine Chandler-Crichlow is the Executive Director of the Centre of Excellence for Financial Services Education. She has over 30 years experience in human capital development with a focus on executive and leadership development; curriculum development; technology-mediated distance learning and program evaluation.

She has consulted to international agencies such as the World Bank, the central banks of Brazil, Malaysia, Poland, Singapore and Trinidad & Tobago as well as with the Securities and Exchange Commission of Malaysia. Her extensive experience in the private and public sectors focused on institutional change and staff development that were aligned to the strategic directions of the organizations. She has conducted high-level needs analyses both at sector-wide and organizational levels for the development of integrated education and training curricula designed to meet the learning needs of diverse stakeholder groups.

Dr. Chandler-Crichlow worked as an Associate Vice President – Education and Training at TD Bank Financial Group where she had responsibility for the design, de-velopment, delivery and evaluation of human capital development programs for the firm.

She is an author on human capacity development and a frequent speaker on human capacity development at international conferences and sits on the board of the not-for-profit organization, Arts for Children and Youth (AFCY), the provides after-school programming for kids in disadvantaged communities of the Toronto region.

Dr. Catherine Chandler- Crichlow Executive DirectorCentre of Excellence in Financial Services Education


BIOGRAPHY

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After speaking and presenting his award winning lecture Funny Money to over 350,000 high school students in partnership with the Investor Education Fund and IIROC, James Cunningham has gained valuable insight into how to effectively communicate the right financial habits and knowledge to today’s youth. His humour and delivery form a deep connection with the audience which results in increased retention and comprehension, and his Funny Money presentation is one of the most unique and ground-breaking initiatives in the financial literacy movement. Simply put, it has been proven to work because it affects kids at a level that goes far beyond academic learning.

James will also provide valuable insight into how IEF and IIROC are using social media such as Facebook and Twitter to extend the conversation and make financial literacy more accessible to today’s teens than ever before.

The Funny Money lecture has won several awards for IEF and IIROC including recognition in 2011 at the International Chamber of Commerce awards in Mexico City. James has also been awarded the title of “Canadian Campus Lecturer of the Year” two years in a row.

James Cunningham Funny Money


BIOGRAPHY

Kathryn Edmundson is Executive Director of the Secretariat for the International Forum for Investor Education (IFIE), based in New York City (US).

In addition to her work with IFIE, she coordinates financial literacy resources and networking technology for women, young people, Spanish speakers and those with financial challenges based on life crises such as job loss, disability, death in the family, natural or manmade disaster for the National Association of State Treasurers (NAST) Foundation (US) and the financial literacy partnership between NAST Foundation and Mexican State Treasurers. She also develops leadership skill building training and coaching to strengthen professional talent available to civic and community building organizations in the US and across jurisdictions.

Ms. Edmundson was the Executive Director of the Bond Market Foundation from 1999-2008 and SIFMA Foundation for Investor Education Team leader (2009-2010) for financial literacy and investor education initiatives for SIFMA and affiliates world-wide, developing multi award winning web based initiatives such as www.investinginbonds.com; www.investinginbondsEurope.org; and www.tomorrowsmoney.org; and responsible for facilitation of the introduction of bond portfolios into the Stock Market Game (SMG).

Earlier in her career, Ms. Edmundson served at the Rockefeller Foundation; was Special Assistant to the President at New York University (including a portfolio of European and African academic programme development) and President of the CBS Broadcast Network Foundation and responsible for accessible technologies operations for the Network, such as closed captioning and video description.

Ms. Edmundson was educated at Harvard University.

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Kathryn Edmundson Executive Director of the Secretariat for the International Forum for Investor Education (IFIE)


Marc Flynn Senior Director, Regulatory Relations and Credentialing for CSI-Moody’s Analytics

Marc Flynn, is Senior Director – Regulatory Relations and Credentialing for CSI-Moody’s Analytics. CSI is the exclusive educational provider and examiner for the securities industry in Canada. For the past 12 years, Marc has managed CSI’s relationships with Canadian and international regulators regarding educational proficiency standards for aspiring and industry professionals. Previously Marc led international development projects in Eastern Europe, Africa and Asia in the areas of capital markets and privatization. Marc holds a Bachelor of Economics from the Université de Montréal (Canada) and an MBA from the Ivey Business School (Canada).

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BIOGRAPHY


BIOGRAPHY

Tom Hamza is the President of Investor Education Fund (IEF), one of Canada’s leading authorities on financial literacy and research.

Prior to joining IEF in 2006, Hamza served as Vice-President of Financial Services and Chief Compliance Officer for Futura Financial (formerly KidsFutures) and as a strategy consultant to some of the largest Canadian and international financial services companies at Deloitte and A.T. Kearney.

Under his direction, IEF has conducted extensive research into the financial behaviour of Canadians and adopted new communication methods to address diverse learning needs. With his leadership, the traffic to IEF’s website GetSmarterAboutMoney.ca and other online content has increased from 190,000 to 1.8 million visits per year.

One of his most impactful initiatives was leading the effort, along with the Ontario government, to add financial instruction to this province’s school curriculum from grades 4-12.

Tom Hamza President, Investor Education Fund

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BIOGRAPHY

Billy J. Hensley, Ph.D. Director of Education for the National Endowment for Financial Education® (NEFE®)

Billy J. Hensley, Ph.D. is the Director of Education for the National Endowment for Financial Education® (NEFE®) where he oversees the grants and research department for the foundation. Hensley joined NEFE in 2010 and has since managed a national teacher professional development enterprise and several financial literacy initiatives that seek to increase the financial well-being of all Americans through the advancement of new perspectives, research, evaluation, education, and trends in personal finance. Prior to joining NEFE, Hensley was a Research Fellow at the University of Cincinnati, and has held positions at KnowledgeWorks Foundation, Ohio College Access Network, Hiram College and Union College. His primary research interests are interpersonal growth and development, teacher professional development and assessment, the socio-cultural influences on behavioral choices, program evaluation and curricular design, and the facilitation of social change through philanthropy. Hensley is the recipient of the Rising Star Alumni Award from Union College (KY), where he earned a BS in Psychology and an MA in Education; he also received the Outstanding Doctoral Student of the Year Award in Educational Studies from the University of Cincinnati where he earned a PhD.

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BIOGRAPHY

Michael C. Herndon joined the U.S. Commodity Futures Trading Commission in December, 2011 as Consumer Outreach Officer. In this role, he oversees the agency’s consumer outreach and financial literacy efforts.

Prior to CFTC, Michael served as Manager, Financial Security for AARP where he managed financial education programs, led institutional outreach campaigns, and established and strengthened corporate, government, and nonprofit relationships.

Before that, Michael was Director, Public Affairs for Certified Financial Planner Board of Standards. During his service, he oversaw the organization’s Washington, DC presence including government relations, public policy, and consumer education outreach. Michael came into this position after serving as Manager, Government Relations for the International Association for Financial Planning (IAFP).

Michael earned a Bachelor of Science in Business Administration from the University of Tennessee and a Master of Public Administration from Georgia State University where he received the Dan Sweat Scholarship for Academic Excellence.

Michael Herndon Consumer Outreach Officer, U.S. Commodity Futures Trading Commission

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Heslam Ibrahim Advisor to the Chairman for Technical Office and Investor Awareness for EFSA

Hesham Ibrahim is the Advisor to the Chairman for Technical Office and Investor Awareness for EFSA, the financial supervisory authority for all non-banking institutions in Egypt. He has also acted as the IFIE MENA secretariat since its inception.

He is the founder of www.iinvest.org.eg, the first investor education website in Egypt. He has published several educational books. Prior to joining EFSA, he worked as the Chief of Staff for the Capital Market Authority in Egypt, was a member of several committees and associations for Capital Market Development and regulation, and was the senior advisor on financial and capital market development projects in Egypt funded by USAID.

He has had several years of work experience in brokerage firms and financial institutions in the U.S.

BIOGRAPHY

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BIOGRAPHY

Eugene Jooste Chief Operating Officer and Company Secretary for ASISA

Eugene Jooste is the Chief Operating Officer and Company Secretary for ASISA, the Association for Savings & Investment of South Africa and is part of the executive team responsible for the strategic direction of ASISA. He is responsible for the management of the business including IT, disaster recovery and business continuity planning, human resources, office management, accounting and company secretarial functions. He is involved with the Technical & Operations Board Committee and its structures and also provides support to Senior Policy Advisors on all committee structures. Mr Jooste represents ASISA on the State Advisory Committee, the Clearing and Settlement Advisory Committee, the Financial Sector Contingency Forum and the Financial Industry Standards Association.

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Barry LaValley is the Founder of The Retirement Lifestyle Center, and a leading educator and authority on the lifestyle transition to retirement for North Americans. The Toronto Sun called Barry “Canada’s self-help retirement Guru” (April 18, 2007) and he has been widely quoted in the Canadian media on retirement transition issues.

Barry works with individuals, organizations, employers and associations to help them understand and plan for their retirement life. His list of clients has included several major financial institutions in both Canada and the U.S. He has served as Special Consultant on Retirement for The Scotiabank Group of Companies .

LaValley calls the retirement life phase “Prime Time” and has developed programs that will help aging boomers clarify their vision of the future. His company has provided retirement lifestyle planning education, workshop and printed material for the past ten years and he has spoken to tens of thousands of pre-retirees in his popular retirement planning workshops.

Barry has been an active researcher on the topic of retirement transition and has combined his research with a team of professionals on both sides of the border. His extensive work with pre-retirees has given him unique access to the concerns and issues faced by aging boomers as they look at retirement.

In 2000, Barry was named to the Retirement Education Committee of the National Endowment for Financial Education in the U.S. and helped author its report on communicating retirement issues to the general public. This document was considered one of the original outlines of the wealth management approach to client planning. He is also an instructor with the Certified Senior Advisor program in Canada and helps companies, business owners and individual advisers understand how to communicate more effectively with their aging clientele.

In 2002, Barry helped author the book “Your Clients for Life” along with U.S. authors Mitch Anthony and Carol Anderson. This book was designed to help advisers understand the life-transition approach to financial planning and how to help clients understand the financial implications of their life transitions such as retirement. He followed up this book with his own adviser book on the subject entitled “Put the Life Into Your Practice” in 2005.

In addition to his retirement work, Barry is considered a leading authority on client communications strategies through his “Right-Brain Adviser” programs. He has de-livered these programs in Canada, the U.S., Great Britain, Hong Kong and Mainland China over the past year.

Barry lives in Nanaimo BC with his wife Melissa and son Peter.

Barry LaValley President, The Retirement Lifestyle Center

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BIOGRAPHY


BIOGRAPHY

Ana Claudia Leoni joined ANBIMA 8 years ago, when she was in charge of the Association’s Institutional Communications area. Currently, she is responsible for the Education area, which includes Investor Education, Certification and Training Programs. She is a member of National Financial Education Committee (CONEF) and of the Brazilian Financial Education Association (AEFBrasil). Previously, she had worked for 14 years in financial institutions, in areas including private banking, product development and communication. She earned a bachelor’s degree in Social Communication from the University of São Paulo and an MBA in Services Marketing from ESPM (School of Higher Education in Advertising and Marketing).

Ana Claudia Leoni ANBIMA

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Rudy Luukko Editor, Investment and Personal Finance, of Morningstar Canada

Rudy Luukko is editor, investment and personal finance, of Morningstar Canada, an investment-research firm whose parent company is Chicago-based Morningstar Inc. Based in Toronto, his roles include editor and writer for Morningstar.ca and co-brand retail sites, co-editor of the equity-data newsletter Morningstar CPMS Quarterly, manager of a team of contributing writers, and chair of the company’s annual investment conference. He regularly serves as a resource for news media, and is a columnist on mutual funds for the Toronto Star, Canada’s largest-circulation daily newspaper. A veteran financial journalist, he has written over the years for numerous general-interest, trade and institutional publications in Canada and the U.S., and has co-authored courses for Canadian financial advisors. He is a bachelor of journalism graduate of Carleton University and holds a certified investment manager (CIM) designation.

BIOGRAPHY

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BIOGRAPHY

Lewis “Lew” Mandell, Ph. D. is Professor of Finance Emeritus and former Dean of the School of Management at SUNY - Buffalo. He has also served as Dean of the Business School at Marquette University and, most recently, as the Kermit O. Hanson Professor of Finance and Managerial Economics at the University of Washington’s Foster School of Business in Seattle, from 2008 to 2011. He is currently a Senior Fellow in the Aspen Institute’s Initiative on Financial Security in Washington, DC.

Lew has devoted his career to the study of consumer financial behavior, attitudes and literacy. Best known in recent years for his work on the financial literacy of young Americans, he has demonstrated rather conclusively that financial education, as currently administered in the classroom, does not appear to have any lasting impact on financial literacy.

He began his academic career at the University of Michigan’s Survey Research Center where he ran the nationwide Survey of Consumer Finances (now run by the Fed) and wrote the first of his twenty one books (including three on credit cards). Lew has also been Professor of Finance and Political Science (and Associate Dean) at the University of Connecticut and has been a Visiting Professor at Tel Aviv and Peking Universities. In the late 70’s he served at Director of Economic Research for the U.S. Comptroller of the Currency in Washington, D.C. He was the founding editor of Financial Services Review, the leading academic journal in the area of personal financial management.

In 2004 his work in financial literacy was recognized by his receipt of the William E. Odom Visionary Leadership Award, the highest national award in financial literacy. He won the State University of New York’s Chancellor’s Award for Outstanding Teaching in 2008

Lewis Mandell, Ph.D. Professor of Finance Emeritus and former Dean of the School of Management at SUNY

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Nick Maynard is the Director of Innovation for Doorways to Dreams (D2D) Fund where he leads the Financial Entertainment (“FE”) project—a library of seven, award-winning financial literacy casual video games, including Celebrity Calamity Mobile, D2D’s newest title for the iPlatform—as well as D2D’s work exploring the application of “gamification” to financial capability. Nick is the lead author of the recently-released RAND Working Paper, “Can Games Build Financial Capability?” which summarizes research findings to-date about the impact of FE games. He holds both a Masters in Business Administration and a Masters in Public Policy from Harvard University; he also holds a BSE in Operations Research from Princeton University. Before joining D2D in 2006, Nick spent over 10 years providing operational strategy consulting to Fortune 1000 clients with Deloitte Consulting and Braxton Associates.

D2D is a national nonprofit whose mission is to strengthen the financial opportunity and security of low to moderate income (“LMI”) consumers by innovating, incubating and stimulating new financial products and policies. D2D and our partners have launched financial capability-building innovations offering US Savings Bonds at tax-time (Bonds Make it Easy), prize-linked savings accounts (Save to Win), and creating mobile apps to improve financial access and capability (MyMoneyAppUp and FinCapDev).

Nick Maynard Director of Innovation for Doorways to Dreams (D2D) Fund

BIOGRAPHY

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BIOGRAPHY

Mr. Greg Medcraft was appointed Chairman of ASIC on 13 May 2011.

He joined ASIC as a Commissioner on 2 February 2009. Prior to joining ASIC, Greg was Chief Executive Officer & Executive Director at the Australian Securitisation Forum (ASF).

Greg spent nearly 30 years in Investment Banking at Société Générale in Australia, Asia, Europe and Americas. In recent years, he was the Managing Director and Global Head of Securitisation, based in New York. Prior to his roles at SG, Greg was a Chartered Accountant at KPMG.

In 2002, Greg co-founded the American Securitization Forum and was its Chairman from 2005 until 2007 when he returned to Australia.

He has also been a director on the boards of various fund management companies both in Australia and internationally.

Greg is Chairman of the Board of the International Organization of Securities Commissions (IOSCO).

Greg Medcraft Chairman, Australian Securities & Investments Commission (ASIC); Chairman of the Board of the International Organization of Securities Commissions (IOSCO)

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Ursula Menke was appointed Commissioner of the Financial Consumer Agency of Canada (FCAC) on December 3, 2007, for a five-year term. On December 3, 2012 she was reappointed for a six month term, after which she retired.

In her role at FCAC, Ms. Menke examined matters relating to federal consumer protection laws that apply to federally regulated financial institutions. She reported to Parliament through the Minister of Finance, ensuring that the FCAC achieved its mandate: to help build a fair and competitive marketplace by protecting and informing consumers of financial products and services.

She has held a variety of public service positions. Before joining FCAC, Ms. Menke served as Deputy Chief Risk Officer at Public Works and Government Services Canada (PWGSC), Head of Coordination for Sponsorship Matters at the Privy Council Office from 2004 to 2005, as Deputy Commissioner of the Canadian Coast Guard from 2002 to 2004, and Secretary General of the Canadian Radio-television and Telecommunications Commission from 1999 to 2002. Ms. Menke served as Inspector General of the Canadian Security Intelligence Service from 1992 to 1993.

In the private sector, Ms. Menke was Vice-President, Counsel and Corporate Secretary at the Metropolitan Life Insurance Company from 1993 to 1998.

Ms. Menke also held various positions in corporate and legal services with the Office of the Superintendent of Financial Institutions, in the private sector and with the Department of Finance.

Ms. Menke studied at McGill University, receiving the degrees of Bachelor of Science in 1968 and Bachelor of Civil Law in 1976. She also earned a teaching diploma from the University of Alberta in 1969.

Ursula Menke Former Commissioner of the Financial Consumer Agency of Canada (FCAC)

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BIOGRAPHY

Sujatha Sekhar Naik is the CEO of the Securities Dispute Resolution Center (SIDREC) a body corporate established under the Capital Markets and Services Act (Dispute Resolution) Regulation 2010 to act as a dispute resolution body for the capital market in Malaysia. SIDREC helps to mediate and adjudicate claims or disputes in any deal-ing or transaction involving capital market products or services between investors and SIDREC’s members, who include stockbroking companies, investment banks, futures broking companies, fund management companies and unit trust management compa-nies, among others.

Sujatha was seconded to SIDREC by the Securities Commission Malaysia (SC) to take on her appointment as CEO in March this year. She was formerly a Deputy General Manager and the Head of Investor Affairs and Complaints of the Securities Commission Malaysia (SC). She was responsible for the development and implementation of SC’s investor education strategy and the management of complaints relating to market misconduct. Her previous work in the SC has included advisory and reform work in both the General Counsel’s Office and the Corporate Finance and Investments Business Groups. Sujatha has represented the Commission as a presenter and panelist at international and domestic fora on the subject of investor education and other capital market issues. She has represented the Commission on a number of interagency committees in Malaysia and is also a member of the Advisory Board of the International Forum of Investor Education (IFIE).

Prior to joining SC in 2001, Sujatha had gained experience both in practice and as an in-house legal counsel. She obtained her degree in Law from the University of London and was called to the Bar of England and Wales in 1989 and re-qualified with the Law Society of England and Wales as a Solicitor in 1990. She was also called to the Malaysian Bar in 1998.

Sujatha Sekhar Naik CEO of the Securities Dispute Resolution Center (SIDREC)

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Richard L. Peterson, M.D.

From imaging the brains of investors to developing sentiment-based investment models, Dr. Peterson helps clients navigate emotional markets. His firm MarketPsych Data (www.marketpsychdata.com) distributes sentiment and macro-economic indices derived from social and news media text analysis through Thomson Reuters.

Clients use the sentiment data to track speculative activity in global markets and currencies and manage investment risk. Through MarketPsych, LLC (www.marketpsych.com) he trains and coaches portfolio managers and traders to improve their decision making and performance. In the educational field he has developed popular financial personality tests to help clients identify decision strengths and manage biases, published widely in academic journals including Games and Economic Behavior and Journal of Neuroscience, has written textbook chapters, and is an associate editor of the Journal of Behavioral Finance. His books “Inside the Investor’s Brain” (Wiley, 2007) and MarketPsych (Wiley 2010) were both named top financial books of the year by Kiplinger’s.

Dr. Peterson received cum laude Electrical Engineering (B.S.), Arts (B.A.), and Doctor of Medicine degrees (M.D.) from the University of Texas. He performed postdoctoral neuroeconomics research at Stanford University and is Board-certified in Psychiatry. He lives in the New York area with his family. He helps global financial professionals improve performance, manage risk, and generate uncorrelated models.

Richard L. Peterson, M.D. MarketPsych Data

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AND INVESTOR EDUC ATION PROGRAMMES: CHANGING BEHAVIOUR ACROSS LIFE STAGES 43

BIOGRAPHY

Sunita Sah is an Assistant Professor of Business Ethics at Georgetown University and a Research Fellow at the Ethics Center of Harvard University. She holds a PhD in Orga-nizational Behavior from Carnegie Mellon University, an MBA from London Business School, an MB ChB (UK equivalent to the US MD) in Medicine and Surgery, and a BSc in Psychology from the University of Edinburgh.

Sunita’s research focus is on organizational corruption, business ethics, influence and advice – in particular how professionals or leaders who give advice alter their behavior as a result of conflicts of interest and disclosure policies. Sunita incorporates organizational behavior, psychology, and behavioral economics theory to study different aspects of giving, and reacting to, biased or over-confident advice. Her work has been published in the Journal of Personality and Social Psychology, Academy of Management Proceedings, Journal of the American Medical Association, American Economic Review, Organizational Behavior and Human Decision Processes, and Social Psychological and Personality Science. She also has an invited revision from Psychological Science. Sunita’s work has been featured in the Financial Times, Forbes, The Wall Street Journal, Bloomberg BusinessWeek, Boston Globe, National Public Radio as well as other international outlets.

Sunita has won best paper awards from the Academy of Management, Society of Business Ethics, London Business School, Society of Judgment and Decision-Making and Society of Personality and Social Psychology, and scholar awards from Harvard University, the International Association of Conflict Management and Dispute Resolution Center (Kellogg School of Management), the Medical Research Council (UK), and the National Science Foundation (US).

Prior to joining Georgetown faculty, Sunita held academic positions at the Fuqua School of Business at Duke University and the Edmond J. Safra Center for Ethics at Harvard University. Prior entering academia, Sunita worked as a Medical Doctor for the UK’s National Health Service, before going on to be Senior Consultant and European Marketing Director at IMS Health Consulting, and then Managing Director [CEO] of Organisational Dynamics Ltd.

Sunita Sah Assistant Professor of Business Ethics at Georgetown University and a Research Fellow at the Ethics Center of Harvard University


Mr. Toshihiko Sasaki is Executive Director of the Japan Securities Dealers Association (JSDA), leading Financial & Securities Education Support Headquarters within the JSDA. He joined the JSDA as Executive Advisor in 2008, then assumed his current position in July 2011.

Mr. Sasaki began his career with the Bank of Japan (BOJ) in 1977. After working at BOJ’s New York office, he was appointed General Manager of the International Department in 1999. In June 2002, he took up the post of Chief Representative of the BOJ Hong Kong Representative Office. He became Director-General of the Internal Auditors’ Office in March 2005 and Director-General of the Operations Department in May 2006.

During his years at BOJ, he was seconded to the International Monetary Fund for the period from 1985 to 1988 as an economist. Also in January 2004, he moved to the Ministry of Foreign Affairs and was assigned the position of Chief Secretary to the Minister of Foreign Affairs.

Born in 1953, he studied Economics at Tokyo University and holds a BA in Economics from that university. He was also educated at Duke Graduate School.

Toshihiko Sasaki Executive Director Japan Securities Dealers Association

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Lori J. Schock Director Office of Investor Education and AdvocacyU.S. Securities and Exchange Commission

Lori J. Schock, Director Office of Investor Education and Advocacy U.S. Securities and Exchange Commission

The Office of Investor Education and Advocacy serves individual investors, ensuring that their problems and concerns are known throughout the SEC and are considered when the agency takes action. Investor assistance specialists within the Office answer questions, analyze complaints, and seek informal resolution of investors’ problems. The Office also publishes free brochures and other educational materials on numerous investing topics.

Ms. Schock returned to the Commission in 2009 as the Director of the Office of Investor Education and Advocacy. In that capacity, she focuses primarily on investor education initiatives and provides advice on policy matters relating to investor protection. Ms. Schock joined the Commission in 2001 as a Staff Attorney and held various positions of increasing responsibility during her tenure including Acting Director, Deputy Director and Special Counsel to the Director.

Before returning to the Commission, Ms. Schock worked for FINRA’s Office of Investor Education and the Center for Audit Quality. She received her Juris Doctorate and Master’s of Taxation from the University of Akron and her Bachelor of Arts from Furman University.

Telephone: (202) 551-6398 and toll-free 1-800-732-0330

Website: www.sec.gov


NATIONAL MANDATES

• Chairman of the Financial Services and Markets Authority (FSMA), Belgian Financial Regulator; Member of IOSCO, ESRB, ESMA and EIOPA

• Chairman of the Belgian PCAOB, i.e. the High Council for the Economic Professions (CSPE/HREB)

INTERNATIONAL MANDATES

• Member of the Chairs’ Committee of the European Securities and Markets Authority (ESMA)

• Chair of the Investor Protection and Intermediaries Standing Committee (IPISC) established by ESMA

• Member of the European Systemic Risk Board (ESRB)

• Member of the IOSCO Executive Committee

• Member of the NYSE Euronext College of Regulators

ACADEMIC FUNCTIONS

• Part-time Lecturer (Professeur) at the ULB (Free University of Brussels) Was professor at other Belgian and Foreign Universities and taught on various financial and legal topics

• Author or co-author of more than 250 papers, publications and contributions to various national and international colloquia and conferences and more particularly related to all sectors of relevance for the FSMA activities

Jean Paul Servais Chairman of the Financial Services and Markets Authority (FSMA of Belgium

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BIOGRAPHY

Mr. Amarjeet Singh, Chief General Manager with Securities and Exchange Board of India (SEBI), Mumbai has extensive experience in regulation and supervision of secu-rities markets spanning over last 18 years. Presently, apart from working as Executive Assistant to Chairman, SEBI, he heads the Office of International Affairs of SEBI. In his earlier stint, he headed the Northern Regional Office of SEBI at New Delhi from 2005 to 2009. During this period, he was instrumental in launching various financial literacy initiatives in north India specially for schools and colleges.

Mr. Singh is involved in various international regulatory initiatives. Currently he is the Vice-Chair of the IOSCO Assessment Committee. Earlier he was also the Vice Chairman of the Implementation Task Force of IOSCO. The Task Force came out with a comprehensive revision of IOSCO Principles of Securities Regulations and Method-ology for assessing the implementation of the said Principles. He has also been closely associated with the Financial Sector Assessment (FSAP) of India.

Apart from an MBA, he holds a Masters degree in International Affairs (Economic Policy Management) from Columbia University, NY, USA. He is also a recipient of Rotary Foundation Educational Award, 2000 for promoting leadership development and international understanding by Rotary International, USA.

Amarjeet Singh Chief General Manager with Securities and Exchange Board of India (SEBI)


Ranjit Ajit Singh was appointed Executive Chairman of the Securities Commission Malaysia (SC) effective April 2012. He was previously Managing Director of the SC and has over 20 years’ experience in the field of finance and securities regulation.

Ranjit has played a key role in international securities regulatory policy work. He is a member of the governing Board of the International Organisation of Securities Commissions (IOSCO), the global body of securities regulators. He is also the Chairman of IOSCO’s Emerging Markets Committee (EMC) with 86 members world-wide. As Chair, Ranjit will also represent the EMC at the Financial Stability Board.

Ranjit currently chairs the Securities Industry Development Corporation, the Malaysian Venture Capital Development Council and the Capital Market Development Fund. He is also the Vice-Chairman of the Asian Institute of Finance and a member of the Board of the Labuan Financial Services Authority and the Financial Reporting Foundation.

Ranjit is trained as a financial economist and accountant. He holds a Bachelor of Economics (Honours) degree and a Master of Economics degree in Finance from Monash University Melbourne. He was also conferred the degree of Doctor of Laws honoris causa by Monash University Melbourne. He is a fellow of CPA Australia. He has had prior working experience in Australia and Malaysia in academia, consulting and accounting.

Ranjit Ajit Singh Executive Chairman of the Securities Commission Malaysia (SC); Chairman of IOSCO’s Emerging Markets Committee (EMC)

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BIOGRAPHY


Kusumaningtuti Sandriharmy Soetiono

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.

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

BIOGRAPHY


Charles Sousa — Minister of Finance

Political Career• MPP for Mississauga South, 2007 – present• Minister of Finance, February 2013 - present• Member of Treasury Board and Management of Cabinet, 2011 – present• Minister of Citizenship and Immigration, October 2011 – November 2012• Minister Responsible for the Pan/Parapan American Games,

April 2012 – November 2012• Minister of Labour, December 2010 – October 2011

Education• MBA Richard Ivey School of Business, 1994• Fellowship, Institute of Canadian Bankers, 1991• Honours BBA, Wilfrid Laurier University, 1982

Personal and Family Life• Married (Zenny) with three children• Prior to entering politics, worked at Royal Bank of Canada (RBC) Financial Group

for more than 20 years. Among his roles were Director of Business Development - Commercial Financial Services, Director of Government & Community Affairs promoting RBC’s strategic initiatives and Senior Manager of Marketing at RBC Dominion Securities’ head office.

Membership and Associations• Ambassador, Credit Valley Hospital Foundation• Past President, Portuguese Canadian Business and Professionals

Honours and Awards• Order of Merit from the Republic of Portugal, 2009• Queen’s Golden Jubilee Medal, 2003

Executive Biography:Charles Sousa was re-elected into the riding of Mississauga South for a second term in 2011. He was appointed Minister of Finance in February 2013. Prior to this appointment, he has served as Minister of Citizenship and Immigration, Minister Responsible for the Pan and Parapan American Games and Minister of Labour.

Prior to entering politics, Sousa worked for RBC Financial Group and served as a member of the Canadian Chamber of Commerce, the Toronto Board of Trade and as director of the America Chamber of Commerce.

Charles Sousa Ontario Minister of Finance

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Education

Mr. Stammers has his Bachelors of Arts in Economics from Connecticut College and his Masters in Business Administration from Emory University.

Designation

Awarded the CFA designation, 1997

Professional Experience

Robert Stammers, CFA, is director of Investor Education for CFA Institute. Prior to joining CFA Institute, Mr. Stammers was the principal for his founded company A2O Consulting where he consulted to aide real estate owners, lenders, and syndicators, develop and analyze structured real estate investments. There he developed strategy for obtaining debt and preferred equity capital as well as created finance related marketing materials and research papers for various clients. Mr. Stammers has authored over 100 articles on various financial and investment topics for several investment periodicals such as Forbes and Investopedia. He served as a senior equity analyst with Long Term Short Term, Inc, where he was responsible for the creation of new investment tools and instructional products to provide the revenues for two new investment education companies. As a senior executive for several institutional fund managers, Mr. Stammers was the portfolio manager for a $1 billion enhanced real estate fund, a $1.2 billion private timber fund, and several pension fund separate accounts.

Robert Stammers, CFA Director of Investor Education for CFA Institute

BIOGRAPHY


Mark Stechishin InternationalAffairs CounselInvestmentIndustry RegulatoryOrganization ofCanada (IIROC)

Mark Stechishin joined the Investment Industry Regulatory Organization of Canada in 2008 as Policy Counsel and has more recently stepped into the role of International Affairs Counsel. Prior to joining IIROC, he worked in regulatory policy at the Mutual Fund Dealers Association of Canada, the SRO for Canadian mutual funds dealers. He has also worked with Canadian and cross border industry participants and dealer fi rms in various legal and compliance roles.

He was called to the bar of Ontario in 1998 and to the bar of New York in 2001.

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BIOGRAPHY

Gary L. Tidwell is Senior Advisor, Education, Training and Regulatory Capacity Building at IOSCO (International Organization of Securities Commissions) where he leads all IOSCO global education and training initiatives. He is a member of the adjunct faculty at New York Law School and is a Visiting Professor at IE in Madrid, Spain. In 2014 he will be a Visiting Professor at the University of Michigan.

Gary has also taught at the ICMA Centre at the University of Reading, UK. Previously he was a tenured Professor of Legal Studies at the College of Charleston (South Carolina), and has been an adjunct professor at Fordham Law School, George Washington University, and the University of South Carolina.

Until April, 2013 Gary was Vice President of Investor Education – Military Financial Education Program and International Outreach at FINRA (formerly NASD). From January 2005 until September 2009 he was Vice President of International Education and Training at FINRA. In that capacity, his responsibilities included conceptualizing, designing, developing, and delivering all of the educational programs and products delivered by FINRA International and/or overseeing others in this capacity.

From January 2000 until January 2005, he was Executive Director of the NASD Institute for Professional Development. Gary joined NASD Regulation in July 1998 as Director of Neutral Management in the Office of Dispute Resolution. He was elected Vice President of NASD Regulation in December 1999.

Gary served as a member of the NASD’s National Arbitration and Mediation Committee from 1994 to 1997.

His legal career includes service with the U.S. Securities and Exchange Commission’s Division of Enforcement, and as a Colonel in the Army’s Judge Advocate General’s Corps. In 2006 he was mobilized and served two years as Professor of Law and the first Director of the Law of Armed Conflict Center at the United States Military Academy, West Point. He also served as the Senior Military Advisor to the National Military Academy Afghanistan.

Gary is the recipient of numerous teaching and research awards relating to business ethics, white-collar crime, insider trading, and professional liability. He has authored two books and 40 manuscripts, including Anatomy of a Fraud, Inside the Finances of the PTL Ministries. He earned BSBA and JD degrees from the University of Arkansas, and an LLM from New York University School of Law.

Gary L. Tidwell Senior Advisor, Education, Training and Regulatory Capacity Building at IOSCO


José Alexandre Cavalcanti Vasco e-mail: [email protected]

Academic Background

* Master of Science in Law (MSL) / Rio de Janeiro State University (2007)

* Bachelor’s degree in Law / Rio de Janeiro State University (2001)

* Master of Business Administration (MBA) / Fundação Getúlio Vargas - Rio de Janeiro (1999)

* Bachelor’s degree in Logistics / Brazilian Naval Academy - Rio de Janeiro (1990)

Professional Background

CVM (1997 to present) Joined CVM in 1997, being assigned to work at the Department of Enforcement. In 1999, began to act in the Economic Advisor of CVM’s Chairperson, becoming in 2001 Head of CVM’s Administrative/Financial Department, where developed a process of administrative reorganization.

In September 2005, became the Head of the Investor Education and Protection Office.

Main projects:

* Launch of the Advisory Committee of Education (2006), which gathered together the 8 major representative bodies of the Brazilian capital markets (SRO’s and associations of several organizations, such as: listed companies, investor relations, investment professionals, corporate governance etc.) and run joint educational projects (public and private sector) for investors, journalists, professors, judges etc.

* Launch of the new CVM Investor’s Portal (www.portaldoinvestidor.gov.br) - in Dec 2012 (first version in May 2007).

* Coordination or of the workgroup created by the COREMEC (Supervisory and Regulatory Committee of Financial Systems, Capital Markets, Private Insurance and Social Welfare) to establish a National Strategy for Financial Education (ENEF) - from 2007-2009. The ENEF was established in 2010.

* Coordination of the Brazilian program for FE in schools (2008-2011) and its pilot project for high school students (2010-2011), a large scale evaluation (approximately 900 schools) conducted by the World Bank to measure impact of financial education project on financial knowledge, attitudes, and behavior.

* Launch of the “CVMEducacional” (2012), CVM’s brand on social media (www.facebook.com/CVMEducacional, www.youtube.com/CVMEducacional; and twitter.com/CVMEducacional).

Jose Alexandre Vasco CVM Brazil

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BIOGRAPHY


BIOGRAPHY

Gerri Walsh is Senior Vice President of Investor Education at the Financial Industry Regulatory Authority (FINRA). In this capacity, she is responsible for the development and operations of FINRA’s investor education program. She is also President of the FINRA Investor Education Foundation, where she manages the Foundation’s grant making and programmatic efforts to educate and protect investors. Her work focuses especially on traditionally underinvested groups of Americans, including young adults, women, Native Americans and members of U.S. military. She joined FINRA in May 2006.

From February 2002 to April 2006, Ms. Walsh served as Deputy Director of the Securities and Exchange Commission’s Office of Investor Education and Assistance (OIEA). In that capacity, she managed the agency’s investor education program, oversaw the handling of investor complaints and questions, and advised senior agency staff on policy matters relating to investor protection. She previously worked for four years as the Special Counsel to the Director of OIEA and three years as a senior attorney in the SEC’s Division of Enforcement where she investigated and prosecuted violators of the federal securities laws. During her tenure at the SEC, Ms. Walsh received the 2004 SEC Law & Policy Award in connection with focus group initiatives for the agency’s proposed point of sale disclosure rules, the Department of Agriculture’s 2002 Honor Award of Excellence for participating on an inter-agency team that developed financial literacy programs, and the SEC’s 2001 Productivity Improvement Award as part of the team that overhauled and redesigned the agency’s Web site.

Prior to joining the SEC in 1994, Ms. Walsh was an associate with Hogan & Hartson, a Washington, D.C. law firm. She received her J.D. from N.Y.U. School of Law in 1989 and her B.A., magna cum laude, from Amherst College in 1985. She is a member of the New York and District of Columbia bars. She is on the Board of Gifts for the Homeless, Inc. (a non-profit, all-volunteer organization dedicated to clothing to the homeless in the greater D.C. area) and she also serves as Vice President for New Clothing Purchases.

Geraldine “Gerri” M. Walsh Senior Vice President, FINRA Office of Investor EducationPresident, FINRA Investor Education Foundation


Andrew Wan CFO & Senior Director (Corporate Affairs)Securities and Futures Commission (“SFC”)

Andrew Wan is the Chief Financial Officer and Senior Director (Corporate Affairs) of SFC, an independent statutory body responsible for administering the laws governing the securities and futures markets in Hong Kong. Andrew leads a team of over 150 staff members and oversees the function of Finance and Administration, Information Technology, Corporate Planning, Human Resources and External Relations. He is responsible for driving and executing corporate strategies of the Commission in improving its business capability and effectiveness.

Andrew is the Chairman of the Complaint Control Committee and a member of the Executive Committee and Investment Committee of the Securities and Futures Commission. He also served as the Chairman of the Investor Education Advisory Committee from 2011 to 2013. He is also a board member of the Investor Compensation Company Limited and the Investor Education Centre in Hong Kong.

Andrew possesses over 25 years of financial and business experience through working at leading professional firms and serving as chief financial officer of listed companies in Hong Kong and Canada. Andrew holds a Bachelor of Commerce degree and a MBA. He is a member of Canadian Institute of Chartered Accountants and a Certified Public Accountant (Practising) in Hong Kong.

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BIOGRAPHY

Edwin L. Weinstein, Ph.D., C. Psych.

Over the past 30 years, Ed has developed and run more than 600 studies relating to financial services for both public and private sector clients. Ed’s private sector clients have included most of the world’s largest banks, as well as a cross-section of Canadian insurers, mutual fund companies and securities dealers. Ed’s public sector clients have included agencies focused on diverse financial issues including: Investor education, financial consumer protection, deposit insurance, securities regulation, and professional accreditation. Ed has worked with the Investor Education Fund since July 2002 to find ways to help people make better financial decisions. Ed holds a PhD in Measurement & Evaluation (Applied Statistics) from the Ontario Institute for Studies in Education of the University of Toronto. He is also a licensed Industrial-Organizational Psychologist.Andrew possesses over 25 years of financial and business experience through working at leading professional firms and serving as chief financial officer of listed companies in Hong Kong and Canada. Andrew holds a Bachelor of Commerce degree and a MBA. He is a member of Canadian Institute of Chartered Accountants and a Certified Public Accountant (Practising) in Hong Kong.

Edwin L. Weinstein, Ph.D., C. Psych. Brondesbury Group


Susan Wolburgh Jenah is President and Chief Executive Officer of the Investment Industry Regulatory Organization of Canada (IIROC), a position she has held since the regulator was established in June of 2008.

Ms. Wolburgh Jenah was appointed President and CEO of the Investment Dealers Association of Canada (IDA) in June 2007 and was responsible for leading the merger of the IDA and Market Regulation Services Inc. (RS) to form IIROC. Before joining the IDA, Ms. Wolburgh Jenah served as Vice Chair of the Ontario Securities Commission from 2004-2007 and as Acting Chair of the Commission from July to November 2005. Prior to her appointment as Vice Chair, she served as General Counsel and Director of International Affairs, representing the Commission on various Committees of the International Organization of Securities Commissions (IOSCO).

Ms. Wolburgh Jenah has a B.A. from the University of Toronto and a J.D. from Osgoode Hall Law School (Osgoode Hall). She was called to the Bar in Ontario in 1982. In June 2004, she graduated from the inaugural Directors Education Program offered by the Rotman School of Business and the Institute of Corporate Directors (ICD) and holds an ICD.D designation.

She currently serves on the Board of Directors of IIROC, the Board of Directors of the Global Risk Institute in Financial Services, and on the advisory board of the Hennick Centre for Business and Law. She is also the Chair of the International Forum for Investor Education (IFIE). She previously served on the Board of Directors at the ICD (2004-2011), as a Director on the Commission’s Investor Education Fund (2004-2006), as a member of Canada’s Accounting Standards Oversight Council (2004-2007), on the Dean’s Advisory Council for Osgoode Hall Law School (2007-2009), and on the advisory board of the Social and Enterprise Development Innovations (SEDI) National Steering Committee on Financial Capability (2007-2010).

Susan Wolburgh Jenah President and CEO, Investment Industry Regulatory Organization of Canada (IIROC)

BIOGRAPHY

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David Jeremy Wright Secretary General of the International Organization of Securities Commissions (IOSCO)

After graduating from Worcester College, Oxford in 1974 in politics, economics and philosophy (PPE) David has worked for nearly 34 years in the European Commission from 1977- 2011. He held a variety of posts including at the beginning of his career responsibility for oil and gas data in the Statistical Office, Luxembourg (1977-1981) during the second oil crisis; energy policy coordination and modelling in the Directorate General for Energy, Brussels (1982-1987); and then industrial trade policy negotiations during the Uruguay multilateral trade round (1987-1989).

From 1989-1992 he was a member of President Delors’ “Think Tank” called the “Cellule de Prospectives” where he worked on industrial policy and wrote the first Commission document on sustainable development. In this period he co-authored a book with Professor Alexis Jacquemin on the post-1992 EU political and economic agenda called “Shaping factors, shaping actors”.

From 1993-1994 he was a member of Sir Leon Brittans’ Cabinet and worked on various aspects of trade and industrial policy, including completion of the Uruguay Round in 1994. In 1995 he became an Adviser to President Jacques Santer in his Cabinet – covering competitiveness, industrial and telecom policies, political relations with the UK and Ireland, financial services, risk capital and various other trade and foreign policy briefs.

From March 2000 – October 2010 he was first Director, then Deputy Director-General for securities and financial markets, then for all financial services policy in DG Internal Market and Services. He helped design and drive forward the Financial Services Action Plans to integrate the EU’s capital and financial services markets. He was the rapporteur for both the Lamfalussy (2000/1) and De LaRosière Committees (2008/9), chaired the Securities and Banking Committees and represented the Commission in the Financial Services Committee and in various FSB/G20 fora. He also played a leading role in the EU-US financial markets dialogue in this period.

He was the EU Visiting Fellow at St Antony’s College, Oxford until July 2011 and was a Member of the European Commission’s Task force on Greece until the end of January 2012. David Wright’s appointment as Secretary General of the International Organization of Securities Commissions (IOSCO) commenced on 15 March 2012.

BIOGRAPHY


Sung-Uk Yang, is Director of the Research and International Affairs Department at the Korea Financial Investment Association (KOFIA), and also serves as Deputy Chair of the International Investment Funds Association (IIFA).

As Director of the Research and International Affairs Department, Sung-Uk works closely with KOFIA members companies and the local policymakers to encourage greater levels foreign investment and participation in the Korean markets, and works to support local companies entering into overseas markets. His department also collaborates with the international organizations to coordinate global policy recommendations and measures.

In addition to these duties, Sung-Uk was elected to serve a two-year term as Deputy Chair of the IIFA in September, 2011.

Prior to joining KOFIA, Sung-Uk has worked in various leading securities companies in Korea; namely Samsung Securities Co., Ltd, Samsung J.P. Morgan Investment Trust Management Co., Ltd ,and Citibank.

Mr. Yang received a Bachelor of Business Administration at Korea University and an MBA at State University of N.Y., Buffalo.

Sung-Uk Yang Director, Research and International AffairsKorea Financial Investment Association

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