1 FOURTH INTERNATIONAL WHITE COLLAR CRIME INSTITUTE Hosted at the Law Offices of Berwin Leighton Paisner LLP Adelaide House CONFIRMED SPEAKERS as of August 27, 2015 October 12-13, 2015 London, United Kingdom John V.F. Brennan John Brennan is a Managing Director with Alvarez & Marsal Global Forensic and Dispute Services in Washington, D.C. A former teacher, then Senior Detective at New Scotland Yard, he advises companies, boards of directors and legal counsel on global corporate investigations, anti -money laundering, compliance, risk and other security issues. With more than 34 years of investigative experience, Mr. Brennan at A&M has recently pioneered the use of state of the art big data technology in the investigative and money laundering arenas. He is renowned for his innovative and proactive approach to even the most complex of issues his clients face. Notably, he led a landmark, three-year investigation for a European based multi-national corporation which was recognized by the National Law Journal of America as one of the top ten litigation successes of the year. Mr. Brennan earned a bachelor s degree in Education from Exeter University and latterly was awarded a Bramshill Fellowship for his police work combatting Jamaican organized crime gangs ( The Posse s ). He has delivered numerous risk-focused anti-bribery and corruption, anti-fraud, anti-money laundering anti -terrorism and governance training programs to major corporations and governments. He is a frequent speaker on the topics of money laundering, corporate fraud, risk, compliance and international cross border crime. Roger Burlingame Roger Burlingame focuses his practice on white-collar criminal defense and internal investigations. Mr. Burlingame has substantial experience in U.S. government investigations involving the U.K., Europe, the Middle East and Africa. His matters include high-profile FCPA investigations as well as investigations into the manipulation of LIBOR and the forex market, violation of U.S. sanctions, and evasion of U.S. taxes using international tax havens. Mr. Burlingame served as Chief of the Public Integrity Section and Senior Trial Counsel in the Business and Securities Fraud Section of the U.S. Attorney s Office for the Eastern District of New York, where he supervised white-collar criminal matters. Michael Caplan QC Michael Caplan QC is a well-known and highly respected solicitor practising in the areas of domestic and international, criminal and regulatory law. He is one of the few solicitors to have been appointed QC. He has been a partner at Kingsley Napley for over 30 years. Michael has been described as one of the most formidable lawyers of his generation. He has been featured as the only criminal solicitor in the Times 100 most powerful lawyers in the UK. He is a member of the Sentencing Council and the Criminal Procedure Rule Committee. Lord Alex Carlile of Berriew CBE QC Lord Carlile CBE QC is a Member of the House of Lords having served as a Liberal Democrat Member of Parliament from He was the Independent Reviewer of terrorism legislation between 2001 and He has a strong interest in cyber-related issues especially regarding National Security. Michael Cherkasky Michael Cherkasky is Executive Chairman of EXIGER and the Monitor of HSBC. A pioneering figure in the world of financial crime, fraud, corruption and money laundering enforcement and compliance, Mr. Cherkasky has held senior leadership roles with some of the most esteemed law enforcement agencies and multinational corporations in the world. Mr. Cherkasky co-founded EXIGER with President & CEO Michael Beber. He is based in EXIGER s New York office where he is responsible for the day-to-day operations of the HSBC monitorship and EXIGER s ongoing engagement with financial institutions and multinational corporations to implement sustainable, global compliance programs. James M. Cole Jim Cole, a partner at Sidley Austin LLP and former Deputy Attorney General of the United States, focuses his practice on the full range of federal enforcement and internal investigation matters, with a particular emphasis on
2 cross-border and multi-jurisdictional matters. He has extensive experience overseeing sensitive and controversial matters, both within the government and while in private practice. Jim served as the Deputy Attorney General of the United States from January 2011 until January In that role, Jim worked closely with Attorney General Eric H. Holder Jr. to formulate and implement key policies and programs for the Department, and was responsible for the day-to-day supervision and direction of all organizational units of the DOJ. Among his key achievements, Jim enhanced coordination between the DOJ and financial regulatory agencies, including the SEC and the IRS, and between DOJ and overseas law enforcement, regulatory and policy-making agencies in the UK, France, Germany, Switzerland and other countries. He also worked closely with the Attorney General to formulate high-profile initiatives, including the federal response to state decriminalization of marijuana and the smart on crime program to reduce the non-violent prison population and the large proportion of African Americans in federal prisons The Honorable Bernice B. Donald Jennifer Downing Matthew E.S. Esworthy Matthew A.S. Esworthy is a partner in the Shapiro Sher Guinot & Sandler litigation department. He concentrates on general civil and criminal litigation, including white collar criminal defense, complex commercial litigation, securities litigation, partnership disputes, employment law, and appeals. In recognition of his accomplishments, Martindale-Hubbell awarded Mr. Esworthy its AV Peer-Review Rating, the highest rating available. An active member of numerous bar associations, Mr. Esworthy also serves as co-chair of the Cyber Crime Committee of the American Bar Association's Criminal Justice Section. Jonathan Fisher QC Jonathan Fisher is a practising barrister at Devereux Chambers in the Temple, London specialising in cases involving financial crime and financial services. He has been a practising barrister since 1981, becoming Queen s Counsel in He is General Editor of Lloyds Law Reports: Financial Crime, a Chartered Tax Adviser and Fellow of the Chartered Institute of Taxation, accredited Trusts and Estates Practitioner, Editorial Board Member of Simon s Taxes and a member of the IBA s International Anti-Money Laundering Forum. An experienced speaker whose views are often sought by the media, the UK legal directories have described him as high-flying, a standout barrister, having great gravitas where the stakes are high, calm, sure, and deadly at spotting the weaknesses of the opponent's case, and judges defer to his knowledge. In parallel with practice, he has held academic positions at leading Universities teaching corporate and financial crime to postgraduate students. He is also listed in the UK biographical directories, Who s Who and Debrett s People of Today. Oran Gelb Oran is a partner in the firm s Corporate & Commercial Disputes group. He has acted on a wide variety of contentious and regulatory matters, including domestic and cross-border litigation, internal and regulatory investigations, financial crime matters, arbitrations, freezing injunctions and contentious insolvencies. Oran has extensive first-hand knowledge of retail and investment banks, having not only acted for a wide variety of banks but also undertaken three secondments to RBS, Barclays and most recently, Morgan Stanley. Jason P. Gonzalez Jonathan Grimes Jonathan joined Kingsley Napley in 2002 and became a partner in He is a criminal lawyer specialising in serious and complex cases, many of an international nature. He has considerable expertise in cases involving alleged financial wrongdoing with experience of investigations by SFO, FCA, HMRC, BIS and police fraud squads. Many of these cases also involve overseas regulators. Recent work includes: representation of bank employee in compulsory interviews conducted by the SFO; representation of fund manager in compulsory interviews conducted by the FCA; representation of traders in company interview into alleged wrongdoing in FX trading; successful appeal of a refusal to discharge a Financial Restraint Order. Nicholas C. Harbist Mr. Harbist is a partner at Blank Rome LLP. Mr. Harbist represents clients in many industries in matters related to healthcare fraud and abuse, defense contract fraud, securities and tax fraud, environmental crimes, antitrust and FCPA crimes, export crimes, and general business fraud. Mr. Harbist is a former assistant U.S. attorney for the Eastern District of Pennsylvania ( ), where he served as the special fraud coordinator; and special assistant U.S. attorney involving litigation under the Classified Information Procedures Act.
3 Nichola Higgins Ms. Higgins is a barrister at Doughty Street Chambers. Ranked as an 'up and coming' junior by Chambers and Partners, and chosen by Legal Week as one of the rising stars of the junior Bar, Nichola is a specialist criminal advocate regularly instructed in high profile and complex matters. Nichola has a significant experience of white collar crime with a particular expertise in serious fraud and corruption. She lectures regularly on the Bribery Act 2010, has co-authored articles on the subject (including Archbold News, June 2010 and July 2011 editions) and has contributed to Westlaw UK Insight (the online legal encyclopaedia) on bribery and corruption. She has equally wide experience of cases involving serious violence, organised crime and extradition. Candy Lawson-Keating Dave Loxton Sonja Maeder Morvant Sonja Maeder Morvant joined LALIVE in She specialises in domestic and international litigation, in particular white collar crime, mutual assistance in criminal matters, asset tracing, the law of armed conflicts, as well as general commercial litigation. She primarily advises and represents clients in complex multi-jurisdictional proceedings. Sonja Maeder Morvant is an Officer of the Business Crime Committee of the International Bar Association (IBA) and a member of the European Criminal Bar Association (ECBA). She is also a member of the Geneva Bar Association and the Swiss Bar Association (SAV/FSA). Since 2008, she has been a guest lecturer in economic criminal law as part of the Executive MBA programme of the University of Geneva. Sonja Maeder Morvant is ranked among the best Investigations Lawyers in Switzerland by the International Who's Who of Investigations Lawyers, and among the best Business Crime Defence lawyers in Switzerland by the International Who s Who of Business Crime Defence Lawyers. Tori Magill Tori is a Tax Director at Pinsent Masons specialising in criminal investigations, civil fraud, and avoidance investigations. Tori also has litigation and dispute resolution expertise, with experience gained in HMRC's highest profile investigation roles. As a former Group Leader in HMRC's Specialist Investigations directorate, Tori was responsible for HMRC's most complex fraud and avoidance investigations and litigation. Previously Tori was an HMRC Criminal Investigations Team Leader specialising in Organised Crime and technical tax investigations, and was HMRC's policy expert for Criminal Investigations, Civil Fraud Investigations and the interface between criminal and civil work. Tori designed and implemented the Contractual Disclosure Facility for civil fraud investigations under Code of Practice 9, and held the policy portfolio for HMRC's Offshore Disclosure facilities. Prior to joining Pinsent Masons, Tori worked in a top 10 accounting firm where she lead their Tax Litigation and Dispute Resolution Team, and headed up the firm's Tax Transparency policy. Tori is the LexisNexis Litigation and Disputes Expert and writes regularly in Tax Journal. Nina Marino Ms. Marino is a 25-year lawyer and a State Bar of California Certified Criminal Law Specialist. Her practice (Kaplan Marino) focuses on white collar and complex criminal litigation on both a national and international level. Ms. Marino regularly represents entities and individuals in matters involving allegations of all aspects of fraud, including, wire and mail fraud, health care fraud, insurance and bank fraud, as well as allegations of money laundering, conspiracy, computer crimes, bribery and kickbacks, counterfeiting and copyright infringement, tax crimes, securities cases, antitrust matters, and public corruption investigations including FCPA violations. Ms. Marino is the current Director of Continuing Legal Education for the Criminal Justice Section (CJS) of the American Bar Association (ABA) and the chairperson of the Women in White Collar Committee. Clare Montgomery QC Clare is a member of Matrix chambers. She is a highly respected specialist in criminal, regulatory and fraud law, perhaps best known for her work on legally and factually complex cases involving extradition, mutual assistance and other cross border challenges. She has featured in the starred category of QC's recommended for crime and fraud for over 10 years. Joanne Morgan Michael O Kane Lisa Osofsky Lisa Osofsky is European Regional Chair based out of EXIGER s London office, where she focuses on financial crime and anti-bribery compliance as well as investigative operations. A US lawyer, UK barrister, and the former Deputy General Counsel of the FBI, Ms. Osofsky brings a distinguished career in both the public and private sector to the EXIGER team. Prior to joining EXIGER, Ms. Osofsky was the regulatory advisor to the corporate investigations division of Control Risks. There, she advised clients on issues ranging from fraud and corruption to pre-investment due diligence and partner vetting. Ms. Osofsky also assisted clients in conducting internal investigations and reporting relevant findings to Boards
4 and regulators. Before Control Risks, she was executive director of the business intelligence group and in-house counsel at Goldman Sachs International, London. There, she advised GSI s senior management, bankers, and compliance officers on legal matters relating to money laundering, fraud, and regulatory risk. Winston M. Paes Winston joined the United States Attorney s Office in March 2008, and was appointed to the Business and Securities Fraud Section in March Winston has investigated and prosecuted a wide variety of criminal matters, specializing in fraud involving publicly-traded companies, corporate executives, hedge funds, investment advisers, broker-dealers, insider trading, market manipulation, offshore tax havens and violations of the foreign corrupt practices act and the false claims act. In June 2014, Winston was appointed as the Deputy Chief of the Business and Securities Fraud Section, and in March 2015, he was promoted to Chief. During his time in the Office, Winston has worked on some of the Office s most significant white collar cases. For example, Winston received the 2014 Department of Justice Director s Award for Superior Performance by a Litigative Team and the 2013 Council of the Inspectors General on Integrity and Efficiency (CIGIE) Award for Excellence in Investigation for his role in the investigation and prosecution of biotechnology giant Amgen for misbranding of an anemia drug. Winston was the lead prosecutor in the successful investigation and conviction, after trial, of Aéropostale s former Chief Merchandising Officer for engaging in a $350 million fraud scheme that involved $25 million in kickback payments. Winston was also a member of the team that investigated and prosecuted bribes and kickbacks in the securities-lending industry, which resulted in the conviction of thirty-three individuals, including the conviction, after trial, of the head of Morgan Stanley s domestic securities lending desk. Prior to joining the United States Attorney s Office, Winston was an associate in the Litigation Department of Morgan, Lewis & Bockius LLP, New York, where he worked on a number of white-collar and regulatory matters. Winston graduated magna cum laude from Brooklyn Law School in Michael S. Pasano A seasoned trial attorney, Michael Pasano focuses his practice primarily on complex criminal and civil litigation in both federal and state court. He also handles appeals. His areas of concentration include the defense of a wide variety of white collar matters, including fraud and money-laundering; forfeitures; tax issues; FDA, FTC and SEC cases; antitrust and environmental issues; and others. He has represented a wide array of professionals in the corporate arena, including attorneys, doctors, accountants, corporate executives, and other professionals. Mr. Pasano worked for seven years in the U.S. Attorney's Office in Washington, DC, and the Southern District of Florida, where he was a member of the major crimes, public corruption, and fraud units, and where he served as Chief of the Broward and West Palm Beach satellite offices. In March 1983, he became chief of the Miami Fraud Section, and in October of that year was named chief of the U.S. Attorney's Ft. Lauderdale and West Palm Beach offices. Mr. Pasano is former Chair of the ABA Criminal Justice Section and remains active in the ABA, which has published a book he authored on trial practice. He is a frequent lecturer, and has received numerous awards and commendations for his legal work. Amanda N. Raad Amanda Raad is a partner in the London office of Ropes & Gray LLP. Amanda s practice focuses on investigations and resolutions of cross border anti-corruption and anti-money laundering matters. Amanda also develops and implements risk-based compliance programs. Amanda has expertise across sectors with a particular focus on private equity, finance, pharmaceuticals, medical devices, and the energy industries. Amanda also serves the pharmaceutical and medical devices industries in their defense of False Claims Act matters. Jago Russell Jago is a qualified lawyer who has worked in the human rights field for the past 12 years - writing and lecturing widely on a range of criminal justice issues. Since 2008 he has been the CEO of Fair Trials, a specialist human rights NGO focusing on the right to a fair trial in the criminal justice context. The charity has worked extensively on cross-border justice issues, in recognition of the growth of international judicial and police cooperation to fight serious crime and terrorism, and the serious and often unrecognised human rights implications of these developments. Juliana Sá de Miranda Head of the White Collar Crimes practice group at TozziniFreire in São Paolo, Juliana has extensive experience in defending the interests of companies and their representatives in government investigations and criminal lawsuits related to business activity, including those touching on tax, financial, environmental and competitive issues and any other crimes related to the corporate activities. Partner of TozziniFreires multidisciplinary Compliance group, Juliana is in charge of internal investigations of corruption and corporate fraud and compliance training sessions for employees covering corruption, cartel and search and seizure. Adam Safwat William Shepherd
5 Aaron Stephens Aaron is a partner, Corporate Crime & Investigations at Berwin Leighton Paisner. He is an English and US (California) qualified lawyer with multi-jurisdictional experience acting for financial institutions and corporate clients in the context of sensitive litigation and investigations. He advises a diverse range of clients, including those in banking/financial services, funds, oil & gas, defence, construction & engineering and retail. Aaron has particular expertise in the area of bribery & corruption - advising on both US (Foreign Corrupt Practices Act) and English anti-corruption law (The Bribery Act 2010) - and conducts internal investigations and acts for individuals and firms under investigation by the Financial Conduct Authority (FCA) and/or Serious Fraud Office (SFO). He has also acted in matters involving the Takeover Panel and US authorities such as the Department of Justice (DoJ), Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC). Dr. Sabine Stetter Marcus Thompson Marcus Thompson joined the Ropes & Gray in 2013 and is a partner in the firm s government enforcement practice group. He assists clients with a variety of business-related criminal matters such as anti-money laundering, anti-bribery and corruption, international sanctions and corporate investigations. He has significant experience of advising companies on the design and implementation of compliance programs and has worked on such programs in many countries around the world. Marcus also serves as Assistant General Counsel in Ropes & Gray s Office of the General Counsel. In this role he is responsible for legal, risk, compliance and other regulatory matters relating to the firm s London and Asian offices. The Criminal Justice Section wishes to thank our generous sponsors: CO-SPONSORS The City of London Law Society s Corporate Crime & Corruption Committee The International Bar Association s Business Crime Committee EVENT HOST Berwin Leighton Paisner LLP PLATINUM SPONSOR Exiger SPEAKERS RECEPTION & DINNER SPONSOR NERA Economic Consulting SILVER SPONSORS Ropes & Gray and Global Investigations Review PROGRAM SPONSORS WisteV, DAJV, International Association of Prosecutors, and the International Society for the Reform of Criminal Law SAVE THE DATE FOR LONDON 2016 Celebrating 5 years of our WCC Institute! October 10-11, 2016 Stay connected to the unified voice of criminal justice: Like us on Facebook: facebook.com/abacjs Add us on LinkedIn: Follow us on