2023 Conference Speakers

 Market Structure: Topic – Next Generation Market Structure

Moderator

Mark Davies
S3

Mark Davies is co-founder and CEO of S3, a full-service compliance and trade analytics software company that serves many of the world’s largest financial institutions and exchanges. Davies is responsible for the company’s overall business strategy, as well as daily operations required to deliver an exceptional experience to S3’s valued clients.

S3 was founded in 2001 and discovered a niche after launching its first trading analytics product in 2004. Since then, Davies has shaped S3 to become the trusted industry standard for global regulatory reporting, trade surveillance, CAT, TCA, and best execution analytics across multiple asset classes.

Davies is an industry thought leader on market structure and regulatory requirements, particularly the SEC’s Rule 606. He is Co-Chair of the FIF Rule 606 Committee, serves on the board of the Security Traders Association of New York, and is a member of several other industry groups, including the STA Listed Options Committee, the Dallas Security Traders Association, and SIFMA. He lives in Austin, TX with his wife and three children.

Panelists

Rob Verderese, Head of Cash Trading
Virtu

Robert Verderese leads Virtu’s Customer Market Making Cash Trading Desk. Virtu uses advanced technology and transparency to deliver liquidity to the global capital markets and help clients pursue best execution in a scalable, efficient and data-driven manner.

Robert was one of the original employees at Knight Capital (also known as KCG Holdings, Inc.) before it was acquired by Virtu Financial in 2017. He has over 20 years of experience in the wholesale equity market making segment and prior experience includes roles as Head of Institutional Trading and running the trading desk in London.

Adam Inzirillo, SVP, Head of North American Equities
Cboe Global Markets 

Adam Inzirillo is Senior Vice President, Head of North American Equities at Cboe Global Markets, Inc. (Cboe). Based in New York, Inzirillo is responsible for overseeing the product development and strategic growth of Cboe’s U.S. equities business, as well as Cboe’s Canadian equities trading venues, MATCHNow and the NEO Exchange. Inzirillo is defining markets by helping Cboe enhance its competitive positioning and its strategic growth efforts.

During his nearly 20 years in equities trading, Inzirillo has held a number of senior leadership positions in the industry. Prior to joining Cboe, he was Managing Director, Head of Order Routing and Execution Products at Bank of America Merrill Lynch (BAML), where he worked for nearly a decade. During his tenure, he expanded the firm’s liquidity offerings via business development and product management of its smart order router, direct market access, order management applications and non-displayed crossing functionality. He also served as a Director of the Members Exchange (MEMX) and was instrumental in BAML’s strategic investment.

Previously, Inzirillo was Executive Director, Head of Broker Dealer Business Development at UBS Securities LLC, where he managed the business development of broker dealers trading on the firm’s ATS and electronic trading platforms.

Inzirillo holds a Bachelor of Arts in Economics from Bucknell University and an MBA from Dowling College.

Scot Galvin, Senior Director and Chief Operating Officer
Robinhood Securities

Scot Galvin has over 23 years in the finance industry. He has spent the last 5 years at Robinhood Markets, Inc., starting as Manager of Margin and is now the Chief Operating Officer of Robinhood Securities, overseeing all operations for the Clearing broker dealer. Prior to Robinhood he was the Director of Margin and Options at TradeKing/Ally Financial for 12 years. 

Scot currently serves on the CBEO Advisor Board and is a member of SIFMA’s Listed Options Trading Committee, Capital and Margin Committee, and Operations Committee (Red Group), as well as STA’s Listed Options Committee and OCC Round Table. He holds his Series 7, Series 63, Series 24, Series 4 and Series 27 FINRA registrations.

Michael Harrington, Head of Client Relationships
Citadel Securities

Mike Harrington is a Head of Client Relationships at Citadel Execution Services. In this role, Mr. Harrington is responsible for managing customer relationships, evaluating new and existing customer order flow and implementing new business opportunities. He also serves as a member of the Citadel Securities Best Execution Committee, the CBOE Equity Advisory Committee and the Board of MIAX Pearl.

Prior to joining Citadel Securities, his previous experience includes roles as a futures trader at Gator Trading Partners LLC, a Senior Associate in structured finance at ABN AMRO, and a Retirement Education Specialist at Merrill Lynch.

Mr. Harrington received a bachelor’s degree from the University of Florida and a Master of Business Administration from DePaul University. 

Compliance / Surveillance Roundtable: Topic TBD

Moderator

Gigi Szekely, CCO
StoneX Financial Inc.

Gigi Szekely has more than 20 years of experience as a senior compliance executive. She is currently Head of Americas Regulatory Compliance at StoneX Group Inc. overseeing compliance for the retail and institutional registered investment adviser and broker dealers and is the Chief Compliance Officer for StoneX Financial Inc. and INTL Fillmore Advisors, LLC, leaders in marketing making, institutional trading and outsourced trading. She also chairs the Firm’s Governance Committee. Prior to joining StoneX Group she was the SVP of Enterprise Risk Management and Chief Compliance Officer for Newport Group, Inc., where she managed and oversaw the Enterprise Risk Management and Compliance efforts for the organization. Prior to joining Newport, she was Managing Director at IMP Consulting, responsible for managing and growing the compliance practice that supports asset managers. Formerly, she was the Vice President, Chief Compliance Officer at Eaton Vance Management, where she had over 10 years of experience with mutual fund distribution and responsible for reporting to the Eaton Vance Fund’s Board of Directors. Prior to Eaton Vance she was Chief Compliance Officer for the mutual fund distribution arm at Deutsche Asset Management and worked in a senior compliance management position at JP Morgan. She is a member of the National Society of Compliance Professionals, Security Traders Association of Florida, and SIFMA and a frequent speaker at conferences on compliance-related topics. Ms. Szekely holds a FINRA series 7, 24, 63, 79 licenses, a BA in Economics from the University of Massachusetts – Amherst and a MBA from Simmons University, School of Management in Boston.

Panelists

Ted Karn, Founder/Owner
The Karn Group,  Inc.

Ted Karn is the founder/owner of The Karn Group (TKG). Since 2008, Ted has built TKG into one of the largest independent providers of compliance and surveillance solutions for broker/dealers and clearing firms.

TKG offers a comprehensive Web-based tool set to supervise firm activity and prepare firms for examinations in an increasingly demanding regulatory environment. TKG Trade Surveillance solutions offer sophisticated visual display and workflow management and monitoring of Insider Trading, Marking the Close, Market Manipulation, Wash Trade, Reg-M 105, Spoofing and Layering and Custom Rules.

Ted holds a Bachelor of Science degree in Engineering Physics from Cornell University and a Master of Business Administration in Finance from Stern School of Business, New York University.

Holly Dito, Director, Trading Surveillance
Pershing Trading Services, BNY Mellon / Pershing

Holly Dito is a Director for BNY Mellon | Pershing LLC. In her current role, she oversees trade surveillance as well as trade reporting and market making support functions. Prior to this role, Holly was responsible for trading compliance for the market making business and more recently a
compliance officer for Pershing Advisor Solutions, a broker dealer that services Registered Investment Advisory clients.

Prior to joining Pershing in 2008, Holly worked at Fidelity as a Vice President of Trading Operations responsible for execution quality, order routing and trade surveillance.

Mrs. Dito is a newly appointed member of Financial Information Forum (FIF) Advisory Committee. She also is a co-chair for the FIF Compliance and Surveillance working group. Holly earned a Bachelor of Science degree in Finance from St. John’s University.

Brett MacLeod, Managing Director, Head of Sell Side Division
Abel Noser

As Head of Abel Noser’s Sell Side Division, Brett oversees the company’s full suite of offerings provided to the broker dealer and exchange communities, including Multi Asset Transaction Cost Analytics, Regulatory Compliance and Trade Surveillance. With over fifteen years of experience, all at Abel Noser, Brett previously held roles focused in Electronic Trading, Asset Management TCA and Transition Management. Brett holds a B.A. in Business Management from Gettysburg College and lives in Boca Raton, FL with his wife and two (soon to be three) children.

Bao Nguyen, Principal
Risk & Regulatory Compliance – Kaufman Rossin

• Specializes in recognizing and assessing compliance risks for broker-dealers, investment advisers, and private funds
• Provides clients with compliance solutions such as annual compliance program reviews, anti-money laundering independent testing, supervisory control risk assessments, fraud investigations and customized compliance consultancy services
• Published author with articles in Bloomberg BNA, Plan Advisers, Investment News and ACAMS
• Recipient of the Top 40 Under 40 award by the South Florida Business Journal
• Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE), and Certified Regulatory Compliance Professional (CRCP)

Crypto Roundtable: Topic: TBD

Moderator

Joseph Schifano, Global Head of Regulatory Affairs
Eventus

Joe Schifano is currently the Global Head of Regulatory Affairs at Eventus. Founded in December 2014, Eventus is the leading global provider of multi-asset class trade surveillance and market risk solutions. Eventus drives innovation at the intersection of risk and surveillance to replace legacy and inflexible systems. Eventus supports multiple asset classes and jurisdictions around the world with a fully customizable, SaaS-based platform that meets clients’ unique needs. Joe’s role is to partner with client stakeholders, champion their needs and concerns, communicate regulatory trends, offer insights to maximize effectiveness, and help compliance and supervisory staff build best-in-class surveillance and monitoring capabilities. Joe has been with Eventus since July 2020.

Previously, Joe served as Deputy Chief Counsel and Global CCO at Tower Research Capital in New York City. At Tower, he also served as Head of Americas Compliance and CCO for Latour Trading LLC and TRC Markets LLC from 2016 to 2018 and as Counsel from 2014 to 2015.  Before Tower, Joe was the Vice President of U.S. Markets (Legal) for the Intercontinental Exchange (NYSE) advising SROs and affiliate businesses on rule interpretations, business initiatives, media inquiries, regulatory exams and reporting to the SEC. Joe was Director of Equities Supervision (Americas) for Barclays Capital Inc. managing the supervisory requirements of multiple desks and before that Joe worked for many years at UBS Securities in leadership roles including as Regulatory Attorney, Head of Customer Service, Regulatory Affairs Officer and Trading Supervisor. Joe earned his law degree from New York Law School and passed the NY State Bar in 2008 while working full time at UBS.

Panelists

Gabriella Kusz, CEO
Global Digital Asset & Cryptocurrency Association

Gabriella Kusz serves as CEO of the Global Digital Asset and Cryptocurrency Association, a global voluntary self-regulatory association for the industry. Prior to this role, she served as the Principal for Strategic Initiatives at the International Federation of Accountants (IFAC) where, in addition to other areas, she supported the profession’s leadership and innovation in the digital era. Her background has largely included working in the international financial sector and economic growth including working with the World Bank Group Governance Global Practice where she was responsible for leading the Corporate Governance and Financial Reporting (CGFR) workstream for the Middle East and North Africa (MENA) region and advancing the dual goals of the World Bank: poverty reduction and shared prosperity. Her portfolio of professional experience spans 50 different countries and five continents.  

Gabriella serves as an Emerging Leader with the Chicago Council on Global Affairs, a Fellow of the Digital Euro Association and was appointed by the Speaker of the US State of Arizona House of Representatives to lend her knowledge to the state’s Blockchain and Cryptocurrency Study Committee (pursuant to Arizona Laws 2021, Chapter 339). Gabriella is a Founding Member of the Association of Women in Crypto. In addition to these roles, Gabriella also serves as a Distinguished Global Expert for the Global Small and Medium Enterprise (SME) Policy Network (GSPN) at Prince Sultan University (Riyadh, KSA) and as an Advisor to the Banque Saudi Fransi / PSU Global Islamic Finance, Tax and Zakat Centre (GIFTZ).

Brian J. Mulcahy, COO
StoneX Digital

Brian Mulcahy serves as the Chief Operating Office of StoneX Digital LLC. He joined StoneX in January of 2021 as a Managing Director in Multi-Asset Business Development where he worked alongside numerous business lines across asset classes including fixed income, equities, futures, foreign exchange, swaps, and now, digital assets. Brian has more than 20 years of business development experience in the banking and broker-dealer space, and founded a global equities, options and futures brokerage firm in 2010. As COO of StoneX Digital, Brian leads the company’s efforts to expand capabilities and support across the digital asset ecosystem.

Elizabeth Lan Davis, Co-Chair of Financial Services
Davis Wright Tremaine LLP

Liz Davis is the Co-Chair of the Financial Services practice group at Davis Wright Tremaine LLP.  Liz advises and defends domestic and foreign companies and individuals in civil and criminal investigations, examinations, and litigation before the CFTC, DOJ, SEC, NFA, and exchanges, as well as corporate internal investigations.  Liz previously was a Chief Trial Attorney at the CFTC, where she led regulatory enforcement matters encompassing issues ranging from manipulation, virtual currencies, compliance, and trade practice issues.  Liz was also a trial attorney at the U.S. Department of Justice and litigated numerous civil tax controversy matters in federal district and bankruptcy courts.