Market Surveillance Conference 2024

Alex Pascoe

Department Head: Market Abuse: Enforcement Division, FSCA

Alex is employed by the Financial Sector Conduct Authority (FSCA) (previously Financial Services Board) as Departmental Head: Market Abuse – Enforcement Division and was previously the Investigations Team Leader for the DMA (Directorate of Market Abuse and its predecessor, the Insider Trading Directorate). The Market Abuse Department is responsible for combating insider trading, prohibited trading practices (price manipulation) and the publication of false or misleading statements.

Alex Zeng

Lead Product Manager, Nasdaq Trade Surveillance

Alex Zeng is a lead Product Manager for Nasdaq Trade Surveillance, bringing over 8 years of experience within Nasdaq, Alex has had varying roles specifically supporting Surveillance Customers. With both a deep understanding of the NTS product and the challenges and needs of our clients, Alex is instrumental in defining and implementing product improvements to better serve surveillance practitioners across banks and brokers globally.

Christian Benson

Market Structure & Risk Strategy, Bloomberg

Christian Benson leads market structure and risk strategy for EMEA within Bloomberg's government and regulatory affairs team. In this role he works with a wide range of business stakeholders across Bloomberg as well as directly with clients when it comes to tracking and explaining regulatory developments impacting their business. He is also responsible for developing Bloomberg's relationship with various regulatory and government authorities. Prior to Bloomberg, Christian worked in capital markets research and consultancy. Christian graduated from the London School of Economics (LSE) with a degree in Economics.

Diphapang Molope

Compliance officer, Investec Corporate & Institutional Banking

Diphapang Molope is Compliance Officer within the Corporate and Investment Banking division at Investec Bank. A seasoned compliance professional with 20 years’ experience in the financial services sector. She holds the following qualifications: BCom Accounting, Postgraduate Diploma in Compliance Management, Postgraduate Diploma in Business Management and is awaiting her M.Com (Business Management) results, all from the University of Johannesburg.

Erica Bruce

President of the South African Institute of Stockbrokers (SAIS)

With a career in stockbroking spanning over 39 years, Erica has been immersed in various pivotal roles, contributing significantly to the financial market's evolution in South Africa. Her expertise spans across financial markets included trading and risk and compliance, AML, pre and post trade, as well as clearing and settlement processes. In 2009, She co-founded Navigare Securities Pty Ltd, where she serves as Managing Director and Stockbroker in Control. As a long-standing member and leader within SAIS, she has been dedicated to advocating for the profession and enhancing market liquidity and integrity. Her focus has been on fostering growth and sustainability in financial markets while ensuring effective compliance and risk mitigation. 
 

Happy Shihau

Head of Compliance: Investec Corporate and Institutional Banking

Happy Shihau is a lawyer by training and holds a LLB Degree from the University of the Witwatersrand and is currently the Head of Compliance for Investec’s Corporate and Institutional Banking. Happy has more than a decade of experience in the financial sector and has held various positions within the sector with regulatory authorities such as the Financial Services Board (which is the now Financial Sector Conduct Authority),the Prudential Authority and at other financial institutions, including Absa Capital. In Happy’s previous life she was a Civil and Criminal Litigation attorney at Fluxmans Attorneys and practiced for several years. Her love for the regulatory environment coupled with her passion for the financial markets industry has propelled her to be involved in industry initiatives such at the South African Markets Surveillance Conference, which is hosted and lead by Investec Bank. Happy wishes to leave a legacy behind of a financial services industry that is better than the one she found and her mantra in life is to treat people with kindness.

Hilde Strauss

Head Data & Analytics for Client Operations, Investec

Hilde is a qualified risk actuary with 12 years of experience in financial services, covering insurance and banking. Hilde heads up the Data and Analytics team at Investec for Client Operations, working on Financial Crime analytics. Her passion is getting insights from data to make strategic decisions and using analytics to "try catch the bad guy".

Kgomotso Chacha

Head of Compliance – Global Markets, Nedbank Corporate and Investment Banking

Kgomotso Chacha is a regulatory compliance specialist with over 12 years’ experience in service of leading local and international financial services organisations. She is well versed with local and international compliance risk management standards with expertise spanning across various speciality business areas with Corporate and Investment banking, including amongst others Global Markets, Investment Banking, Transactional Services and Anti-Money Laundering and Terrorist Financing . Kgomotso is a JSE compliance officer, a Certified Money Laundering Specialist, and a FAIS compliance officer. She holds BCom Law, LLB degrees, a Compliance Risk Management postgraduate diploma, Banking Law postgraduate certificate and various other postgraduate certificates.

Lauren Viljoen

Head of Financial Crime Compliance, Investec Corporate and Institutional Banking

Lauren Viljoen has over 17 years of experience in Financial Crime Compliance and Corporate Banking. She started her career in 2007 at Absa Corporate and Business Banking and in 2010 joined Investec Group Compliance in the Anti Money Laundering team as a Compliance Officer. She then moved to Investec Corporate and Institutional Bank in 2011 as the Money Laundering Control officer. In 2019 she was made Head of Financial Crime Compliance for this division.

Lebogang Thobakgale

Financial Crime Assurance Manager, Absa Group

Lebogang Thobakgale is an experienced compliance professional with particular strengths in Financial Crime Compliance (FCC), Monitoring, Presentations, Regulatory Value add and Risk and Corporate Governance. Currently serving as the Financial Crime Assurance Vice President (Manager) at Absa Group, Lebogang has worked in business and Group Compliance as a Senior Compliance Manager at Alexander Forbes. She has extensive experience of working with stakeholders across the regulatory landscape, including having worked at the Financial Services Conduct Authority for three years. Her Zeal for FCC has not only aided in her wealth of expertise but has encouraged her to add value in making a difference in the financial industry. Lebogang is also a National Executive Committee Member of the Associate of Black Securities and Investments Professionals (ABSIP) where she actively writes articles on matters relating particularly on FCC.

Lourens van Rensburg

Head of Investec Corporate and Institutional Banking

Lourens is Head of Investec Corporate and Institutional Banking (‘ICIB’) in South Africa. He is part of a team that focuses on specialised lending, structured products and treasury activities for corporates, intermediaries and institutions. The team builds trusted, long-term relationships and provide holistic, forward-looking views to identify ways to help clients achieve their business goals. Lourens has B Com, B Com (Hons), CA (SA), CFA and H Dip Tax Law qualifications. He also has a Diploma in Treasury Management and has completed a Leadership Development programme at Harvard Business School.

Manga Fombad

Compliance Officer: Head of Markets Surveillance, ABSA

Manga Fombad has 8 years’ experience in the industry, working for Absa CIB as a market abuse compliance surveillance officer.

Mike Googe

BTCA Product Manager, Bloomberg

Mike is the Product Manager for Bloomberg's Transaction Cost Analysis product (BTCA). Based in London, Googe joined Bloomberg in 2009 as a Transaction Cost Analysis (TCA)Specialist. His more than 30 years industry experience in trading, execution consultancy and benchmark analytics has helped Bloomberg develop its market-leading multi-asset transaction cost analysis (TCA) tools.

Bloomberg TCA provides trading desks with performance metrics for pre, real-time and post trade. These analytics give trading desks on the sell side and buy side transparency into execution quality, as well as qualitative insights for decision support and trade surveillance activities. Under Googe's direction, the BTCA product has grown to support analytics for global equities, fixed income, OTC and exchange-traded derivatives, foreign exchange and structured products, such as mortgages and asset-backed securities with pioneering work to incorporate exception-based workflows for delivery of outliers and insights.

Nishlan Samujh

Group Finance Director, Investec

Nishlan is responsible for finance at Investec, with shareholders, regulators, leadership and the Board as his key stakeholders. Over the course of his career at Investec, he says the highlight of his time with the business is the fact that he has had the privilege of working with inspiring individuals and that he is now part of the next generation leadership team. He is passionate about inspiring people to achieve and excel in an environment that enables freedom of thought and the ability to execute through strong evaluation, debate and support.

Olano Makhubela

Divisional Executive for Market Integrity and Decisions Sciences, FSCA

Olano Makhubela has been with the National Treasury since 2000. In his 17 years at the National Treasury, he has assisted with the development of Government policy on retirement reforms, insurance, investment funds, financial integrity, prudential regulation, capital controls and flows, first tier banking and financial inclusion. He has represented the National Treasury at the G20 Financial Access Working Group, Financial Sector Charter and Nedlac processes. He was the Divisional Executive for Retirement Funds Supervision at the Financial Sector Conduct Authority (FSCA) (previously the Financial Services Board) and served on the Exco of the International Organisation of Pension Supervisors (IOPS) and African Pension Supervisors Forum. He also acted as the Commissioner of the FSCA in 2020/21. He is currently the Divisional Executive for Market Integrity and Decisions Sciences.

Perry Goetz

Head of Vault/ICAD Product, Bloomberg

Perry has been the Global Head of Bloomberg's Compliance and Data Solutions business since September 2022. Prior to this role, he was the Global Head of Compliance and Regulatory Sales, a role he held for 4 years. Perry has held several other leadership roles in Bloomberg Product Sales, including Global Head of both the Electronic Trading and Trade Order Management Solutions businesses. In addition, Perry served as a Sales Manager in Bloomberg's Core Sales Division, overseeing various Tier 1 clients as well as the Canadian and Southwestern regions in the U.S. Prior to joining Bloomberg in September 2000, Perry worked in the Securities Finance Division at Donaldson, Lufkin & Jenrette, where he provided support for the Convertibles Trading and Exotic Options Desks.

Phillip Dube

Head of Equity Finance and Director of Investec Markets Ltd

Phillip joined Investec in 2010 and has over 15 years’ experience in financial markets. Phillip is an active member of the JSE’s Financial Derivatives Advisory Committee (FDAC). Currently he heads up Equity Finance / Derivatives in ICIB and is an executive director of Investec Markets Limited. He holds a BCom(Acc), PGDip and MBA.

Teresa Wilson

Head CIB Compliance - Market Abuse Surveillance, Standard Bank

Teresa has been in the financial services industry for over 15 years working. After working for FNB and Absa, she started her own financial training firm, Beaufort Institute, before returning to the corporate world joining Rand Merchant Bank's Global Markets team. After a brief stint at an international software vendor, she joined Standard Bank in 2022 in the Market Abuse Surveillance team and is now head for the Surveillance function. She has completed many of the SAIFM financial market modules, as well as the ACI Operations and Dealing Certificates and the ACI Diploma.Teresa is the coauthor of a book titled "SA Financial Markets".

Themba Maseko

Head of Compliance Investment Banking and Senior Compliance and Surveillance Analyst, Investec Corporate & Institutional Banking

Themba joined the Investec Compliance team from the JSE five years ago to set up the Market surveillance function at Investec Corporate & Institutional Banking (ICIB). He is currently the Head of Compliance in Investment Banking and is the Senior Compliance and Surveillance Analyst at ICIB. He firmly believes that safeguarding the South African Financial Market against Market Abuse and anticompetitive practices is a collective responsibility of all stakeholders. With a commitment to staying ahead on a global stage, Themba is dedicated to ensuring a robust and compliant South African Financial market that can attract investments and create opportunities to address the social challenges in South Africa.

Thulani Kunene

Head of Group Compliance (SA), Investec Bank Limited

Thulani Kunene is the Group Head of Compliance for Investec Ltd. He has led Compliance functions for different organisations across various industries. He also worked in different capacities in the Competition Commission and Competition Tribunal of South Africa in his early career.

Tony Sio

Head of Regulatory Strategy and Innovation, Nasdaq Fintech division

Tony Sio is Head of Regulatory Strategy and Innovation at Nasdaq’s Fintech division. Nasdaq provides surveillance and regulatory tools for regulators, venues, banks, and market participants globally. Tony ensures its service offerings are ahead of both regulatory and technology trends. The role includes responsibility for the Nasdaq Market Surveillance (SMARTS) solution which is used by over 50 marketplaces and 17 regulators globally. His team uses the latest in technology to provide surveillance and regulatory solutions for all tradeable products in the world’s largest markets.

Vishay Singh

Financial Crime Compliance, Correspondent Banking and Institutional Trade Finance

With over 17 years of banking experience, Vishay has a versatile background spanning multiple jurisdictions and disciplines within the industry. This includes experience in Client Due Diligence, Anti Financial Crime Compliance (AML/CFT/B&C), Sanctions Compliance, Risk Management, Operational Risk, Client Coverage, Payments, Exchange Control, Operations, Assurance, Correspondent Banking, Institutional Trade Finance, Conduct, and Regulatory Compliance.

Will Ridge

Head of Equities, Investec

Will has 17 years’ experience in financial markets across equity sales, equity trading and as a hedge fund manager. He joined Investec in 2016 as Head of Institutional Equities. Prior to joining Investec, Will was a director and Head of South African Equity Sales at Merrill Lynch where he ran the no 1 ranked sales team. He briefly ran a market neutral equities fund at Fairtree Capital.