Mr. Upendra Kumar Sinha
Chairman, Securities and Exchange Board of India (SEBI)
Mr. Sinha is the present chairman of SEBI. His term started in February 2011. He was the Chairman and Managing Director (CMD) of the Unit Trust of India Asset Management Company (UTIAMC), commonly referred to as UTI Mutual Fund. He is a member of the Indian Administrative Services (IAS), belonging to the Bihar Cadre.
Before taking over at UTIAMC, Mr. Sinha held key positions in the Government of India, notably in the Ministry of Finance, where he was the Joint Secretary, looking after Capital Markets, External Commercial Borrowings, Banking and Currency and Coins. During his tenure at the Ministry of Finance, he spearheaded several initiatives, such as the Banking Sector reforms, and the Capital Market reforms.
Mr. Andrew J. Kriegler
President and CEO, Investment Industry Regulatory Organization of Canada (IIROC)
Mr. Kriegler assumed the position of President and Chief Executive Officer of the Investment Industry Regulatory Organization of Canada (IIROC) on November 1, 2014. Before joining IIROC, Mr. Kriegler held the position of Deputy Superintendent of the Office of the Superintendent of Financial Institutions (OSFI).
Prior to OSFI, Mr. Kriegler was Senior Vice President & Treasurer of CIBC from November 2008 to August 2012. Before joining CIBC, he was Senior Vice President & Chief Human Resources Officer of Moody’s Corporation, parent of the credit rating agency Moody’s Investors Services, where he was the Canadian country managing director from 2000 to 2006.
Prior to joining Moody’s in 2000, Mr. Kriegler was responsible for liquidity risk management, funds transfer pricing, and development of wholesale funding and securitization programs at Canada Trust. From 1993 to 1997, Mr. Kriegler worked as an investment banker with the securitization and debt capital markets groups at BMO Nesbitt Burns.
Mr. Hemant G. Contractor
Chairman, Pension Fund Regulatory and Development Authority (PFRDA)
Mr. Hemant G. Contractor is the first Chairman to head the statutory Pension Fund Regulatory and Development Authority (PFRDA) after notification of PFRDA Act in 2014. He joined PFRDA on 7th October 2014.
Prior to joining PFRDA he was a career banker, joining State Bank of India (SBI) as Probationary Officer in 1974. During his illustrious career spanning 40 years in SBI, he served in several important positions including Group Executive of International Banking, Group Executive of Corporate Banking, and Chief Financial Officer and rising to be the Managing Director of State Bank of India.
He has also served on the Board of several organisations such as State Bank of India, National Security Depository Limited (NSDL), Nuclear Power Corporation of India. He is a qualified Chartered Banker (ACIB) from Chartered Institute of Bankers, London.
Mr. Mark E. Almeida
President, Moody’s Analytics
Mr. Almeida became President of Moody’s Analytics in August 2007. In this role, he oversees Moody’s offering of products and services that are used extensively by financial institutions worldwide. Prior to this position, Mr. Almeida was Senior Managing Director of the Investor Services Group at Moody’s Investors Service, where he was responsible for the marketing and distribution of research and related products developed by the rating agency.
Mr. Almeida joined the Corporate Finance division of Moody’s Investors Service in 1988. In the early 1990s, he was based in Moody’s London office, where he organized an effort to pursue business opportunities anticipated from the development of the European Union and the emergence of the common European currency. He was named Group Managing Director- Investor Services in 2000, and was promoted to Senior Managing Director in 2004.
Prior to joining Moody’s, Mr. Almeida worked in research and marketing for an economic consulting and securities data company.
Mr. Sandip Ghose
Director, National Institute of Securities Markets (NISM)
Mr. Ghose provides strategic leadership to NISM’s six Schools of Excellence engaged in Securities Education, Research, Certification of Market Intermediaries, Corporate Governance, Investor Education and Financial Literacy. He also oversees the School of Regulatory and Supervisory studies which acts as a staff college for SEBI officers.
Prior to taking over as the Director of NISM, Mr. Ghose was Head of Human Resources at the Reserve Bank of India (RBI). Mr. Ghose was the Chief of Staff and Advisor to three successive RBI Governors—Dr. C. Rangarajan, Dr. Bimal Jalan, and Dr. Y.V. Reddy, over a period of nine years (1996-2004). He was also the Principal of Bankers' Training College, Mumbai (2004-2007) and also served as the Principal of College of Agricultural Banking, Pune. He was also the Regional Director of the RBI, Delhi.
He is also a member on the boards of national and international training institutions and business schools.
Mr. Amit Trivedi
Founder, Karmayog Knowledge Academy
Mr. Trivedi has more than two decades of professional experience in capital markets. As a trainer, he has trained more than 53,000 participants through 976 workshops (for mutual fund distributors, CFPs and regulators; as well as for investors) across 98 different locations across the country.
Mr. Trivedi has authored the book titled “Riding The Roller Coaster – Lessons from Financial Market Cycles –We Repeatedly Forget”, published by TV18 Broadcast Ltd, a CNBC group company.
He has also done extensive work in the area of investor education along with SEBI, NISM and various Asset Management Companies.
Mr. Ari Lehavi
Executive Director, Moody’s Analytics and Global Head of the Training & Certification Division
Mr. Lehavi joined Moody’s in 2001 and became Managing Director for Product Development and Strategy in 2006. With addition of the Canadian Securities Institute to Moody’s training portfolio, he took responsibility for the Training & Certification Division--a leader in providing education solutions to financial institutions worldwide.
Prior to joining Moody’s, Mr. Lehavi spent several years as a strategy consultant, helping corporate executives define and execute strategies to drive profitable growth. Before consulting, Mr. Lehavi worked as an investment banker, focusing on financial services and technology.
Mr. Lehavi serves as Chairman of the Board of Bank Street College’s leadership and education program for underserved youth and has also led the Institute of Risk Standards and Qualification—a UK-based awarding body for promoting higher competence standards in risk management.
Mr. Balkrishna Kini
Deputy Chief Executive, Association of Mutual Funds in India (AMFI)
Balkrishna Kini is currently the Deputy Chief Executive of Association of Mutual Funds in India (AMFI) and has been closely associated with Mutual Fund Industry for over 37 years. Mr. Kini has multi-disciplinary work experience in Mutual Fund Industry.
At Pramerica, he headed the Legal, Compliance and Corporate Governance functions as Executive Director–Legal & Compliance and was involved in setting up Pramerica Mutual fund and its AMC and the Trustee Company. At Reliance Mutual Fund, he was a Sr. Vice President and the Head of Legal & Compliance and the Head of RTA Operations & Customer Service.
At Unit Trust of India, he has worked in various functions and capacities, including as the Branch Head of UTI’s Pune branch and Branch Head & Vice President of UTI’s Mumbai Main Branch office.
Mr. Debashish Sarkar
Mr. Debashish Sarkar, Head of Strategic Training Unit, SBI
Mr. Debashish Sarkar heads the Strategic Training Vertical of State Bank of India, India's largest Bank, one of the top 100 banks in the world, and a Fortune 500 Company. SBI has 50 training colleges (called Learning Centres). Last year 2015-16, SBI trained in their classrooms 167000 employees in-house, and issued approx 3 million Certificates on their in-house online portal (out of 9 million aspirants) .
DS has been trained in IIM Lucknow, University of California at Berkely, Harvard etc.and has held assignments in all areas of Banking in India and overseas. He has been a speaker in various professinal seminars, organisations and Colleges. His hobbies include writing poems, and homoeopathy.
Mr. Dhaval Kapadia
Director – Investment Advisory, MorningStar India
Mr. Kapadia is responsible for leading Morningstar’s investment advisory business in India. He has more than 19 years of experience in areas including fixed income, equity markets and investment advisory.
Prior to joining Morningstar in 2014, Mr. Kapadia spent nearly six years at Axis Bank, leading a team of Investment Advisors, which were a part of the Wealth Management & Private Banking businesses. He was responsible for setting up the Investment & Portfolio advisory platform at Axis Bank. He was also involved in advising high net worth clients on asset allocation and investment strategies.
Ms. Evelyn Hunter
CEO, Retail Banking Academy
Ms. Hunter joined the Lafferty Group in 2007 and became the General Manager in 2008 until 2012. She was instrumental in developing its business in the provision of global advanced knowledge services in retail banking in new markets throughout Africa, Asia and the Middle East.
Having developed a comprehensive network amongst international public and private institutions, ranging from central banks, commercial banks and professional services firms, Ms. Hunter together with Mr. Michael Lafferty founded the Retail Banking Academy in 2012.
During her time at Lafferty Group, she played a leading role in the early development of the Official Monetary and Financial Institutions Forum (OMFIF)— financial think-tank and platform for dialogue between official institutions and the private sector. She also served as OMFIF Non-Executive Director from 2010 – 2012.
Mr. Gaurav Mashruwala
Founder, A Cutting Edge
Mr. Mashruwala, founded ‘A Cutting Edge (ACE)’ two decades ago with the simple mission to 'Help People Finance Their Needs & Dreams'. He uses the behavioral finance and life planning route to facilitate the achievement of financial freedom.
As a writer, he has also authored the book ‘Essential Guide to Carefree Retirement (2006)’, which explains how retirement planning can be done at different ages and stages of life. He was the Consulting Editor for Layman's Guide to Wealth Creation, a pocket book by Outlook Money.
Mr. Garg is Chief General Manager with SEBI and presently on deputation at NISM. Mr. Garg has held several assignments in SEBI since 1994. He has been closely associated with SEBI and Government of India initiatives on Financial Literacy and Investor Education in the country. He initiated several investor protection and educational activities in SEBI. He has worked as the SEBI nominee on Advisory Committee on NISM campus and Technical Group on Financial Inclusion & Financial Literacy under FSDC. He has been actively associated with establishment of National Institute of Securities Markets (NISM) by SEBI.
Mr. Garg also Heads National Centre for Financial Education (NCFE), a joint initiative by all Financial Sector regulators for implementation of National Strategy for Financial Education (NSFE) in India.
Mr. Kraig Conrad
CEO, Professional Risk Managers' International Association (PRMIA)
Mr. Conrad leads the Professional Risk Managers' International Association in their mission to establish sound risk practices around the globe. He has served practitioners in treasury, corporate finance, risk management, strategy, and investor relations with programs that enhance career outcomes and demonstrate competency through credentialing.
Prior to PRMIA, Mr. Conrad served in leadership roles at National Investor Relations Institute, the Corporate Executive Board, and the Association for Financial Professionals. He began his career in investment banking at Credit Suisse First Boston.
Mr. Marc Flynn
Senior Director, Regulatory Relations and Credentialing, Moody's Analytics
Mr. Flynn leads Moody’s Analytics relationships with Canadian regulators in setting educational proficiency standards for industry professionals in the financial services sector. He also oversees Moody’s Analytics design and standard setting of its designations and certifications as well as the design and development of rigorous licensing and credentialing examinations.
Prior to joining Moody’s Analytics in 2000, Mr. Flynn led international development consulting and training projects in Asia, Eastern Europe and Africa in the areas of capital markets and privatization at PricewaterhouseCoopers.
Ms. Marie Muldowney
Managing Director, Moody's Analytics
Ms. Muldowney is Managing Director of the Canadian Securities Institute (CSI), acquired by Moody’s Analytics in 2010.
Prior to the acquisition, Ms. Muldowney headed the Learning Strategies and Development team at CSI. She oversaw the development of all CSI distance learning products. Before joining CSI, she was the Executive Director of the Institute of Canadian Bankers (ICB), where she oversaw the organization’s strategic direction and steered the ICB through its shift from not-for-profit status to a for-profit entity.
She is also President of the Canadian Securities Institute Research Foundation that provides funding for academic research on the capital markets.
Mr. Marshall Beyer
Senior Director, Moody’s Analytics
As Senior Director of Academic Standards with Moody’s Analytics, Mr. Beyer works with industry and regulatory experts to design and develop curriculum for its securities industry based licensing and advanced accreditation programs. Since joining the Canadian Securities Institute (now a part of Moody’s Analytics) in 1995, Mr. Beyer has led the certification and product development teams in the creation and maintenance of courses and programs that address basic securities, derivatives, alternative investments, portfolio management, wealth management, financial planning and compliance fields.
Prior to joining Moody’s, Mr. Beyer was a Vice-President of Richardson Greenshields a full-service investment dealer for 12 years, first as a compliance officer and then as a research analyst focusing on commodities and economic analysis.
Mr. Navneet Munot
Executive Director & Chief Investment Officer, SBI Funds Management Private Limited
Mr. Munot joined SBI Funds Management Private Limited as Chief Investment Officer in December 2008. In his previous assignment, he was the Executive Director & head - multi - strategy boutique with Morgan Stanley Investment Management. Prior to joining Morgan Stanley Investment Management, he worked as the Chief Investment Officer - Fixed Income and Hybrid Funds at Birla Sun Life Asset Management Company Ltd.
Mr. Munot had been associated with the financial services business of the group for over 18 years and worked in various areas such as fixed income, equities and foreign exchange. His articles on matters related to financial markets have widely been published.
Dr. Neeraj Hatekar
Director, Dept of Economics, University of Mumbai
Dr. Hatekar teaches Econometrics at the Department of Economics, University of Mumbai. He is also a coordinator for the Centre for Computational Social Sciences, University of Mumbai.
Dr. Hatekar has been the Smuts Visiting Fellow at the University of Cambridge and has taught courses on Indian economic development at the University. He is a prolific writer and has contributed to many peer-reviewed academic journals.
Mr. Paritosh Sharma
Senior Advisor, National Institute of Securities Market
Mr. Sharma is charged with the responsibility of School for Certification of Intermediaries (SCI) at the National Institute of Securities Market (NISM). SCI is implementing the certification framework for the Indian securities markets.
Mr. Sharma has over 25 years of consulting, change management and operational experience in the area of securities markets. His experience covers all aspects of capital markets from policy development and strategy to operational implementation. He has worked in a variety of roles, most recently as the Resident Advisor & Chief of Party for the USAID Financial Institutions and Reform (FIRE) Project that provided assistance to Indian capital market institutions and the Ministry of Finance.
Mr. Prashant Saran
Former Whole Time Member, SEBI
Mr. Saran is the former Whole Time Member of Securities and Exchange Board of India. He has also held the position of Chief General Manager In-charge (CGMIC) with the Reserve Bank of India and was heading the Department of Banking Operations and Development (DBOD) during 2005-2009 where he was responsible for regulating commercial banks. He was instrumental in drafting India's National Strategy for Financial Education (NSFE).
Mr. Saran has held membership of a number of committees like International Liaison Group (ILG) and International Liaison Group on Capital (ILGC) of Basel Committee on Banking Supervision (BCBS), National Advisory Committee on Accounting Standards and Empowered Committee on External Commercial Borrowings.
Mr. Prem Khatri
Founder & CEO, Café Mutual
Mr. Khatri has founded Cafemutual which seeks to enhance knowledge and build capability of distributors so that they grow and contribute to the financial well-being of our countrymen. In his career spanning over two decades, he has held diverse assignments in financial services.
He was a part of the core team at Kothari Pioneer. In wealth management and broking space, he was heading Motilal Oswal (Retail Segment) and was the Director – Marketing with ASK Raymond James. In banking, he has been the Marketing Head for Bank of Baroda.
Mr. Richard Stockdale
Trustee and Director, City of London's Chartered Institute for Securities and Investment (CISI)
Mr. Stockdale is the President of the CISI UAE Regional Board and a past President of the CISI India Regional Board. He is an Advisory Board Director for the Delhi based Anti Corruption Academy and has presented papers with India's NASSCOM on continuous education and SEBI on the prevention of financial crime, a topic on which he has also presented papers on behalf of the UN, World Bank/IMF, Arab Monetary Fund, a Central Bank and a European Government.
An Englishman born and raised in Bihar India, Mr. Stockdale was previously Lloyds Bank's Middle Eastern Head and then CEO of Lloyds TSB Global Services (Pvt) Ltd and India Country Head. He is Chairman of ArrowFin Consulting, a Dubai based startup offering rating and other support services to SME's. He is a partner in an Indian startup, Seddiqui & Stockdale Financial Services LLP.
Mr. Salleh Hassan
Director, Professional Development and Corporate Governance, Securities Industry Development Corporation (SIDC)
Mr. Hassan oversees the initiatives and activities that lead towards strengthening the competency and capacity of professionals in the Malaysian capital market via the industry-wide competency framework (ICF), certification and qualification such as the Securities Commission Malaysia’s (SC) Licensing Examinations and the Capital Market Professional Qualification (CMPQ), and fit-for-purpose Continuing Professional Education (CPE) learning and development programmes.
As the resident subject matter expert for corporate governance, he also leads in the development of curriculum, courses and industry insights initiatives related to corporate governance.
Mr. Hassan was an Associate Professor of Accounting between 2001 and 2010 and the Deputy Director of the Nottingham University Business School (NUBS) from 2005 to 2009.
Mr. Thomas Ma
Director, Government and Regulator Relations, Asia Pacific, CFA Institute
As the Director of Government and Regulator Relations, Mr. Thomas Ma is responsible for researching existing and emerging regulatory practice frameworks and accreditation schemes in Asia Pacific. He leads efforts in the region to explore and obtain waivers and recognition opportunities for CFA Institute credentials as well as increase awareness of our professional development programs among regulators, universities, and professional organizations.
Prior to joining CFA Institute, he worked in a professional consulting firm for more than 15 years, providing regulatory advisory services assistance to various global financial institutions. He has worked in Hong Kong, New York, Tokyo, Beijing, and Shanghai.
Mr. Vijay Srivastava
Senior Director - Credit Training Financial Services Training & Certification, Moody’s Analytics
Mr. Srivastava is the Regional Head of Training and Certification Services for Moody’s Analytics in the Middle East. Based in Dubai, Mr. Srivastava oversees market, client and product strategy. He has an extensive international banking and risk experience and a passion for education and organizational culture.
Prior to joining Moody’s in May 2016, Mr. Srivastava was the Group Chief Credit & Risk Officer and a member of the Management Committee at the Arab Banking Corporation (now Bank ABC) which he joined in 2009. He started his banking career with HSBC, India, in 1984, working in Operations and then Corporate Banking. He joined ABN AMRO Bank, Dubai, in 1992, heading up the Corporate Bank for two years, before moving to the Risk Management Division at the Amsterdam headquarters in 1998.
Mr. Vineet Arora
Executive Vice President and Head - Product & Distribution at ICICI Securities
Mr. Arora is the Executive Vice President and Head - Product & Distribution at ICICI Securities. He is also responsible for all investment products like Mutual Fund, Life Insurance, General Insurance, Fixed deposits and asset products like home loans, auto loans etc.
Mr. Arora has been instrumental in establishing ICICIdirect as a leading distribution house in the country reaching out to its customers through its online platform, branches and franchisees. Mr. Arora has also played an important role in leading several pioneering initiatives in Investors education, Investment advisory and Financial planning.
Mr. Arora had joined ICICI Group in 2002 as part of ICICI Prudential Life Insurance Co. Ltd. He had set up the corporate agency and Broker channel, the Middle East business and was heading the Bancassurance and Alliance business before moving to ICICI Securities.