Director, Berkeley Research Group LLC
Walter J. Mix III heads the financial services practice at Berkeley Research Group. He is also a former commissioner of the California Department of Financial Institutions (DFI). He previously served as a banking executive at Union Bank of California.
Mr. Mix works with the firm’s domestic and foreign bank clients on corporate governance, risk management, strategic planning, and financial advisory assignments. He has significant experience in strategic planning, mergers and acquisitions, enterprise risk management, regulatory compliance, and capital planning. He has also advised clients on reengineering and implementing technology to improve profitability. In addition, he performs litigation and expert services based on his extensive expertise in financial services. He speaks frequently before bankers’ groups and regulatory seminars.
In his position as commissioner of the DFI, he reorganized the organization and improved its efficiency and effectiveness. Mr. Mix worked with financial institutions on more than 60 mergers and acquisitions and the formation of 50 de novo institutions. He reengineered the examination processes for banking and other licensees. He was instrumental in the development and passage of California’s identity theft law and many other laws, including the interstate banking and branching law and cooperative supervisory agreements for domestic and foreign banks. Mr. Mix also spearheaded proposals designed to enhance financial institutions’ electronic banking and commerce capabilities.
He joined BRG from LECG, LLC and before that The Secura Group; he served as managing director in both firms. Mr. Mix is a graduate of the University of California, Riverside and earned a master’s degree with a concentration in economics and public policy from Rutgers University. Mr. Mix serves as chairman of the International Bankers Association of California.
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Partner, Davis Polk & Wardwell LLP
Mr. Guynn is head of Davis Polk’s Financial Institutions Group. He has been recognized as a thought-leader on financial regulatory reform and as one of the most widely consulted U.S. legal advisers during the financial crisis. See “In the Red Zone,”The American Lawyer, January 2009 and “For Davis Polk, Dodd-Frank Pays,” The American Lawyer, December 2010.
He has advised the Securities Industry and Financial Markets Association (SIFMA), the principal trade organization for U.S. banks, securities firms and asset managers, all of the U.S.’s six-largest banks and several foreign banks on the Dodd-Frank Act and its regulatory implementation.
His practice focuses on providing strategic bank and regulatory and enforcement advice and advising on M&A and capital markets transactions when the target or issuer is a banking organization or other financial institution. He also advises on bank failures and recapitalizations, corporate governance and internal controls, cross-border collateral transactions, credit risk management, securities settlement systems and payment systems.
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Director, Financial Services Regulatory Practice, PricewaterhouseCoopers LLP
Cory’s recent engagements include advising on the impact of the Dodd-Frank Act for a major international bank, evaluating Basel II readiness, and advising a federal regulator on oversight and analysis of banking entities. Her areas of expertise include traded products controls (including fixed income, currency, and equity trading), wholesale credit risk management, Basel II implementation requirements, liquidity and funding, financial analysis, and corporate governance.
Prior to joining PwC, she was the associate director of the Large Institution Group at the Board of Governors of the Federal Reserve System, with responsibility for advising staff and the governors on issues relating to the largest, most complex banking organizations, including applications, enforcement actions, and matters related to safety and soundness. During the recent financial crisis, Cory led the Supervisory Capital Assessment Program, commonly referred to as the stress tests. Prior to her responsibilities at the Board of Governors, she led Basel II implementation for the Federal Reserve System from 2003 to mid-2007. Cory also held a number of leadership positions at the Federal Reserve Bank of New York, including in the Market Risk Group and in Relationship Management for large, complex banking organizations. Cory also spent a number of years in the capital markets, where she traded bank debt and later brokered derivatives for financial organizations.
Partner, Orrick, Herrington & Sutcliffe LLP
Andy excels at solving complex problems for his clients using a variety of effective strategies. As former Chief Deputy Attorney General for the State of Wisconsin, Andy Cook has extensive experience representing businesses before state Attorneys General involving investigations and lawsuits. His strong relationships with Attorneys General and their senior staff frequently facilitate the successful resolution of client issues through diplomacy and negotiations. When litigation becomes necessary, Andy effectively advocates for clients throughout the litigation process.
Andy combines his legal expertise in numerous areas of law covered by state Attorneys General, an understanding of how state AG offices operate, and vast knowledge of legal and regulatory issues facing his clients. This substantive and comprehensive legal approach is crucial to effectively representing clients before state Attorneys General. Andy also has substantial experience drafting and enacting complex civil liability reforms before state legislatures to successfully address client goals.
Andy’s main practice focuses on advising Fortune 500 companies before state Attorneys General in the areas of antitrust, consumer protection, False Claims Act, environmental law, and cybersecurity and data privacy. Andy, in collaboration with a team of attorneys, successfully navigated a client through antitrust regulatory review by state Attorneys General in one of the nation’s largest mergers of two major telecommunication companies. Andy also worked with a team of lawyers representing a large corporation involving the multistate opioids litigation brought by state Attorneys General.
Andy gained valuable experience serving as Deputy Attorney General for the State of Wisconsin where he was the second in command of the 700-plus state agency. In his role as Chief Deputy Attorney General, Andy oversaw the day-to-day operations at the Wisconsin Department of Justice (DOJ); directed the State’s litigation strategy; negotiated, reviewed, and approved all settlements; drafted and reviewed attorney general opinions; managed the agency’s budget; oversaw civil and criminal investigations handled by DOJ; and managed DOJ’s legislative agenda.
Andy played college hockey and remains active by running, cross country skiing, and playing golf. On the weekends, Andy and his wife enjoy watching their kids’ sporting events, including soccer, baseball, gymnastics, and track. In his rare spare time, Andy reads history books.
Partner, Orrick, Herrington & Sutcliffe LLP
Andy excels at solving complex problems for his clients using a variety of effective strategies. As former Chief Deputy Attorney General for the State of Wisconsin, Andy Cook has extensive experience representing businesses before state Attorneys General involving investigations and lawsuits. His strong relationships with Attorneys General and their senior staff frequently facilitate the successful resolution of client issues through diplomacy and negotiations. When litigation becomes necessary, Andy effectively advocates for clients throughout the litigation process.
Andy combines his legal expertise in numerous areas of law covered by state Attorneys General, an understanding of how state AG offices operate, and vast knowledge of legal and regulatory issues facing his clients. This substantive and comprehensive legal approach is crucial to effectively representing clients before state Attorneys General. Andy also has substantial experience drafting and enacting complex civil liability reforms before state legislatures to successfully address client goals.
Andy’s main practice focuses on advising Fortune 500 companies before state Attorneys General in the areas of antitrust, consumer protection, False Claims Act, environmental law, and cybersecurity and data privacy. Andy, in collaboration with a team of attorneys, successfully navigated a client through antitrust regulatory review by state Attorneys General in one of the nation’s largest mergers of two major telecommunication companies. Andy also worked with a team of lawyers representing a large corporation involving the multistate opioids litigation brought by state Attorneys General.
Andy gained valuable experience serving as Deputy Attorney General for the State of Wisconsin where he was the second in command of the 700-plus state agency. In his role as Chief Deputy Attorney General, Andy oversaw the day-to-day operations at the Wisconsin Department of Justice (DOJ); directed the State’s litigation strategy; negotiated, reviewed, and approved all settlements; drafted and reviewed attorney general opinions; managed the agency’s budget; oversaw civil and criminal investigations handled by DOJ; and managed DOJ’s legislative agenda.
Andy played college hockey and remains active by running, cross country skiing, and playing golf. On the weekends, Andy and his wife enjoy watching their kids’ sporting events, including soccer, baseball, gymnastics, and track. In his rare spare time, Andy reads history books.
H.H. Macaulay Endowed Professor of Economics, Clemson College of Business
Thomas Hazlett is the Hugh H. Macaulay Endowed Professor of Economics at Clemson University. He has previously held faculty positions at George Mason University, the University of California, Davis, and the Wharton School, and served as Chief Economist of the Federal Communications Commission. A noted expert in regulatory economics and information markets, his research has appeared in academic forums such as the Journal of Law & Economics, RAND Journal of Economics, the Journal of Financial Economics, the University of Pennsylvania Law Review and the Columbia Law Review. He has also written for such popular periodicals as the Wall Street Journal, The Economist, Slate, the N.Y. Times, N.Y. Daily News, Reuters.com, Business Week, The New Republic and the Financial Times. His most recent book, The Political Spectrum: The Tumultuous Liberation of Wireless Technology, from Herbert Hoover to the Smartphone, (Yale, 2017), was featured as one of the top tech books of the year at CES 2018.
Kansas Securities Commissioner
Aaron Jack, J.D., M.B.A., is the Kansas Securities Commissioner, a position he was appointed to by Kansas Governor Sam Brownback in 2011. Aaron was previously the West-Central Zone Director for New York Life where his 3,200 registered representatives produced over $1.5 billion in sales annually. Aaron was the first director in the history of New York Life to raise $1 billion in new assets for the company's investment management subsidiary, NYLIM.
Retired, Winston & Strawn LLP
Jerry Loeser is of counsel in the Chicago office of Winston & Strawn, and his practice focuses on banking regulation. He has extensive experience in counseling financial services clients on, among other things, bank acquisitions, privacy, financial modernization, the USA PATRIOT Act, Basel II and III, lending limits, capital, trust, affiliate transactions, and Federal Reserve, OCC, FDIC, and CFPB regulations.
Prior to working at large corporate law firms, Jerry was chief regulatory and compliance counsel for Comerica Bank, where he also served as senior vice president and deputy general counsel and as general counsel of its retail bank division. Before that, he served as chief regulatory in-house counsel at Wells Fargo & Co. Jerry began his legal career advising the Board of Governors of the Federal Reserve System in Washington, D.C.
Partner, Davis Polk & Wardwell LLP
Mr. Guynn is head of Davis Polk’s Financial Institutions Group. He has been recognized as a thought-leader on financial regulatory reform and as one of the most widely consulted U.S. legal advisers during the financial crisis. See “In the Red Zone,”The American Lawyer, January 2009 and “For Davis Polk, Dodd-Frank Pays,” The American Lawyer, December 2010.
He has advised the Securities Industry and Financial Markets Association (SIFMA), the principal trade organization for U.S. banks, securities firms and asset managers, all of the U.S.’s six-largest banks and several foreign banks on the Dodd-Frank Act and its regulatory implementation.
His practice focuses on providing strategic bank and regulatory and enforcement advice and advising on M&A and capital markets transactions when the target or issuer is a banking organization or other financial institution. He also advises on bank failures and recapitalizations, corporate governance and internal controls, cross-border collateral transactions, credit risk management, securities settlement systems and payment systems.
CEO, Institute of International Bankers
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Director, Financial Services Regulatory Practice, PricewaterhouseCoopers LLP
Cory’s recent engagements include advising on the impact of the Dodd-Frank Act for a major international bank, evaluating Basel II readiness, and advising a federal regulator on oversight and analysis of banking entities. Her areas of expertise include traded products controls (including fixed income, currency, and equity trading), wholesale credit risk management, Basel II implementation requirements, liquidity and funding, financial analysis, and corporate governance.
Prior to joining PwC, she was the associate director of the Large Institution Group at the Board of Governors of the Federal Reserve System, with responsibility for advising staff and the governors on issues relating to the largest, most complex banking organizations, including applications, enforcement actions, and matters related to safety and soundness. During the recent financial crisis, Cory led the Supervisory Capital Assessment Program, commonly referred to as the stress tests. Prior to her responsibilities at the Board of Governors, she led Basel II implementation for the Federal Reserve System from 2003 to mid-2007. Cory also held a number of leadership positions at the Federal Reserve Bank of New York, including in the Market Risk Group and in Relationship Management for large, complex banking organizations. Cory also spent a number of years in the capital markets, where she traded bank debt and later brokered derivatives for financial organizations.
Partner, Davis Polk & Wardwell LLP
Mr. Guynn is head of Davis Polk’s Financial Institutions Group. He has been recognized as a thought-leader on financial regulatory reform and as one of the most widely consulted U.S. legal advisers during the financial crisis. See “In the Red Zone,”The American Lawyer, January 2009 and “For Davis Polk, Dodd-Frank Pays,” The American Lawyer, December 2010.
He has advised the Securities Industry and Financial Markets Association (SIFMA), the principal trade organization for U.S. banks, securities firms and asset managers, all of the U.S.’s six-largest banks and several foreign banks on the Dodd-Frank Act and its regulatory implementation.
His practice focuses on providing strategic bank and regulatory and enforcement advice and advising on M&A and capital markets transactions when the target or issuer is a banking organization or other financial institution. He also advises on bank failures and recapitalizations, corporate governance and internal controls, cross-border collateral transactions, credit risk management, securities settlement systems and payment systems.
CEO, Institute of International Bankers
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Director, Financial Services Regulatory Practice, PricewaterhouseCoopers LLP
Cory’s recent engagements include advising on the impact of the Dodd-Frank Act for a major international bank, evaluating Basel II readiness, and advising a federal regulator on oversight and analysis of banking entities. Her areas of expertise include traded products controls (including fixed income, currency, and equity trading), wholesale credit risk management, Basel II implementation requirements, liquidity and funding, financial analysis, and corporate governance.
Prior to joining PwC, she was the associate director of the Large Institution Group at the Board of Governors of the Federal Reserve System, with responsibility for advising staff and the governors on issues relating to the largest, most complex banking organizations, including applications, enforcement actions, and matters related to safety and soundness. During the recent financial crisis, Cory led the Supervisory Capital Assessment Program, commonly referred to as the stress tests. Prior to her responsibilities at the Board of Governors, she led Basel II implementation for the Federal Reserve System from 2003 to mid-2007. Cory also held a number of leadership positions at the Federal Reserve Bank of New York, including in the Market Risk Group and in Relationship Management for large, complex banking organizations. Cory also spent a number of years in the capital markets, where she traded bank debt and later brokered derivatives for financial organizations.
Due Process in the Banking Industry
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