PARTICIPANTS. Sou Chiam, Ll.M. Reuben A. Guttman

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1 PARTICIPANTS Sou Chiam, Ll.M. Sou Chiam is a mediator and barrister-at-law with extensive legal, policy and management experience, is the CEO of the Financial Dispute Resolution Centre Ltd. in Hong Kong. She was Senior Legal Counsel and Head of the Human Rights Policy Unit in the New Zealand Human Rights Commission. She was part of senior management in the financial services industry. She was a law lecturer at the Chinese University of Hong Kong and taught Administrative Law and Mediation. She was formerly Senior Crown Counsel in the Commercial Crimes Unit at the Hong Kong Attorney General s Chambers and prosecuted corruption and commercial crime cases. She represented the Hong Kong government at the Privy Council. Most recently she was the Secretary to the Mediation Task Force chaired by the Secretary for Justice and worked on the enactment of the Mediation Ordinance for Hong Kong. Sou Chiam is a Ll.M. from the University of Cambridge. Reuben A. Guttman Reuben Guttman is a director at Grant & Eisenhofer. His practice involves complex litigation and class actions. He has represented clients in claims brought under the U.S. Federal False Claims Act, securities laws, the Price Anderson Act, Department of Energy (DOE) statutes and regulations, the Worker Adjustment and Retraining Notification Act (WARN), Racketeer Influenced and Corrupt Organizations Act (RICO) and various employment discrimination, labor and environmental statutes. He has also tried and/or litigated claims involving fraud, breach of fiduciary duty, antitrust, business interference and other common law torts. Mr. Guttman has been counsel in some of the largest recoveries under the Federal False Claims Act, including U.S. ex rel. Johnson v. Shell Oil Co., 33 F. Supp. 2d 528 (ED Tex. 1999), where over $300 million were recovered from the oil industry. He also represented one of the six main whistleblowers in litigation resulting in the U.S. government s September 2009, $2.3 billion settlement with Pfizer Pharmaceutical. Cases brought by Mr. Guttman under the False Claims Act on behalf of a European whistleblower resulted in a $13 million settlement with a U.S. Department of Defense contractor. Mr. Guttman also served as lead counsel in a series of cases resulting in the recovery of more than $30 million under the U.S. Federal Fair Labor Standards Act. Cases brought by Mr. Guttman on behalf of nuclear weapons workers at Manhattan Project nuclear weapons sites resulted in U.S. congressional oversight and changes in procurement practices affecting the U.S. nuclear weapons complex. In addition, he served as lead counsel in litigation brought on behalf of prison workers in the U.S. District of Columbia, which resulted in injunctive relief protecting workers against exposure to blood-borne pathogens. Mr. Guttman served as lead counsel in a mediation before the United States Equal Employment Opportunity Commission, resulting in work place standards and back pay for minority employees at a large Texas oil refinery

2 Mr. Guttman is the author and/or editor of numerous articles and technical publications. He is co-author of Gonzalez v. Hewitt, a case file published by the Emory University Law School Center for Advocacy and Dispute Resolution (2010) and used to train law students and practicing attorneys. He has appeared on ABC Nightly News and CNN, and has been quoted in major publications including The Wall Street Journal, The Washington Post, The Los Angeles Times, The Atlanta Journal-Constitution, USA Today, Houston Chronicle, Dallas Morning News and international wire services including the Associated Press and Reuters. In addition to his writings, Mr. Guttman has testified before committees of the United States House of Representatives and the United States Senate on the Asbestos Hazard Emergency Response Act (AHERA). In 1992, he advised President-elect Clinton s transition team on labor policy and worker health and safety regulation. Mr. Guttman earned his law degree at Emory University Law School graduating in 1985, and his Bachelor s Degree from the University of Rochester in He is a Senior Fellow and Adjunct Professor at the Emory University School of Law Center for Advocacy and Dispute Resolution. As part of a U.S. State Department program in conjunction with the Center for Advocacy and Dispute Resolution, he has been one of five visiting professors at Universidad Panamericana in Mexico City training Mexican Judges and practitioners on oral advocacy and trial practice. He is a contributing editor of a soon to be published text book on trial practice for Mexican practitioners. Mr. Guttman is a faculty member of the National Institute of Trial Advocacy. He has been a guest lecturer at a number of universities including Jao Tong University in Shanghai, Peking University in Beijing and Renmin University in Beijing. In 2006 he was invited by the Dutch Embassy in China to share his expertise with experts in China about changes to the nation s labor laws. He is a Co-Founder of Voices for Corporate Responsibility, and founder of and Stuart H. Leckie, O.B.E., J.P., FIA, FSA Mr. Stuart Leckie is Chairman of Stirling Finance Limited and advises on investments and pensions in Asia. He is the author of books titled Investment Funds in China and Pension Funds in China. He is the Founding Chairman of the Hong Kong Retirement Schemes Association, acts as an advisor or trustee to a number of funds and is a member of the CFA Institute Advisory Council. Mr. Leckie has been based in Hong Kong since He has served as the Chairman of Watson Wyatt in Asia - Pacific and as Chairman of Fidelity Investments, Asia-Pacific. He has advised the Chinese Government on pension reforms and advised the Hong Kong Government on the establishment of the Mandatory Provident Fund. He was a Director of Exchange Fund Investment Limited which managed the Hong Kong Government s Tracker Fund, the first E.T.F. in Asia. Mr. Leckie has an Honours degree in Pure Mathematics from the University of Glasgow, and he is a Fellow of the Institute of Actuaries (U.K.) and of the Society of Actuaries (U.S.A.). Mr. Leckie has been President of the Actuarial Society of Hong Kong. He is appointed Justice of the Peace by the Hong Kong Government, and was awarded an O.B.E. by the British Government

3 Anthony Neoh, SC, JP Mr Anthony Neoh was former Chief Advisor to the China Securities Regulatory Commission ("CSRC") and in addition to being Visiting Professor at Peking University, he holds various adjunct academic appointments in universities in China, including Hong Kong. He was Chairman of the Hong Kong Securities and Futures Commission ("SFC") from 1995 to 1998 and chaired the Technical Committee of the International Organisation of Securities Commissions ("IOSCO") from 1996 to Prior to his appointment as Chairman of the Hong Kong Securities and Futures Commission, he had been in various directorate positions in the Hong Kong civil service( ) and was at the private Bar from 1979 to Anthony Neoh became Chairman of the Securities and Futures Commission (SFC) on 1 February In September 1996, he was elected Chairman of the Technical Committee of the International Organisation of Securities Futures Commissions, a Committee which develops uniform regulatory standards for the most developed markets of the world. On 1 July 1997, he was appointed by the Standing Committee of the National People Congress as a Member of the Basic Law Committee. Upon completion of his term as Chairman of the SFC in September 1998, he was invited by Premier Zhu Rongji to be Chief Advisor of the CSRC. Before commencing practice at the private bar in 1979, Mr Neoh had been an Administrative Officer of the Hong Kong Government for 13 years, having served in a number of directorate appointments, the last of which was as an Assistant Director in the Independent Commission Against Corruption. In the private Bar, Mr Neoh principally engaged in trial and appellate work before the Hong Kong Courts and the Privy Council in London and had been a deputy judge of the High Court in the Supreme Court of Hong Kong. He is also admitted to practise in California and had practised in San Francisco with the law firm of Pilsbury, Madison and Sutro, as a member of the California Bar. Mr Neoh served as a member of the Hong Kong Stock Exchange Council and its Listing Committee, and chaired its Disciplinary Committee and Debt Securities Group. As a Member of the Exchange HK/China Listing Group, he was instrumental in developing the legal framework which facilitated the listing of PRC enterprises on the Stock Exchange of Hong Kong. Among his wide-ranging public service activities since practising at the private Bar, Mr Neoh served as a leading member of the Board of the Hospital Authority. Prior to taking up his appointment in the SFC, he also served in a wide range of public-boards including civil aviation, tertiary education, social welfare, civil service manpower and remuneration, corruption prevention and investigation, legal professional development, and employee compensation. Mr Neoh's other formal PRC Mainland appointments include : Arbitrator, China International Economic and Trade Arbitration Commission, Hon. Legal Advisor to the Shenzhen, Xiamen and Fujian governments, and Economic Adviser to the City of Tianjin. His academic appointments include Visiting Professor to the Chung Shan, Peking, Tsinghua, Nankai, Xi'an Jiaotong and Zhejiang Universities in China, as well as Adjunct Professor at the City University of Hong Kong, Adjunct Professor at the National School of Public Administration and Honorary Professor at the Hong Kong Polytechnic University. For the Academic Year , he will be visiting Professor from Practice at the Harvard Law School. A member of the English Bar (1976 Gray's Inn), Hong Kong Bar (1976) and California Bar (1984), Mr Neoh was appointed Queen's Counsel (now retitled, Senior Counsel) in April - 3 -

4 1990. He is a law graduate of London University and had been a Visiting Scholar at the Harvard Law School. Mr Neoh's research interests lie in public policy in the field of financial and legal reforms. Alexander Reus, J.D. (Germany/USA), LL.M. Alexander Reus is a Board Certified International Lawyer with German and U.S. law degrees and an attorney-at-law in the United States (NY, DC, FL), a solicitor in England and Wales and a European attorney in Germany (Frankfurt Bar). He has 20 years of experience in international litigation and investment related matters and is the founding partner of DRRT. Mr. Reus focuses his practice on cross-border investor protection and loss recovery for global institutional investors. As a partner in both small and large international law firms, Mr. Reus has worked on many complex international corporate and litigation matters and is currently involved in over 10 multi-billion dollar investor law suits across 4 continents seeking compensation on behalf of a clientele managing over $8 trillion in assets under management. Mr. Reus has been published widely in Europe, the Middle East and the United States and is a frequent lecturer and speaker on various topics of international law, practice and procedure. Paul Smith, CFA Paul Smith, CFA, is managing director of Asia Pacific at CFA Institute. He has more than 25 years of relevant financial services leadership experience in many aspects of the investment management industry. He has lived and worked in Hong Kong for more than 14 years and is dedicated to the Asia Pacific market. Mr. Smith previously worked for HSBC and the Bank of Bermuda, both institutions with global operations. In addition, he has pursued entrepreneurial roles, most recently running his own firm Asia Alternative Asset Partners. He has managed global teams as large as 1,500 staff in 13 locations. Mr. Smith also volunteers as a council member and former board member of the Alternative Investment Management Association, a membership organization that promotes the industry s global development. He holds a master of arts degree in modern history from Oxford University and is a chartered accountant and a CFA charterholder. Tan Kin Lian Mr. Tan Kin Lian started his insurance career in 1966 and qualified as a Fellow of the Institute of Actuaries in He joined NTUC Income in 1977 as the general manager (later re-designated as chief executive officer). During his stewardship of 30 years, the total assets increased 600 times from $28 million to over $17 billion as the time of his retirement on 28 February From 1992 to 1997, he was Chairman of the International Co-operative and Mutual Insurance Federation (ICMIF), an international organisation representing 123 insurance groups in 65 countries. Mr. Tan was conferred the Friend of Labor Award in 1978, the Public Service Medal in 1983, the Rochdale Medal Award in 1992, the Financial Personality of the Year Award in 2000, the - 4 -

5 2001 International Management Action Award, the Public Service Star in 2004, Leading CEO Award 2005 and the Friend of I.T in After retiring from NTUC Income, Mr. Tan founded Tan Kin Lian & Associates Pte Ltd. He also lectures as an adjunct professor in Singapore Management University. He is the founding President of the Financial Services Consumer Association in Singapore. During the global financial crisis in 2008, Mr. Tan was active in assisting the investors who lost their investments in the Lehman Minibond and other credit linked notes. He submitted four petitions to the monetary authority on behalf of the investors and conducted several meetings at Speakers Corner in Singapore. These meetings were actively covered in Youtube. Mr. Tan is able to share his insights into the flaws of the regulatory system that led to the mis-selling of these financial products and measures that can be taken to prevent their recurrence in the future. Mr. Tan will share a special insight that is not generally known. Many observers thought that it is a failure in the sales advisory process, i.e. that the financial advisers had given bad advice to the investors. Mr. Tan s view is that the problem lies behind the creation of these products, and the approval of these products for sale. In most cases, the advisers were themselves naïve about the products that they sell to the consumers, or to their own friends. Mr. Tan will share what can be done by regulator to identify the potentially bad financial and investments products that are still being offered for sale to the general public, including the potential scams that are not regulated by any agency