CII Spring 2019 Conference

Speakers

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Jeff Bailey
Former Senior Director, Benefits, Target Corporation
Jeffery V. Bailey, CFA, prior to his retirement, was Senior Director, Benefits, at Target Corporation, where he supervised the administration of the company’s qualified and nonqualified retirement plans, health plans, and absence management plans as well as directed the investment programs of the company’s $10+ billion defined-benefit and defined-contribution plans. Previously, Mr. Bailey was a managing partner of Richards & Tierney, a Chicago-based pension consulting firm specializing in quantitative risk control techniques. Prior to that position, he was assistant executive director of the Minnesota State Board of Investment, which manages the pension assets of Minnesota public employees. Mr. Bailey has published numerous articles about pension management. He co-authored the textbooks Investments and Fundamentals of Investments with William F. Sharpe and Gordon J. Alexander and co-authored the Research Foundation of CFA Institute publications A Primer for Investment Trustees and Controlling Misfit Risk in Multiple-Manager Investment Programs. Among other boards, Mr. Bailey has served on the Minnesota State Board of Investment’s Advisory Council and the University of Minnesota Foundation Investment Advisors board of directors. Mr. Bailey received a BA in economics from Oakland University and an MA in economics and MBA in finance from the University of Minnesota.
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Ken Bertsch
Executive Director, Council of Institutional Investors
Bertsch was named Executive Director of the Council of Institutional Investors in March 2016.
He has more than 30 years of experience across a wide range of investment, consulting,
management and corporate governance roles. He most recently served as a Partner at
CamberView Partners. He previously was President and CEO of the Society of Corporate
Secretaries & Governance Professionals; Executive Director for corporate governance and
proxy voting at Morgan Stanley Investment Management; Managing Director for corporate
governance analysis at Moody's Investors Service; Director of the governance engagement
program at TIAA-CREF; and in various roles at the Investor Responsibility Research Center. He
holds a JD from Fordham University School of Law and an undergraduate degree from Williams
College.
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Amy Borrus
Deputy Director, Council of Institutional investors
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Andrew Cave
Head of Governance & Sustainability, Baillie Gifford

Andrew Cave is Head of Corporate Governance at the Edinburgh-based investment management firm Baillie Gifford. Prior to joining Baillie Gifford in May 2015 Andrew was Chief Sustainability Officer for RBS, where he was responsible for helping to develop RBS’s approach to corporate responsibility in the wake of the financial crisis.

Andrew graduated from London’s School of Oriental and African Studies (SOAS) with an MSc in International Development in 2001, after completing an MA in History at the University of Edinburgh. Andrew is a former Chairman of the UK Network of the Global Compact.

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Bob Dannhauser
Head, Global Private Wealth Management, CFA Institute
Robert W. Dannhauser, CFA is head of Private Wealth Management at CFA Institute, based in New York. He is responsible for aligning CFA Institute credentials and member services to the needs of wealth management practitioners in the Americas. Previously, he was global head of Capital Markets Policy at CFA Institute, and also headed the Professional Standards group there. Before joining the CFA Institute staff in 2007, Bob held sales, marketing, and client portfolio management roles with several institutional investment managers. He is a CFA charterholder and has also earned the Financial Risk Manager (FRM) and Chartered Alternative Investment Analyst (CAIA) designations. Bob holds a MBA in Finance from the Johnson Graduate School of Management at Cornell University; a MPH in Health Policy from Rutgers University; and a BA in Political Science from the George Washington University.
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Peggy Foran
Chief Governance Officer, SVP and Corporate Secretary, Prudential Financial

Ms. Foran is Chief Governance Officer, Vice President and Corporate Secretary of Prudential Financial, Inc. She has been a corporate governance leader throughout her career at Sara Lee Corporation, Pfizer, Inc. and J.P. Morgan & Co., Inc. She is admitted to the New York, Illinois, Pennsylvania, and New Jersey (In-house) Bars. Ms. Foran is a Director on the Board of Occidental Petroleum Corporation and Chairperson of its Corporate Governance, Nominating and Social Responsibility Committee . She previously served on the Board of Directors of The MONY Group Inc. and MONY Life Insurance Company. Her many contributions to the Society of Corporate Secretaries and Governance Professionals is evidenced by her leadership roles as former Chairman, former director, former Chair of the Securities Law Committee, and former Treasurer.

Her proactive shareholder outreach and thought leadership on key governance issues has earned her global recognition as a leader in corporate governance. She has been recognized as one of the Most Influential People in Corporate Governance by Directorship Magazine for five consecutive years. In 2011, she was identified by Treasury and Risk Magazine as one of the Most Influential People in Finance. In 2013, Corporate Secretary Magazine named Ms. Foran “Governance Professional of the Year”. In 2015, Ms. Foran received the Linda Quinn Lifetime Achievement Award from TheCorporateCounsel.net.

Ms. Foran received her B.A., magna cum laude, and J. D. degrees from the University of Notre Dame.

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Jeff Gramm
Co-Founder and Portfolio Manager, Bandera Partners

Jeff Gramm is co-founder and portfolio manager at the hedge fund Bandera Partners. Gramm, who co-founded the hedge fund with Greg Bylinsky in 2006, also serves as a director on the boards of two companies that Bandera took a large stake: Tandy Leather and Rubicon Technology. He also served on the boards of Peerless, Morgan’s Foods, and the now defunct Ambassadors Group.

He teaches applied value investing at Columbia Business School. Prior to starting Bandera, Gramm was a junior partner at a start-up investment advisor Arklow Capital. He is the author of the 2016 corporate governance book Dear Chairman: Boardroom Battles and the Rise of Shareholder Activism, a book about shareholder activism.

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John Griswold
Senior Consultant, Association of Governing Boards of Universities and Colleges

Also: Founder & Senior Advisor, Commonfund Institute (retired)

As head of Commonfund Institute, John directed investor education and market research activities for Commonfund, a nonprofit investment management company.

John joined Commonfund in 1992. After founding the Commonfund Institute in 1999 he initiated and supervised the Commonfund Benchmarks Studies of the performance of educational endowments, foundations, operating charities, and healthcare institutions, which collectively survey the investment performance and practices of hundreds of nonprofit institutions annually. In addition, he has spoken at numerous nonprofit and investment industry conferences in the U.S., Europe, Asia and Canada. John retired from Commonfund at the end of 2016.

John has authored articles and book chapters on endowment management, board governance, and the management of investment committees. He has served on many boards and is currently a member of several non-profit boards, including the board of trustees of BoardSource (former Chair), The Boys and Girls Clubs of America, the Greenwich Roundtable (Chair), Grab the Torch, and The Bigs Project. He is a board member of three for-profit startup firms, Modern Guild, HR Moneyball and Alumni Row.

He is a Senior Consultant with AGB, and is a Member-at-Large of the CFA Institute’s U.S. Advocacy Advisory Committee. He has lectured at the annual Pension Trustee Workshop organized by the Council of Institutional Investors and CFA Institute.

John is a graduate of Yale University and attended the Columbia University Graduate School of Business.

 

 

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Sandra Guerra
Board Member, Copel S.A., Vix Logística S.A. and Global Reporting Initiative

Sandra Guerra has served as a board member and chairperson of boards of directors at listed companies, closed companies or organizations since 1995. With her 23 years' experience in corporate governance, she played a part in introducing the concept and in its application in Brazil as one of the founding members of the Brazilian Institute of Corporate Governance (IBGC), where for four years she was the chairperson of the organization's board. On two occasions, she was also a member of the board of directors of the International Corporate Governance Network (ICGN). Ever since she completed her Master's degree in Business Administration at FEA-USP (2009), her research has been focused on the highest governance body, the board of directors, which, from the point of view of the behavioral approach, also takes center stage as the theme of her book “A Caixa Preta da Governança” published in 2017 by Best Business. Certified as a Board Director by the IBGC and as a Mediator by the CEDR-Centre for Effective Dispute Resolution (UK), Sandra continues to serve as a board member – currently at Vale S.A. and GRI (Global Reporting Initiative), based in Amsterdam - and is managing partner at Better Governance, which is a corporate governance consulting firm that focuses on boards of directors.

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Karina Litvack
Board Member, Eni S.p.A. and Business for Social Responsibility

Karina serves on a number of boards and advisory bodies in the UK, Italy and the US, following a 25-year career in finance and investment management, where she developed a particular expertise in corporate governance, business ethics and sustainability. She serves as an Independent Non-Executive Director on the Board of Italian oil & gas company Eni SpA, currently on the Control & Risks Committee and the Sustainability & Scenarios Committee, having previously also been a member of the Compensation Committee.  She also serves on the Board Directors of Business for Social Responsibility (BSR); the Senior Advisory Panel of oil & mining sector consultant Critical Resource; the Global Advisory Council of boutique investment bank Cornerstone Capital Inc.; the Advisory Council of private equity firm Bridges Fund Management Ltd.; the Sustainable Development Advisory Panel of software group SAP; and the Transparency International-UK Advisory Council.

Until 2013, Karina ran the Governance and Sustainable Investment activities of UK asset manager F&C Investments*, focusing on equity research, shareholder activism and public policy engagement. 

A dual Canadian and French national, Karina holds an MBA in Finance and International Business from Columbia University Graduate School of Business in New York and a BA in Political Economy from the University of Toronto. 

* now BMO Global Asset Management, a unit of the Bank of Montreal

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Hiro Mizuno
Executive Managing Director and CIO, Government Pension Investment Fund of Japan

Mr. Hiro Mizuno has served as Executive Managing Director and Chief Investment Officer of Japan’s US$1.4trillion Government Pension Investment Fund (GPIF) since January 2015.

Prior to joining GPIF, he was a partner of Coller Capital, a London-based private equity firm. He previously worked at Sumitomo Trust & Banking Co., Ltd. in Japan, Silicon Valley and New York.

Mr. Mizuno is a member of the Board and Asset Owner Advisory Committee of PRI, a co-chair of the Milken Institute’s Global Capital Markets Advisory Council.

He is also an executive adviser to Japanese cabinet on Healthcare and Medical Growth Strategy, a member of Japanese Government Strategic Funds Integrated Advisory Board, a member for Ministry of Education, Culture, Sports, Science and Technology-Japan National University Evaluation Committee.

His engagements in academics involve: an advisor, Office of the President of the University of Tokyo, a guest professor of Osaka University Graduate School of Medicine, an adviser to the Kyoto University’s Center for iPS Cell Research and Application, and a guest professor of Kindai University Global Economic Research Center, a senior fellow of Tel Aviv University Graduate School of Management and a member of the International Executive Committee for the Einstein Legacy Project at Hebrew University.

Mr. Mizuno has an MBA from Kellogg Graduate School of Management, Northwestern University

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Hester Peirce
Comissioner, U.S. Securities and Exchange Comission

Hester M. Peirce was appointed by President Donald Trump to the U.S. Securities and Exchange Commission (SEC) and was sworn in on January 11, 2018.

Prior to joining the Commission, Commissioner Peirce served as Senior Research Fellow and Director of the Financial Markets Working Group (now Program on Financial Regulation) at the Mercatus Center at George Mason University. While at the Mercatus Center, Commissioner Peirce’s research explored how financial markets foster economic growth and prosperity and the role well-designed regulation plays in protecting investors and consumers while promoting financial stability and innovation. Commissioner Peirce co-edited two books, authored publications, testified before Congress, and served on the SEC’s Investor Advisory Committee.

Before joining the Mercatus Center, Commissioner Peirce worked on Senator Richard Shelby’s Committee on Banking, Housing, and Urban Affairs staff as Senior Counsel. In that position, she oversaw financial regulatory reform efforts following the 2008 financial crisis and conducted oversight of the regulatory implementation of the Dodd-Frank Act.

From 2004 to 2008, Commissioner Peirce worked as counsel to SEC Commissioner Paul S. Atkins. Prior to serving Commissioner Atkins, Commissioner Peirce worked as a Staff Attorney in the Division of Investment Management.

Before working at the SEC, 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 B.A. in Economics from Case Western Reserve University and her J.D. from Yale Law School.

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Christine Poon
Chair of the Compensation Committee, Regeneration Pharmaceuticals
Christine A. Poon has been a director of the company since 2010. Ms. Poon is a Professor in the Department of Management and Human Resources at The Max M. Fisher College of Business at The Ohio State University, where she served as Dean and the John W. Berry, Sr. Chair in Business from 2009 to 2014. Prior to joining Fisher, Ms. Poon spent 30 years in the healthcare industry, most recently as vice chairman and worldwide chairman of pharmaceuticals at Johnson & Johnson, where she served on the company's Board of Directors and Executive Committee and was responsible for managing the pharmaceutical businesses of the company. Her areas of expertise include domestic and international business operations and sales and marketing. Prior to joining Johnson & Johnson, she spent 15 years at Bristol-Myers Squibb. Ms. Poon is on the Board of Directors of Prudential Financial, Inc. and the Supervisory Board of Royal Philips Electronics. She was named Woman of the Year by the Healthcare Businesswomen's Association in 2004, and named Business Leader of the Future by CNBC/Wall Street Journal in 2005.
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Kurt Schacht
Managing Director, CFA Institute
Schacht is Managing Director for CFA Institute’s advocacy group. He has overseen CFA Institute policy research, standards and government relations area, with offices in London, Brussels, New York and Hong Kong. During his tenure he has been responsible for the CFA Institute Code of Ethics and Standards of Professional Conduct, the Global Investment Performance Standards (GIPS®), and the CFA Institute Asset Manager Code and one of its flagship publications, the Financial Analysts Journal.

Prior to joining CFA Institute, he served as chief operating officer for a mutual fund complex, general counsel and coo for a Manhattan based hedge fund, and as deputy director/chief legal officer for the State of Wisconsin Investment Board (SWIB). He is an industry practice expert on investment management, corporate governance and financial service industry regulation, including Investment Company Act and Investment Advisers Act rules and practice.

Mr. Schacht is currently serving as a Trustee on the IFRS Foundation which oversees the International Accounting Standards Board (IASB). He is a member of the European Commission's Expert Group on Corporate Bond Market Liquidity based in Brussels. His term recently expired as Chairman of the Investor Advisory Committee for the U.S. Securities and Exchange Commission (SEC), created by the Dodd-Frank Act. He also serves on the Harvard Corporate Governance Forum Advisory Council, the Board of Trustees for the Greenwich Roundtable and the Advisory Board of the Columbia Law School’s Millstein Center for Global Markets. He previously served on the Public Company Accounting Oversight Board (PCAOB) Standing Advisory Group and the SEC’s Advisory Committee for Smaller Public Companies looking at the market impacts of Sarbanes Oxley and the Expert Group for Principles for Responsible Investment of the United Nations Environment Programme (UNEP). He is a member of the CFA Society New York and was voted their 2004 Volunteer of the Year.

He holds a Bachelor of Science degree in Chemistry and a Law degree from the University of Wisconsin-Madison. He has held the Chartered Financial Analyst (CFA) designation since 1998.
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Nandini Sukumar
CEO, The World Federation of Exchanges
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Gabrielle Sulzberger
Board Member, Mastercard and Acorns

Sulzberger has served as general partner and investment manager of the private equity fund Rustic Canyon/Fontis Partners LP since its founding in 2005. Sulzberger has also served as chief financial officer of several privately-owned companies, most recently Crown Services in San Jose, California.

She currently serves on the board of Brixmor Property Group, where she chairs the governance committee. Sulzberger was chair of the Whole Foods Market, Inc. board of directors prior to the company’s 2017 acquisition by Amazon. Previously, she served on the boards of Stage Stores, IndyMac Bank, Bright Horizons Family Solutions and Teva Pharmaceuticals. In 2014, NACD Directorship Magazine named Sulzberger one of the 100 most influential people in the boardroom community.

Sulzberger is a trustee of the Ford Foundation, serves on the board of the WomenCorporateDirectors Foundation, is a member of the Trinity Church Wall Street and is a Henry Crown Fellow of the Aspen Institute.

She received a bachelor’s degree in urban studies from Princeton University, a J.D. from Harvard Law School and an M.B.A. from Harvard Business School.

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Sarah Williamson
CEO, FCLTGlobal

Sarah Williamson is the Chief Executive Officer of FCLTGlobal, a not-for-profit organization dedicated to encouraging long-term behaviors in business and investment decision-making. FCLTGlobal conducts research, convenes business leaders, develops actionable tools and generates broad awareness of ways in which a longer-term focus can increase innovation, economic growth and future savings.

Prior to assuming her current role in July 2016, Williamson spent over 21 years at Wellington Management Company LLP, where she was most recently a Partner and Director of Alternative Investments.  Over that time period, Williamson led the development of alternative investments and client solutions, was the Chair of the Wellington Trust Company, opened the San Francisco office, and served in numerous firm leadership roles globally.

Prior to joining Wellington, Williamson spent over five years with McKinsey & Company Inc. (1989 – 1994). She was also employed by the US Department of State (1986 – 1987) and was a mergers & acquisitions investment banker in New York and London for Goldman, Sachs & Co. (1984 – 1986).

She earned her MBA, with distinction, from Harvard Business School (1989) and her BA in economics, with honors, from Williams College (1984). She sits on the Board of Directors of Evercore, Inc. Additionally, she holds the Chartered Financial Analyst and the Chartered Alternative Investment Analyst designations. She is a US citizen and is married with three grown children.

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