ECM 2020:TRENDS,PREDICTIONS AND LEGAL UPDATEBreakfast Seminar

22 January 2020

HOSTED BY:

Practical Law Capital Markets provides a range of equity and debt capital markets resources produced by Practical Law’s capital markets specialists or contributed by leading practitioners. Capital markets practitioners have easy access to the resources they need in one place, including practice notes, standard documents, current awareness, What’s Market for deal analysis and tracking, and Global Guides on Equity and Debt Capital Markets.

The Forum for US Securities Lawyers in London is an industry group looking at US securities and capital markets with over 1,500 lawyers and market participants from financial institutions, market intermediaries and exchanges.

US securities laws are complex and multi-faceted, rendering them difficult to apply in an international context. The Forum steps into this space and tackles these issues of the application of and compliance with US securities laws in the London and international capital markets. The Forum has greatly contributed to supporting the UK capital markets since 2006 with a wide range of initiatives, activities and publications.

Welcome

Welcome to our breakfast event on Equity Capital Markets (ECM).

The Forum for US Securities Lawyers in London (the “Forum”) is exited to be teaming up with Thomson Reuters Practical Law to bring you this ECM-focused event to help jump start your practice for the new year.

We have assembled a phenomenal list of speakers who are at the top of the profession for what should be a very informative and practical event.

Our first panel with the London Stock Exchange will cover ECM trends in 2019 and predictions for 2020. This panel will be followed by an ECM legal update session, including an update on the IPO reform process and other legal and regulatory changes that impacted UK ECM in 2019 and those that will be implemented in 2020.

Thank you to Reed Smith for generously hosting this event.

We are happy you have chosen to spend your morning with us and we hope that you leave feeling ready to take your practice to the next level for 2020!

Panel One: Setting the Stage 8:30 am to 9:00 am

The first panel will set the stage and feature an update on the political and economic climate for ECM from 2019 and look forward to 2020.

Speakers

Rosie DonachieGroup Head of Government Affairs and Regulatory StrategyLondon Stock Exchange Group

Panel Two: Legal Updates & Outlooks 9:30 am to 9:45 am

This panel will provide an ECM legal update, including an update on the IPO reform process and other legal and regulatory changes that impacted UK ECM in 2019, as well as those that will be implemented in 2020.

Speakers

Nicholas BaumgartnerDirector and Head of ECM Legal for EMEACiti

Mark BicknellManaging Director and Associate General Counsel, ECM LegalBank of America Merrill Lynch

Deborah SmithExecutive Director and Senior Counsel, Investment Banking Legal Goldman Sachs

Question & Answer Session 9:45 am to 10:00 am

Moderators for the Programme (Panel One & Panel Two)

Edward BibkoManaging Director and General Counsel for EMEA, JefferiesCo-Chair, Forum For US Securities Lawyers in London

Daniel WinterfeldtPartner, Global Capital Markets, Reed SmithCo-Chair, Forum for US Securities Lawyers in London

Programme

Mark BicknellManaging Director and Associate General Counsel, ECM Legal Bank of America Merrill Lynch

Mark Bicknell is a Managing Director and Associate General Counsel ofBank of America in London, providing legal and general counsel to thebanking, corporate finance, corporate broking and capital markets

teams, primarily in relation to equity, equity-linked and certain debt transactions within Europe, the Middle East and Africa, and managing the EMEA ECM Counsel team.

Before moving to Merrill Lynch, he was a corporate and equity and debt capital markets lawyer at Linklaters, in their London and Singapore offices.

Edward BibkoGeneral Counsel for EMEA and AsiaJefferies

Edward Bibko is the General Counsel, EMEA and Asia, for Jefferies.Previously he was EMEA head of capital markets for Baker McKenzie, andspecialized in cross-border listings onto the London Stock Exchange.

Edward is US- and UK-qualified and based in London. In addition to acting as co-chair of the US Lawyers in London Forum, he is on the Court of the Worshipful Company of Solicitors. He lives with his wife and two elderly cats and enjoys mixing cocktails.

Nicholas Baumgartner. Head EMEA ECM Legal

Citi

Nicholas Baumgartner is Deputy General Counsel at Citi and is based inLondon. Nicholas joined Citi in 2010, and leads legal coverage of Citi’sequity capital markets and equity-linked businesses, as well as Citi’s

analyst research business, throughout Europe, the Middle East and Africa. Previously, Nicholas worked in the corporate department of Freshfields Bruckhaus Deringer, where he began his legal career.

Nicholas’ expertise includes initial public offerings and listings on global stock exchanges; follow-on offerings of major financial institutions and corporates; offerings of equity-linked securities, in particular by FIG and emerging market issuers; SEC-registered offerings and ongoing reporting filings; offerings of high-yield debt; cross-border M&A transactions; private placements; and accelerated equity offerings and block trades.

Nicholas is admitted to the New York State Bar and holds a J.D. from Vanderbilt University Law School, a B.A. in German Literature from Oberlin College and a B.Mus. in Piano Performance from Oberlin Conservatory of Music. Nicholas has published articles in the Vanderbilt Journal of Entertainment and Technology Law and in BACH, Journal of the Riemenschneider Bach Institute.

Speakers’ Biographies

Rosie DonachieGroup Head of Government Affairs and Regulatory Strategy London Stock Exchange Group

Rosie Donachie is Group Head of Government and Regulatory Affairs atLondon Stock Exchange Group (LSEG) where she leads global policy andregulatory strategy across key LSEG markets and government and otherstakeholder engagement.

Prior to joining LSEG Rosie was Director of Head of Corporate Affairs EMEA at BHP, the FTSE 15 global resources company where she led global public and sustainability policy. Before joining BHP, Rosie was Head of European Government Relations at Kingfisher PLC, based in Paris and London. Rosie spent over a decade working in government in political and strategic policy roles, including 10 Downing Street, for Prime Ministers Gordon Brown and David Cameron; the UK Cabinet Office; and the Behavioural Insights Team.

Rosie started her career as a fonctionnaire in the European Parliament, based in Brussels.

Deborah A. SmithExecutive Director and Senior Counsel, Investment Banking Legal Goldman Sachs

Deborah is an executive director / senior counsel in the legal departmentto the Investment Banking Division at Goldman Sachs International. Shealso serves as co-chair of the firm’s EMEA Pro Bono Committee and is a

member of the Steering Committee of the London Legal, Compliance, Internal Audit & Executive Office Women’s Network. Deborah joined Goldman Sachs in 2012. Prior to joining the firm, Deborah worked as a US Associate / Counsel at Linklaters, having worked in their Paris, Dubai and London offices. Deborah earned a BA in Political Science from Dartmouth College in 1995 and a JD from New York University School of Law in 2000.

Daniel WinterfeldtGlobal Capital Markets Partner, Reed Smith Founder & Chair, InterLaw Diversity ForumFounder & Co-Chair, The Forum for US Securities Lawyers in London

v D Daniel is a partner in Reed Smith’s Global Capital Markets practice in

their London office, and is a Senior Diversity Consultant to thefirm. Daniel’s practice focuses on representing US, UK, European and

Asian investment banks and corporate issuers in a wide range of securities transactions, including Rule 144A and Regulation S equity and debt offerings.

Daniel is the founder (2006) and co-chair of the Forum for US Securities Lawyers in London, a trade association which address US securities issues in the London market across law firms, banks and intermediaries. [insert numbers of people for the Forum]

Daniel is also the founder (2008) and chair of the InterLaw Diversity Forum, which seeks to promote inclusion and meritocracy in the legal sector. The InterLaw Diversity Forum currently has more than 6,500 members and supporters from over 300 law firms and chambers, and over 500 corporates and financial institutions.

Daniel will be appointed as Queen’s Counsel Honoris Causa (”Honorary QC”) in March 2020.

Speakers’ Biographies

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