The definitive resource for understanding and managing sanctions-related risk
Kharon Is
Kharon Matters
How do businesses use Kharon?
Kharon provides an integrated solution for managing sanctions-related risk® that is designed to fit seamlessly into your policies, procedures and internal controls. Choose from the following Kharon solutions to meet your operational needs:
Kharon ClearView
Search-based access to the entire body of Kharon research and analysis that has been led, reviewed and approved by Kharon experts. Review simple visual charts and detailed analyst notes to evaluate complex associations with sanctioned actors. Use ClearView for due diligence and enhanced due diligence, and to improve the quality and efficiency of investigations and escalations. Engage with Kharon experts for subject matter support.
Kharon Dynamic Analytics
Receive subsets of Kharon data tailored to your specific requirements, to enhance your risk screening filters and scoring systems. Reconcile legacy sanctions-related screening lists with Kharon data. Batch screen customers, counterparties, vendors or partners to identify potential exposure to sanctioned networks and jurisdictions.
Kharon Brief
Updates, insights and analysis featuring expert research on recent sanctions actions and sanctioned networks. Review in-depth information on the scope, impact and trends for each sanctions program, including risk typologies that highlight commercial activities.
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KHARON ClearView
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KHARON Dynamic Analytics
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KHARON Brief
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| Due Diligence | |||
| Risk Assessment | |||
| KYC | |||
| Investigations | |||
| Hidden Relationships | |||
| Escalations | |||
| Sanctions-Related Screening | |||
| Training | |||
| Current Trends | |||
| Business Intelligence | |||
| Reputational Risk | |||
| Efficiencies & Cost Savings | |||
| Risk Control Framework Enhanced |
What is Kharon for enterprise?
Kharon provides reliable and actionable sanctions-related risk intelligence to financial services firms and other multinational institutions. Founded and led by former officials of the US Department of the Treasury, Kharon is the most comprehensive and reliable way to manage the risk of exposure to sanctioned networks and jurisdictions.
Kharon enables you to manage risk in accordance with your internal policies, and to transparently demonstrate performance to regulators and other stakeholders. The advent of Kharon fundamentally redefines what reasonably can be known about your customers, counterparties, partners and vendors and their associations with sanctioned actors and jurisdictions worldwide.
What does Kharon do?
The networks that surround sanctioned actors and jurisdictions can be complex and opaque, and include relationships that can go undetected even by mature risk control frameworks. Kharon enables you to quickly surface and understand nearly any material nexus between your customer, counterparty, partner, or vendor, and a sanctioned actor or jurisdiction.
Kharon is led by a highly trained, multilingual team of analysts whose findings are always backed by publicly available sources. Through exhaustive, detailed and technology-enhanced investigations, Kharon provides refined data — not big data — reflecting the analysis of our experts.
Kharon research is always decision-neutral, enabling customers to make informed decisions in accordance with their own policies, procedures, risk profile and commercial priorities.
Managing risk & security challenges
Beyond sanctions compliance, if you have international interests and business relationships, Kharon represents a powerful tool for understanding and managing risks to your organization. Global sanctions programs correspond with the most challenging problems on the global agenda and identify the key individuals and entities associated with them.
Kharon covers sanctions programs related to issues of terrorism, WMD and weapons proliferation, drugs and multinational crime, human rights violations, corruption and cyber threats, as well as country-focused sanctions programs on North Korea, Iran, Russia, Syria, Venezuela, Myanmar and Zimbabwe.
Kharon in Action
A sound risk control framework requires the ability to identify customers or counterparties that are materially associated with sanctioned actors. Managing exposure to sanctions-related risk is more complex than developing lists of majority owned subsidiaries, but no less significant.
Kharon Dynamic Analytics enhances your screening and risk scoring. Kharon ClearView supports account opening, KYC, investigations, and escalations. The Kharon Brief keeps you abreast of sanctions-related developments and is a key component of your training program.
Do you have the right tools to identify where your customers, vendors, distributors and partners are involved with sanctioned actors or jurisdictions? Kharon helps you identify where your enterprise may be exposed to hidden relationships and front organizations that can raise the risk of diversion.
Kharon Dynamic Analytics provides an automated approach to enhance your sanctions-related risk screening. Kharon ClearView streamlines staff time spent doing research and provides critical business intelligence to support decision making.
Leading law firms use Kharon in the course of advising clients on economic sanctions, AML, export controls, and trade matters. When your clients need clarity on their possible exposure to sanctioned actors and their related parties, Kharon provides unparalleled confidence and cost efficiency.
Kharon also helps law firms manage their own sanctions-related and reputational risk. Get alerted if a prospective or existing client is part of a network of sanctioned actors. Merging or acquiring another firm or practice group? Quickly screen all new clients to surface any sanctions-related nexus that may fall outside your risk profile.
When underwriting coverage, investigating claims, or managing agents and distribution partners, surfacing undisclosed links to sanctioned actors and jurisdictions in a timely and efficient manner is key. Kharon Dynamic Analytics integrates with your screening program to surface risk and inform on policies that may warrant additional scrutiny for regulatory or reputational reasons.
Are policyholders that you underwrite at risk of losses due to sanctions-related risk? Find out how enterprises have reduced premiums following successful deployment of Kharon in their risk control frameworks.
With Kharon, you have access to the most comprehensive data and advanced analytics on parties associated with sanctioned actors and jurisdictions. Be confident that you can identify and assess how the application of sanctions against major economies, companies, industries, and state-owned entities may impact your firm, clients and deals.
When conducting due diligence on potential investments and partners, use Kharon to surface and thoroughly understand sanctions-related exposure to your portfolios. In addition, Kharon is an important element of your KYC process for new and existing clients to avoid unforeseen reputational or regulatory consequences.
If your clients rely on you to establish or review risk control frameworks, conduct refresh or look-back projects, provide due diligence support, or manage PR and reputational risk, Kharon is your comprehensive solution for sanctions-related risk. Keep your sanctions experts on the cutting edge with the Kharon Brief. Get trained on Kharon ClearView and Kharon Dynamic Analytics to stay apace with best practice and client needs.
Contact us to learn how your clients are using Kharon, and how you can use Kharon in your client engagements.
Policy and regulatory expectations are continuously evolving and screening against OFAC and other government lists is no longer good enough. Kharon resets the standard on what is reasonable to know when it comes to identifying and managing risk of exposure to networks and jurisdictions targeted by sanctions. Use Kharon ClearView and Kharon Dynamic Analytics to measure and test risk control frameworks. Review the Kharon Brief to sharpen your knowledge on possible sanctions exposure under your oversight.
Sanctions have been a primary tool to counter Iran and its activities that threaten global security. Since 2005, the UN, US and EU have sanctioned over 700 actors tied to Iran’s missile program, support for terrorist groups, cyber attacks, and violations of human rights. Another 500 actors were sanctioned prior to the JCPOA nuclear deal with Iran, which resulted in their delisting.
With Kharon you can evaluate the nexus between sanctioned actors and supply chains, infrastructure projects, procurement networks, state-owned entities, ownership structures, and other significant commercial activity that touches approximately 35 countries across 6 continents.
Kharon covers over 30 sanctions programs, including the seven headline programs listed above.
US and EU sanctions against Russia touch on cyber actors, Crimean separatists, business associates of President Putin, and major financial, defense and energy firms. Russia is a significant actor in the global economy, including energy, capital markets, infrastructure development and trade, underpinning your need to understand the intersection of sanctions and commercial activity.
Kharon’s decision-neutral approach enhances your capacity to establish and implement intelligent policies and control frameworks, and surface unseen risk.
Kharon covers over 30 sanctions programs, including the seven headline programs listed above.
Despite its relatively isolated and underdeveloped economy, Asia-based trade relationships with the DPRK have created hidden exposure to the rogue regime. While attempting to address the DPRK’s nuclear and missile program, US, EU, and UN sanctions have been enforced against nearly all significant commercial and banking activity.
North Korea leans on trading partners, shell companies, and hidden ownership interests across commercial and financial hubs in Asia to sustain its economy. Kharon shows you where and how.
Kharon covers over 30 sanctions programs, including the seven headline programs listed above.
Terrorism sanctions programs present unique risks and challenges, against the backdrop of a complex landscape of terrorist groups, front organizations, fundraisers, and facilitation networks. Designations have exposed commercial and humanitarian entities across the globe led by supporters of terrorist organizations. In order to conduct their affairs, these actors often mine the gaps of international enforcement and regulatory frameworks.
Kharon’s deep data research and analysis on terrorist organizations — including al-Qaida, ISIS, Hizballah, Hamas, Lashkar e-Tayyiiba, Afghan and Pakistan Taliban, PKK, and others — creates visibility around the networks of individuals and entities that work with, and provide support or services to, designated terrorist actors.
Kharon covers over 30 sanctions programs, including the seven headline programs listed above.
One of the world’s top oil-producing nations, Venezuela has been beset by political turmoil and a failing economy. The US has imposed sanctions on Venezuelan actors for drug trafficking, corruption, and repression of democracy. Financing restrictions on the country’s state-owned enterprises, including the PDVSA oil behemoth, compound the complexity of Venezuela’s commercial landscape.
Kharon helps you understand the Venezuelan government’s economic reach, which spans over 600 state-owned enterprises with over 1000 government-appointed leaders. Explore the joint ventures and business associations between these enterprises and international actors, as well as the Venezuelan military’s influence over sectors of the economy.
Kharon covers over 30 sanctions programs, including the seven headline programs listed above.
Once considered at risk of collapse, the Assad regime in Syria has faced comprehensive sanctions focused on its chemical weapons program, activities in Lebanon, support for terrorist organizations, and human rights violations. These sanctions have aimed to isolate supporters and commercial facilitators of the Syrian government, including providers of energy and financial services.
Survey the reach of sanctions across Syria’s government-controlled and private sector economy. Review relationships with overseas actors that have fallen into — or stayed out of — the sanctions net.
Kharon covers over 30 sanctions programs, including the seven headline programs listed above.
Drug traffickers and other criminal organizations across the globe have been targeted with sanctions, such as the Ajily Software Procurement Group in Iran, Camorra in Italy, Chinese fentanyl traffickers, Yakuza in Japan, and drug cartels across North, South and Central America.
From pawn shops in Mexico to chemical supply companies in China, Kharon presents the most comprehensive data on these sanctioned networks, including extensive analysis of criminal litigation records covering defendants, money transfers, and illicit schemes.
Kharon covers over 30 sanctions programs, including the seven headline programs listed above.
Kharon QuickView
Our Team
Matthew Epstein CEO and Chairman
Matthew leads and supports the Kharon team in executing the strategic mission of the company - to provide industry with the definitive resource for understanding and managing sanctions-related risk. Matthew served at the US Treasury Department from 2003 to 2010, in the Office of Foreign Assets Control (OFAC), the Office of Terrorism and Finance Intelligence (TFI), and as a Financial Attaché. Matthew spent four years in Washington D.C. working on Middle East and Iran-related terrorism finance issues, and three years based in the Gulf leading all regional sanctions and economic policy coordination for the Treasury Department. Prior to co-founding Kharon and its parent company, The Camstoll Group, Matthew headed the Middle East office for ICE Canyon - a global investment firm specialized in emerging market and global credit strategies. Matthew received his BA from UC Berkeley and JD from UCLA, where he serves on the Dean’s Board of Advisors. Matthew has provided expert testimony before the US Senate and US House of Representatives, and been published in, cited by, and appeared on major media outlets including the Financial Times, New York Times, National Review, CNN and Fox News.
Benjamin Schmidt Chief Product Officer
Kharon is underpinned by Benjamin’s vision to develop augmented analytic tools and offer specialized media products that harness the optimal mix of analysts and technology. As an intelligence professional at the US Treasury Department Office of Terrorism and Financial Intelligence, Benjamin worked with all major visual analysis products and led related technology adoption initiatives. His work as a senior analyst drove sanctions actions for the Treasury Department and briefs for the Intelligence Community. Benjamin specializes in the use of technology and open source research to understand complex geopolitical, security, and business issues. He received his MBA from the University of Maryland and BA from George Washington University.
Benjamin Davis Chief Research Officer
Ben heads the Kharon research and analysis team, which supports global institutions with highest caliber sanctions-related risk intelligence. Ben’s unparalleled expertise on the commercial and operational activities associated with sanctioned actors is built on over a decade of experience in the US government, academia, and private legal practice. Ben served as an analyst at the US Treasury Department’s Office of Terrorism and Financial Intelligence, as the US Treasury’s Financial Attaché to the Palestinian Authority based in Jerusalem, and as co-lead of the Iraq Threat Finance Cell in Baghdad. As a practicing attorney, Ben litigated a number of complex financial crime cases. He has taught numerous university courses on terrorism and international law issues.
Mark Nakhla EVP of Research
Mark is responsible for the integrity and strategic direction of all Kharon research for terrorism and Middle East-related sanctions programs. Mark has deep domain expertise on the activities of terrorist support networks and other groups targeted by international sanctions. Mark served as a sanctions officer at the US Treasury Department Office of Foreign Assets Control (OFAC) between 2002-2005 and 2012-2013 investigating terrorist groups and their networks of financiers and facilitators in the Middle East, Asia and beyond. Mark previously served at the US Department of Defense as a Middle East policy adviser, and at Booz Allen Hamilton, where he focused on strategic research and policy planning.
Howard Mendelsohn Chief Client Officer
Howard works closely with business, compliance and legal professionals to strengthen programs and controls for managing financial crime risk. Howard has over two decades of experience in combatting illicit financial activity, in both the government and the private sector. Howard served at the US Treasury Department from 2001 to 2011, including as Deputy Assistant Secretary and Assistant Secretary (Acting) for Treasury’s Office of Intelligence and Analysis. Howard led Treasury’s intelligence functions, including oversight of analytical production, risk assessment, security, and strategic planning. Following his service at Treasury, Howard held leadership positions in Enterprise Compliance at PNC Financial Services Group. He is a recognized thought leader on Financial Crime matters and speaks regularly at conferences.
Janice Gardner Executive Editor
Janice ensures that the highest level of analytic rigor is instilled in Kharon analysts and research products. Janice’s expertise draws from a distinguished career as a senior intelligence professional in the US government. Janice served as the Assistant Secretary of the US Treasury Department’s Office of Intelligence and Analysis from 2005 to 2009. She also served in a variety of other senior leadership positions in the Intelligence Community, including the Central Intelligence Agency, National Counterterrorism Center, the National Security Council, and the Senate Select Committee on Intelligence.
Frazer Burkart CFO
Frazer is responsible for finance and operations for Kharon. Frazer has nearly two decades of experience in financial services, capital markets, and corporate development. Frazer previously worked at The Carlyle Group, where he was part of the team managing investments focused on distressed debt and special situation opportunities. He received his MBA from the Harvard Business School and BA from UC Berkeley.
Joseph Barresi Team Lead, Counterterrorism/MENA
Joseph leads Kharon research on terrorist support networks and related activities. Joseph’s expertise covers funding methodologies, front groups, and analysis of social media communications. Joseph researched terrorism and Middle East security-related issues at the Wilson Center and the Middle East Institute. Joseph holds an MA in Security Studies from Georgetown University.
Rob Duncan Account Director
Rob leads Kharon's UK and Europe sales team and is responsible for Tier 1 banks and financial institutions. With over ten years’ experience of providing financial crime compliance solutions to businesses around the world and a detailed understanding of compliance data and technologies, Rob has delivered foundational, enterprise-wide implementations in the Tier 1 banking space, transformative for both customer and supplier. He has worked extensively with industry leaders and driven partner relationships to deliver solutions to organisations globally, including work on national KYC Utility projects. A member of the original World-Check team in London, Rob brings to Kharon a passion for helping organisations fight financial crime.
David Elam VP of Product
David is dedicated to refining interactions between humans and machines to produce high quality analysis. To this end, David leads various product development and data analysis initiatives at Kharon. David previously worked at Innovations for Scaling Impact, where he analyzed efforts by multilateral institutions to address international security, global supply chains, and the environment. David holds an MA from Johns Hopkins University School of Advanced International Studies and a BA from Occidental College.
Sam Fishman SVP of Technology
Sam leads the technology team at Kharon, bringing experienced leadership in areas such as data analytics, application and data architecture, machine learning, and natural language processing. Sam has developed smart software platforms and provided targeted R&D for companies such as Yahoo, AEG, and multiple startups in industries such as ad tech, search tech, mobile telephony, and entertainment tech. Sam holds an MS in Computer Science from USC with a special designation in Intelligent Robotics.
Paul Gerbino Director of Strategic Partnerships
Paul manages Kharon's partnership efforts, leading and advancing its strategic relationships with technology companies, data providers, and professional services firms. Paul brings nearly a decade of experience in the AML risk and compliance space. Previously, Paul managed business development teams at Bureau van Dijk and also helped to launch and scale the U.S. presence of a UK-based financial crimes data firm.
Megi Hakobjanyan Team Lead, Eurasia
Megi leads the Eurasia research program at Kharon. Megi’s analytic expertise spans complex ownership structures, supply chains, and other commercial relationships. Prior to Kharon, Megi interned with Club de Madrid, where she researched topics related to countering violent extremism. Megi holds an MA from Johns Hopkins University with concentrations in Eurasian Studies and International Economics.
Will Harrington Client Services Manager
Kharon clients rely on Will for training and coordinating research support. Will is an expert at Kharon’s data modeling practices, and works closely with Kharon analysts in the quality assurance process. Will previously worked at the National Consortium for the Study of Terrorism and Responses to Terrorism (START) and the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN). Will holds an MA in Security Policy Studies from George Washington University and a BA from Towson University.
Darci Kovacs Project Manager
Darci manages projects across the technology and product teams at Kharon. She is responsible for moving product initiatives through the lifecycle, from a whiteboard drawing to customer deployment. Darci graduated Phi Beta Kappa from Reed College and holds a BA in Sociology. She previously worked with data as a research assistant for multiple projects in that department, with a particular interest in economic and organizational sociology.
Victoria Lumb SVP of Global Sales
Victoria leads Kharon’s global sales team and operations. She brings to Kharon over a decade of global business development and management experience in AML data and software solutions. Victoria worked ten years at Accuity/Fircosoft building and leading the global sales team and has advised multiple start-ups on launching sales operations and go-to-market strategies.
Kathleen O’Rourke Team Lead, Quality Assurance
Kathleen leads the quality assurance process for Kharon ClearView data, client deliverables, and other research products. Kathleen works with subject matter experts across teams to verify research findings and develop analytical standards. Kathleen previously interned with the Hudson Institute's Center for Political-Military Analysis, the US Department of State, and the Near East South Asia Center for Strategic Studies (US Department of Defense). Kathleen is a graduate of the University of St Andrews (MLitt) and the University of Virginia (BA).
Jordan Olmstead Product Manager
Jordan fuses data driven network analysis and subject matter domain expertise to drive the Kharon Dynamic Analytics offering. Jordan works across Kharon’s data, engineering, and research teams, developing bespoke data models that correspond with typologies of networks targeted by sanctions. Jordan previously worked as a researcher at the American Enterprise Institute (AEI), where he researched Iranian strategic culture and national security strategy. Jordan holds a BA in Middle Eastern Studies from the University of Arizona, where he graduated Phi Beta Kappa.
Diogo Palhano Account Director
Diogo leads Kharon engagement with financial institutions and corporates based in Latin America. Diogo advises institutions on sanctions-related risk typologies that impact commercial activity of major Latin American economies, including Brazil, Argentina, Venezuela, Mexico and Uruguay. Prior to joining Kharon, Diogo worked at a French tech start-up company, where he was responsible for the firm's expansion to German-speaking countries. Diogo also interned with the Association for the German Biofuel Industry and with the Potsdam Institute for Climate Impact Research. Diogo is a graduate of HEC Paris and the Free University of Berlin, and is fluent in six languages.
William Rich SVP of Global Client Engagement
William G. Rich leads efforts to expand into emerging markets and to advise government and regulatory clients. William served from 2015 to 2018 as the U.S. Treasury attaché to the United Arab Emirates and Oman, the U.S. Department of the Treasury’s senior-most representative to the largest financial center in the greater Middle East, South Asia, and Africa. He previously served in national security policy, counterterrorism, and intelligence positions both domestically and overseas. Immediately prior to joining Kharon, William was a visiting fellow at the Council on Foreign Relations (CFR) where his work was featured by The Wall Street Journal, Bloomberg, and WIRED. He is a term member of CFR, an adjunct faculty member of Columbia University, and a visiting scholar at New York University.
Josh Shrager SVP of Key Client Relations
Josh works with Kharon’s key clients on strategic initiatives and partnership opportunities. Prior to Kharon, Josh was a director at data analytics firm Quid, where he managed east coast and Europe client relations operations as well as directed company wide client engagement strategy and implementation. Previously, Josh served in the US Department of the Treasury as the Deputy Financial Attaché to Saudi Arabia as well as co-lead of the Iraq Threat Finance Cell in Baghdad. He also was a US Department of State Foreign Service Officer, with postings in Mexico and The Gambia, where he oversaw the embassy’s Public Affairs office.
Izabella Siemicka SVP of Communications
Izabella leads internal and external communications for Kharon and is responsible for the Kharon brand. Over the past decade Izabella has held senior in-house and consultancy roles in both the UK and the UAE. She has worked with a number of public and private sector clients across a range of industries including financial services, government and education; leading initiatives on stakeholder relations, reputation and brand management. Izabella is a graduate of Cambridge and Harvard Universities.
Edmund Xu Team Lead, Asia
Edmund leads the Asia research program at Kharon. He is responsible for leading the team's research into illicit maritime and other commercial activity involving sanctioned actors, diving into networks that trade in weapons of mass destruction, narcotics, and other prohibited goods. Edmund previously interned with the US Department of State and the Carter Center, where he focused on Asia. Edmund holds an MA in International Relations from Johns Hopkins University and Nanjing University.
Robert Werner Head
Bob Werner is the Founder and CEO of Green River Hollow Consulting LLC, a strategic financial crime compliance consulting company. Most recently, Mr. Werner led the Financial Crime Compliance function of a leading international bank, under the oversight of a Monitor installed as part of the bank’s deferred prosecution agreement. In this role, Mr. Werner was the principal architect and responsible executive for the global operation and assurance of all financial crime policies and procedures, including anti-money laundering, terrorist and proliferation finance, sanctions, anti-bribery and corruption, client selection, and reputational risk programs. He previously held leadership positions in Financial Crime Compliance and Legal and Audit at two other US financial institutions.
Mr. Werner served at the highest levels of the US Treasury Department. As Director of the Financial Crimes Enforcement Network, he led the agency responsible for administering the Bank Secrecy Act and serving as the US’ financial intelligence unit internationally. Mr. Werner was also Director of the Office of Foreign Assets Control, where he was responsible for administering and enforcing economic and trade sanctions based on US foreign policy and national security goals. He served as Senior Counsel to the Under Secretary of the Treasury, Terrorism and Financial Intelligence, and Assistant General Counsel for Enforcement and Intelligence in the Treasury’s Office of the General Counsel.
Mr. Werner is an accomplished attorney. Before his leadership roles in Treasury, he was an Attorney-Advisor in the Justice Department’s Office of Legal Counsel, where he was responsible for drafting legal opinions, reviewing legislation, regulations and executive orders, providing legal advice on both constitutional and statutory issues to client agencies, and advising the Attorney General and White House counsel. Mr. Werner also served as a federal prosecutor in the US Attorney’s Office for the District of Connecticut. He has worked as a partner in a private law firm, and clerked for United States Supreme Court Justices Anthony M. Kennedy and Lewis F. Powell, Jr.
Sunil Bhanot Member
Sunil Bhanot’s experience as a leader in technology engineering spans almost a decade.
Mr. Bhanot is the Director of Engineering at TripAdvisor, overseeing engineering operations for the west coast of the US. Prior to TripAdvisor, he was Head of Engineering at Whalerock Industries overseeing software development and engineering operations. Mr. Bhanot was also the VP of Engineering at Demand Media (now LEAF group), where he oversaw engineering for the media business of the company.
Mr. Bhanot has built and managed small and large engineering teams and worked on media and commerce products across various platforms. He has consulted with various startups in their early phases and until recently worked as a Technology Advisor for the Digital Social Media Graduate School Program at the University of Southern California. Mr. Bhanot has a Masters in Computer Science from the University of Southern California.
Kathleen Casey Member
Kathleen Casey is a senior advisor with Patomak Global Partners. Previously, Ms. Casey served as a Commissioner with the US Securities and Exchange Commission from 2006 to 2011. During her tenure, Ms. Casey acted as the SEC’s principal representative in various international fora, including multilateral and bilateral regulatory dialogues, the G-20 Financial Stability Board, and the International Organization of Securities Commissions (IOSCO).
Prior to being appointed Commissioner, Ms. Casey held various legal and policy roles in the United States Senate. From 2003 to 2006, she was Staff Director and Counsel of the US Senate Banking, Housing, and Urban Affairs Committee. Before serving as Staff Director for the Senate Banking Committee, Ms. Casey held a series of senior advisory roles to U.S. Senator Richard Shelby (R-AL).
Ms. Casey serves as a non-executive director on the board of HSBC Holdings plc, a member of The Pennsylvania State University’s board of trustees, and chairman of the board of Penn State Health. She is also a member of the Library of Congress Trust Fund Board as well as the board of trustees for the International Valuation Standards Council and Financial Accounting Foundation.
Lisa Prager Member
Lisa Prager is General Counsel at Agricultural Bank of China. Previously, Ms. Prager was a partner at the law firms of Holland & Knight, and Schulte, Roth & Zabel, where she focused her practice on government investigations and enforcement actions relating to the FCPA, US export controls and economic sanctions laws, anti-money laundering laws, the Dodd-Frank Act’s whistleblower provisions, and government contracts matters. Ms. Prager represented clients before multiple US enforcement agencies and bodies, such as the Department of Justice, Department of Commerce, Department of State, Department of the Treasury’s Office of Foreign Assets Control and the Securities and Exchange Commission. Ms. Prager advised general counsels and senior management regarding company practices, remedial measures such as compliance program enhancements and disciplinary action for employees, and settlement options.
Prior to entering private practice, Ms. Prager was an Assistant US Attorney for the District of Columbia and Acting Assistant Secretary and Deputy Assistant Secretary for Export Enforcement at the US Department of Commerce’s Bureau of Industry and Security. She graduated, magna cum laude, from Western New England College School of Law and holds a BA from Yale University.
Andrew Prozes Member
Andrew served as CEO of LexisNexis and on the Board of Directors of Reed Elsevier. Today he serves on the boards of Scribestar, Transunion, Neoway, fiizy, payfone, nanopay/mintchip, Parker Companies, and Synaptive. He chairs the Compensation Committees for Transunion, Neoway, nanopay/mintchip, Synaptive, and payfone. He works actively with many PE firms.
Prior to joining Reed Elsevier, Andy served as Executive Vice President and COO of West Group, part of the Thomson Reuters Corporation from 1997 to 2000. He founded MFS Limited early in his career, which grew from a start-up to the then largest processor of retirement plans (RRSP’s) and mutual funds in Canada. It was sold to IBM Canada in 1988.
Andy is a past Chairman of The Information Industry Association and has served on the boards of the Information Technology Association of Canada, the Canadian Newspaper Association, and the National Executive Service Corps. Andy was an Executive Board Member of the American Bar Association Central European and Eurasian Law Initiative (CEELI), a Board & Executive Committee Member of The Atlantic Council of the United States, and a Director of The Bruce Museum of Arts and Technology in Greenwich, Connecticut. He serves on the board of trustees of Freedom House.
Waheed Rathore Member
Waheed Rathore is a financial services professional who has held Regional, Group and Global positions in Regulatory Compliance & Financial Crime over 25 years. His international exposure spans across North America, Europe, Middle East and Asia pacific by way of his career with global institutions like Citibank, ABN AMRO, Dubai Islamic Bank and Abu Dhabi Commercial Bank.
Mr. Rathore led the Compliance functions in these institutions through periods of heightened Compliance focus. This involved green-field built up of the function and turnarounds including the post-enforcement remediation actions. Other projects of key importance for the Board of Directors include five successful due-diligence for bank acquisitions and subsequent integrations of Compliance and Financial Crime function.
Mr. Rathore is currently the Executive Director of Banking & Insurance Supervision at Abu Dhabi Global Market. This recent change allows him to bring his industry experience into the regulatory world for a larger number of financial institutions.
Mr. Rathore holds a MBA from INSEAD and a Certification in Fin-Tech from Oxford University. He was the Chairman of UAE Banks Federation (UBF) Compliance Committee. Mr. Rathore has also been on a number of Boards including currently the Chartered Institute of Securities & Investment (CISI), ADCB Asset Management Ltd (past) and Kuwait Turk Bank Dubai (past).