Sam is an Executive Vice President with Thomas Ho Company (THC). THC is a leading financial engineering firm and Asset Liability Management (ALM) Solutions provider to regional banks and credit unions. THC was named one of the two best ALM vendors of the 21st century Bank Asset/Liability Management by A.S. Pratt in 2014.
He is also leading the effort in Global Markets Advisory Group (GMAG)’s U.S. and International Exchange Listing Advisory practice. His extensive knowledge of financial services and broker dealer regulatory compliance experience have well served GMAG’s clients with pre-IPO readiness to achieve U.S. Exchange listing. His expertise lies in new business development and relationship building, specializing in the emerging capital markets throughout Asia and the U.S. During his tenure at the New York Stock Exchange (NYSE), Sam secured the listings of more than 46 companies on the NYSE with total market capitalization exceeding $5 billion.
He spent five years at the Financial Industry Regulatory Authority (FINRA) in various roles such as Trading and Financial Compliance Examinations, Sales Practice and Financial Risk Oversight & Operational Regulation. Mostly, he focused on FINRA’s Sales Practice, covering Financial Technology broker dealers, Investment Advisors, Investment Banking and Merger and Acquisition advisory firms. His work resulted in two enforcement cases settlement involving Cybersecurity and Research Communication.
He serves as a board member of the Asian Financial Society, a non-profit organization which assists Asian companies to understand the U.S. capital market. He is fluent in Cantonese with conversational knowledge of Mandarin and Vietnamese. He received his BS in Finance from St. Johns University (US) and his MBA from Cornell University (US).
Nathanael is a Co-Founder of Aldebaran Global Advisors, headquartered in Paris.
He has more than 20 years of professional experience gained at the heart of leading Stock Exchanges in the US and Europe.
He was involved in the execution of over 90 listings from 15 countries on 7 listing venues in several contexts: capital raising, M&A, dual-listing, international growth, and technical listing. Executed transactions include Cellectis (Biotech, France), Meilleurtaux.com (Internet, France), Electro Power Systems (Energy, Italy), Antevenio (Internet, Spain) among others.
He also led Fast Path initiative at NYSE Euronext, leading to 17 cross-border listings, including Watsco, SuccessFactors, Infosys, AbbVie, Core Laboratories and Coca-Cola Enterprises, which represented a combined market capitalization of €150 Bn.
He launched Euronext’s value proposition for Life Sciences companies in 2003. Euronext has since become the 2nd largest listing venue for Life Sciences companies after Nasdaq. Through his professional capacity, he developed and maintained close relationships with 100+ C-level executives, in Europe and the US at both private and listed companies.
He received his master’s degree from the University of Birmingham (UK) and graduated from Clermont Business School (France).
Thomas is a Co-Founder of Aldebaran Global Advisors, headquartered in Paris.
He conducted 8 new US listings of EMEA companies, having raised $881m in total and $10bn+ in additional market capitalization on NYSE. Moreover, he managed 15 Foreign listings on Euronext’s markets and advised executives and key stakeholders on listing venue selection and listing execution.
Executed listings include La Française de L’Energie (Energy, France, Euronext), Aroundtown (Real Estate, Luxembourg, Alternext), Luxoft (Tech, Russia, NYSE), and Eros International (Media, UK, NYSE).
He developed and maintained 60+ client relationships, interfaced with client teams, provided capital markets advice, and ensured client satisfaction through his problem-solving skill, all of which resulted in high client retention rate.
He was also a leader on initiatives for the Tech/Digital sector (new clients, partnerships, events) at Euronext and covered the European Tech/Digital industry for the NYSE.
He received his master in management from ICN Business School (France) and is currently reading an MBA at the London Business School (UK).
Seiko is a Certified Public Accountant.
Seiko has an in-depth knowledge of global financial services industry and has expertise in risk management, regulatory reporting and compliance-related projects with literacy on the most recent framework of new regulatory guidance in the last 20 years.
She started her career at Kleinwort Benson in equity research, and developed further analytical skills at Salomon Brothers, and Tiger Management. She shifted her career focus to the primary capital market to help corporate clients at KPMG, New York Stock Exchange (NYSE), and Japanese major financial institution. While at NYSE, she was responsible for two Japanese mega banks’ NYSE listings and maintained relationship with a number of multinational Japanese corporations. In addition, she was in charge of a major project to establish a harmonious global control framework for a client organization to comply with Tokyo Stock Exchange (TSE) requirements during her tenure at a Japanese financial institution.
Between 2013 and 2017, she was involved in the global financial technology industry, in charge of business development within the Japanese international money transfer (IMT) sector, and rolled out global KYA (Know Your Agent / Client) concept to corporate clients. The milestone was a successful launch of a new product, Japan outbound IMT to direct bank accounts in 52 countries.
She is a member of AICPA, certified with IFRS program and Forensic Accounting by AICPA and Internal Control Manager & Securities Sales Representative (Level I & II), authorized by the Japan Securities Dealers Association (JSDA). She received her BA from Tama Art University (Japan) and MA from New York University (US). She is also a master of the tea ceremony (granted professional name “Sohsei” from The Urasenke Tradition of Tea).