Speaker Bios
Richard I. Anslow, Partner, Ellenoff Grossman & Schole
Richard I. Anslow, a member of Ellenoff Grossman & Schole, is a senior corporate and securities attorney whose practice focuses on domestic and international securities, financings, mergers and acquisitions, and general corporate representation. He represents a variety of public and private company issuers, investors, and investment banks.
David W. Boral, Chief Executive Officer, D. Boral Capital
David W. Boral is the Chief Executive Officer of D. Boral Capital and he founded the firm in May of 2020.
Prior to D. Boral Capital, David held several leadership positions in the Investment Banking and Capital Markets industry. His 16 years of expertise spans both public and private transactions including IPOs, Secondaries / Follow-on Offerings, SPACs, PIPEs, Reverse Mergers, M&A, Bankruptcy / Restructurings, Cross Listings, and other private and public offerings in the US and abroad. Most recently, David was Co-Head of Investment Banking / Managing Director at Aegis Capital Corp, and prior to that, he was a Director in the Investment Banking Division at Maxim Group.
In addition to his work at D. Boral Capital, David is dedicated to improving the world around him, specifically the lives of children and veterans. He currently serves on the advisory board for Keep A Child Alive, a nonprofit organization that provides healthcare, housing, and other support services to HIV/AIDS-affected communities in Africa and India. Additionally, David serves on the board for Lifeline Humanitarian Organization, which was founded by Princess Katherine to reduce and relieve the suffering of physically and mentally disabled children, orphans, the elderly as well as to improve medical facilities in Serbia. He also partners with St. Jude Children’s Research Hospital, Heroes Among Us, and Project Rousseau through corporate sponsorships.
Drew Bernstein, Co-Chair, Marcum Asia CPAs LLC
Drew Bernstein is the Co-Chairman of MarcumAsia, initially co-founder of Bernstein & Pinchuk, a PCAOB registered accounting firm that has been providing SEC audit and advisory services to Asian companies since 1983. The firm is a member of the Marcum Group and an affiliate of Marcum LLP, a leading U.S. accounting and advisory firm. The combined firm is one of the largest middle market accounting firms servicing Asia-based, US publicly traded companies.
Crocker Coulson, CEO, AUM Media Inc
Crocker is an award-winning investor relations and corporate communications advisor with two decades of experience helping public and private companies access the capital markets and complete major acquisitions and business transformations. He has worked with senior leaders of over 100 companies across various industries ranging from startups to Fortune 500 and FTSE 100 scale enterprises. His firm, AUM Media, provides capital markets, investor relations, financial reporting, and corporate communications advisory services, with a strong focus on companies from Asia going public in the U.S. via IPO or SPAC merger.
David E. Danovitch, Partner, Sullivan & Worcester LLP
David is the managing partner of Sullivan's New York office, where he is also director of the Corporate Department and co-heads the Firm’s Asia practice. He has extensive cross-border transaction experience representing issuers, broker-dealers and investment funds in financings, capital markets transactions, and mergers and acquisitions. David's clients span a variety of industries and his practice includes such matters as general corporate governance, securities regulation, mergers and acquisitions, and financings, and has defended numerous government enforcement actions. He also maintains several securities industry licenses, including the Series 24 (Registered Principal), Series 7 (General Securities), Series 79 (Investment Banking), and Series 99 (Operations), which gives him a unique insight into the challenges facing regulated firms.
Frank Giglio, CEO, Hong Kong, BNY Mellon
Based in Hong Kong, Frank Giglio oversees new business development and client relationship management. He is also a member the APAC Leadership Council.
Giglio joined BNY Mellon in April 2016 as director of depository receipts in the APAC region.
Previously, Mr. Giglio was general manager for APAC for Nasdaq. He has been based in the region since 2010.
Edric Yi Guo, Chief Executive Officer & Head of Investment Banking, Univest Securities, LLC
Edric Yi Guo is a visionary leader in global investment banking. As one of the most prolific and influential investment bankers spanning the Asia-Pacific and North American markets, Mr. Guo has spearheaded transactions exceeding $1 billion across a diverse range of financial vehicles, including private placements, IPOs, follow-on offerings, SPACs, and M&A.
Under his leadership, Univest Securities has transformed into a full-service global financial powerhouse, integrating investment banking, equity and debt capital markets, as well as institutional and high-net-worth sales & trading. His strategic vision and execution have positioned the firm as a premier platform for cross-border capital flow and high-impact financial solutions.
With over a decade of expertise in investment banking and capital markets, Mr. Guo is renowned for his ability to navigate complex financial landscapes, structure innovative deals, and drive significant value for issuers, investors, and institutions. His deep understanding of both Western and Asian financial ecosystems makes him a sought-after advisor and dealmaker at the intersection of international finance.
Alex Jin, Managing Director, Maxim Group
Mr. Jin has over 10 years of investment banking experience focusing on emerging growth companies in Greater China. Mr. Jin has participated in over $2 billion worth of transactions, including IPO, SPAC, Follow-on, RD/CMPO, Private Placement and M&A. Mr. Jin currently spearheads Maxim’s China practice and has been instrumental in propelling firm’s practice to a industry leading position. Prior to joining Maxim Group, Mr. Jin was with Global Hunter Securities, where he focused on executing China-based transactions. Prior to Global Hunter Securities, Mr. Jin began his investment banking career at Sterne Agee & Leach. Mr. Jin holds an MBA and B.A. from the University of California, Riverside. He is bilingual in English and Mandarin. Mr. Jin holds FINRA Series 7, 63, and 79 Registrations.
Joshua Kaufman, Co-Chair, Capital Markets & Public Company Advisory Group, DLA Piper
Josh Kaufman of DLA Piper is a commercially oriented corporate counselor who advises high-growth businesses on financing pathways, strategic development, and transformational transactions. He specializes in cross-border matters, advising leading innovative companies in Asia, Europe, Latin America, and the Middle East. Mr. Kaufman represents US and foreign private issuers and underwriters in various public offerings and private placements, primarily in the life sciences and technology. He has advised on more than 200 financing transactions with an aggregate value in excess of $100 billion. Mr. Kaufman represents clients before the Securities and Exchange Commission and advises on corporate governance and general corporate and commercial matters.
Ying Li, Partner, Hunter Taubman Fischer & Li
Ms. Ying Li is a Partner at the New York office and the head of the Hunter Taubman Fischer & Li Asia Practice. Ms. Li focuses her practice in the areas of corporate finance, corporate, and securities law. She assists public and private companies in their corporate transactions, including securitizations, banking, public financings, international market financings, cross-border acquisitions, and other general matters. Ms. Li’s clients include biotech companies, software developers, FINRA registered broker/dealers and other companies involved in the financial sector, SPACs, pharmaceutical companies, real estate developers, manufacturing companies, high net worth individuals, and a number of small businesses.
Eric Luo, Founding Partner, JS Capital
Mr. Luo founded JS Capital in 2013, establishing the firm as a trusted partner for Asia-Pacific SMEs seeking cross-border capital solutions. Under his leadership, the firm has provided comprehensive cooperate finance services, including IPO/SPAC listing, regulatory compliance advisory, financing solutions, M&A transactions, financial forensic analysis, and the implementation of anti-fraud systems, as well as strategic restructuring for compliance with US/HK/China listing requirements.
Before establishing JS Capital, Mr. Luo's expertise, spanning over a decade, was honed through key positions at international accounting firms and fund management companies. He is acknowledged as a corporate finance specialist, an expert in SEC reporting, and a seasoned architect of listing compliance. His proficiency in these areas reflects his profound understanding of financial regulations and his adeptness at navigating the complexities of corporate finance and securities law.
Kamal Masud, CFA, Managing Director, Investment Banking, Roth Capital Partners
Kamal Masud is a Managing Director, Investment Banking at ROTH. Prior to joining Roth Capital Partners, he gained valuable experience during his 9-year tenure at Salman Capital Investments, a boutique brokerage and asset management firm in Pakistan. During his time there, Mr. Masud successfully managed a $20 million equity portfolio, with a primary focus on banking stocks in Pakistan and the Middle East.
Before his role at Salman Capital Investments, he held the position of Managing Director of Corporate Development at the Jim Pattison Group, which is recognized as one of the largest private companies in Canada.
Mr. Masud completed his undergraduate studies at Johns Hopkins University, earning a B.A. degree in Political Science. He further pursued his education and obtained an M.B.A. degree from the University of California, Irvine. Additionally, Mr. Masud is a CFA charterholder and a member of the CFA Society of Orange County.
Kester Shing Joe Ng, CEO, Managing Partner, GRE Investment Advisors
Over his career, Mr. Ng has completed more than 100 IPOs, pre-IPOs, and equity-linked transactions, raising over US$100 billion across major global stock exchanges, including Hong Kong, NYSE, NASDAQ, London, and Singapore. Notably, he led the US$22 billion dual-listed NYSE and HKEx IPO of Agricultural Bank of China in 2010, the largest IPO globally at the time.
He was Co-CEO of U.S. listed BSAQ (Black Spade Acquisition), where he played a pivotal role in its US$23 billion business combination and IPO with VinFast Auto in August 2023. He is currently Co-CEO of BSII (Black Spade Acquisition II) which is NASDAQ listed.
In addition, Mr. Ng is the CEO of GRE Investment Advisors Limited, a Hong Kong Securities & Futures Commission (SFC)-licensed firm specializing in private equity investment advisory and asset management services for institutional investors, ultra-high-net-worth individuals, and family offices. GRE holds Type 4 (Advising on Securities) and Type 9 (Asset Management) licenses, providing comprehensive investment solutions.
Before transitioning to asset management, Mr. Ng had an extensive career in investment banking. He was Chairman and Head of Equity Capital & Derivatives Markets for Asia Pacific (including Japan and Australia) at J.P. Morgan, where he spearheaded capital-raising initiatives, including IPOs, equity-linked offerings, and pre-IPO transactions. Prior to that, he was Managing Director and Head of Greater China Capital Markets at Merrill Lynch, working across London, Sydney, New York and Hong Kong. Prior to Merrill Lynch, he also worked at Goldman Sachs Capital Markets division in London and Hong Kong.
Mr. Ng has also held key regulatory and governance positions, including serving as a board director of J.P. Morgan Securities (Asia Pacific) Limited and J.P. Morgan Broking (Hong Kong) Limited. He has previously been a Hong Kong SFC Responsible Officer and a Hong Kong Monetary Authority Executive Officer.
Brandon Sun, Managing Director, Head of SPAC Investment Banking, Cohen & Company Capital Markets
Brandon is one of the longest-serving SPAC bankers on Wall Street and is the Head of SPAC Investment Banking at Cohen & Company. Over the course of his 13 year investment banking career, Brandon has completed more than 120 initial public offerings (with most being left-led offerings) raising over $45bn in equity capital. More importantly, he has announced / closed over 130 de-SPACs and M&A offerings (mostly as lead or sole financial advisor), representing more than $210bn in combined enterprise value.
James Tunkey QRD CFE MBA, Chief Operating Officer – New York & Americas, I-OnAsia
Mr. Tunkey is I-OnAsia’s group Chief Operating Officer and head of the Americas offices since 2004.
Mr. Tunkey is an experienced risk management executive and Qualified Risk Director. He helps I-OnAsia’s C-suite clients take advantage of global growth opportunities by performing due diligence. Mr. Tunkey supports new IPO and SPAC issuers on US and foreign exchanges, corporate offices and venture funds, accountants and legal advisors.
Mr. Tunkey is a Certified Fraud Examiner. He specializes in white collar investigations that have a link to Asia.
Er (Arila) Zhou, Partner, Robinson+Cole
Er (Arila) Zhou represents special purpose acquisition corporations, emerging growth companies, funds and investment banks, with an emphasis on private and public transactions in relation to a broad range of corporate, private equity, capital markets, securities law, mergers and acquisitions, and regulatory compliance matters. Arila is a member of our firm’s Business Transactions group and co-leads our Capital Markets + Securities team.
Mark A. Zagotti, Chief Compliance Officer | Investment Banking Executive | Regulatory Strategist, Cathay Securities, Inc.
Mark A. Zagotti is a veteran financial executive with 25+ years of experience in broker-dealer operations, compliance, and investment banking. As CCO of Cathay Securities, Inc. and CEO of Next Gen Advisors, LLC, he leads regulatory strategy and supervision in complex environments.
Renowned for his pragmatic leadership and hands-on approach, he serves as a trusted advisor and regulatory architect to C-suite executives. He holds multiple principal licenses (Series 24, 4, 53) and has previously worked with firms like Equitable Advisors, AXA, and MML Investors Services.
Mark also runs Z Force, LLC, offering compliance consulting to broker-dealers and RIAs. Beyond compliance, he’s deeply engaged in trading, capital markets, and deal negotiation—bringing a dynamic edge to financial leadership.