David Craig is President of Financial & Risk, the largest business unit at Thomson Reuters with over $6 billion in revenue and $1.7 billion profits. Financial and Risk (F&R) is a leading provider of financial market and investment information, news, FX/FI financial transactions and regulatory risk solutions. F&R has operations in over 150 countries with 18,000 employees. The F&R open platform supports over 50,000 customers including banks, energy companies and corporations and supports 9,000 partners including transaction venues, regulators, content providers and increasingly FinTech firms.
Prior to his current role, David founded the Governance, Risk and Compliance (GRC) business at Thomson Reuters. Started in 2010, this is now a leading provider of regulatory intelligence, fraud, AML, supply chain screening and KYC (Know Your Customer) solutions to the financial industry, as well as corporations globally, and has just under $700m annual revenues.
David first joined Reuters as Chief Strategy Officer in 2007 and led the integration planning for the Thomson Reuters merger following Thomson Corporation acquiring Reuters. He has been member of the Executive Committee for 10 years. David is a trustee and Board Director of the Thomson Reuters Foundation.
David is an industry thought leader on technology, innovation and regulation, and is ranked number 11 in the top 50 global leaders and innovators in financial services technology by Institutional Investor Magazine. He is the author of several research studies, including The Danger of Divergence: Transatlantic Financial Reform & the G20 Agenda, and most recently How China's Currency Impacts Global Markets, Foreign Policy, and Transatlantic Financial Regulation.
David is an advisor and investor to several start-ups in FinTech and leads the World Economic Forum’s Digital Disruption Innovation Group on digital identities and federated ledgers (Blockchain). He is also a board member of the Atlantic Council based in Washington DC and on the Advisory Board of TheCityUK. David chairs the CityUK / China Markets Advisory Group on Fintech in association with the CBBC (China Britain Business Council).
Prior to Thomson Reuters David was a partner at McKinsey focusing on technology and a previously a systems developer at AMS focusing on risk, trading and telecommunications systems.
David lives in London with his wife and three children. He is a certified coach at London Wasps Rugby club and is a passionate skier, mountaineer and sailor. He holds a 1st Class BEng. from Bristol University in Electronic and Communications Engineering.
Chief Executive Officer Hong Kong Securities & Futures Commission
Chief Executive Officer, Hong Kong Securities & Futures Commission Chairman, IOSCO
Ashley Alder is the Chief Executive Officer of the Securities and Futures Commission.
Ashley came to Hong Kong in 1989 with the international law firm Herbert Smith, practising corporate and business law. He was Executive Director of Corporate Finance at the SFC from 2001 to 2004, before returning to Herbert Smith, later as head of the firm’s Asia Region. He rejoined the SFC in 2011.
Ashley attained his Bachelor of Laws degree from the University of London in 1982 and graduated from the University of Cambridge with a Master of Laws degree in 1983.
Head - International Department Reserve Bank of Australia
Executive Director of Enforcement, Hong Kong Securities & Futures Commission
Mr Atkinson is a member of the Securities and Futures Commission (SFC). He is also an Executive Director with responsibility for the Enforcement Division, which is responsible for the surveillance of the securities and futures markets to identify unacceptable conduct as well as for investigating statutory offences and breaches of the legislation enforced by the SFC, and disciplining licensed persons and initiating prosecutions where appropriate.
Prior to joining the SFC, Mr Atkinson was Director of Enforcement at the Ontario Securities Commission, Canada. Before that he was President and CEO of Market Regulation Services Inc., previously a national regulator of equity trading in Canada, and from 1996 to 2001 he held progressively senior positions with the Toronto Stock Exchange, including Vice President of Regulation Services. He began his career as an Assistant Crown Attorney at the Ontario Court of Justice.
Mr Atkinson holds a Law Degree from the University of Windsor and a Masters Degree in Public Policy and Public Administration from McMaster University.
Mr Atkinson sits on the Executive Committee of the SFC.
Professor, Faculty of Law, University of Hong Kong
Douglas W. Arner is a Professor in the Faculty of Law of the University of Hong Kong and Project Coordinator of a major five-year project funded by the Hong Kong Research Grants Council Theme-based Research Scheme on “Enhancing Hong Kong’s Future as a Leading International Financial Centre”. In addition, he is Co-Director of the Duke University-HKU Asia-America Institute in Transnational Law, and a Senior Visiting Fellow of Melbourne Law School, University of Melbourne. Douglas served as Head of the HKU Department of Law from 2011 to 2014 and from 2006 to 2011 he was the Director of HKU’s Asian Institute of International Financial Law, which he co-founded in 1999 along with the LLM in Corporate and Financial Law (of which he serves as Director).
He has published thirteen books, including Finance in Asia: Institutions, Regulation and Policy (Routledge 2013), From Crisis to Crisis: The Global Financial Crisis and Regulatory Failure (Kluwer 2011), and Financial Stability, Economic Growth and the Role of Law (Cambridge University Press 2007), and more than 100 articles, chapters and reports on international financial law and regulation. His recent papers are available at http://ssrn.com/authors=524849.
Douglas is a member of the Hong Kong Financial Services Development Council and of the International Advisory Board of the Australian Centre for International Finance and Regulation. He has served as a consultant with, among others, the World Bank, Asian Development Bank, APEC, and European Bank for Reconstruction and Development, and has lectured, co-organised conferences and seminars and been involved with financial sector reform projects in over 20 economies in Africa, Asia and Europe. He has been a visiting professor or fellow at the Universities of London, McGill, Melbourne, New South Wales, Singapore and Zurich, as well as the Shanghai University of Finance and Economics and Hong Kong Institute for Monetary Research.
Mark Austen is the Chief Executive Officer of ASIFMA. Since joining ASIFMA in 2012, he has led the expansion of the association to encompass Equities, Compliance, Post-Trade and Asset Management in addition to its original division for Fixed Income, and its membership has grown to over 80 firms. Mark’s key objectives at ASIFMA are to expand its product divisions, continue to build a broad membership base and further strengthen its ability to act as a collective voice for the industry. Mark was formerly with the Association for Financial Markets in Europe (AFME) as Chief Operating Officer. He joined AFME (then called The Bond Market Association or TBMA) in 2005 to head up the European Primary Dealers Association (EPDA), which addressed issues of specific interest to government bond markets. He is an active member of the board of the Global Financial Markets Association (GFMA) where he represents the Asian perspective on global regulatory issues.
Mark holds an LL.M. from the London School of Economics and an LL.B. from Osgoode Law School in Toronto.
Managing Partner, Financial Services Greater China, EY
Jack Chan is the Managing Partner of EY Financial Services in Greater China. He leads the financial services team to provide audit, tax, consulting, and merger and acquisition advisory services to the region’s banking institutions, insurance companies, securities companies, funds and other financial institutions.
With 25 years of professional experience in the financial industry sector, Jack has served clients in Hong Kong, mainland China and other Asian and European markets in areas such as assurance, due diligence, internal control review, corporate governance, financial restructuring, GAAP conversion and risk management. Since 2000, Jack has been providing advisory and audit services to China’s financial institutions with respect to restructuring, fostering inbound foreign investment and Initial Public Offerings. He is also the partner in charge of the audit work for a number of international financial institutions. His international experience includes a period in the U.S. in which he undertook research on internal control procedures of financial institutions and formulated requisite audit procedures.
Jack is a frequent speaker at industry events. He also delivers professional training sessions to commercial banking executives, government officers and accountants in mainland China and Hong Kong. He is a fellow of HKICPA and ACCA, and a member of ICAEW, AICPA and the Institute of Internal Auditors. He also serves as committee member of Chinese Financial Association of Hong Kong, Mainland Development Strategies Advisory Panel of HKICPA and Vice Chairman of Venture Capital Investment Committee of the Investment Association of China.
Managing Director, Region Head Asia, Financial & Risk Thomson Reuters
Managing Director, Region Head, Asia, Financial & Risk, Thomson Reuters
Sanjeev Chatrath is the Region Head and Managing Director for Thomson Reuters’ Financial & Risk (F&R) business covering Asia Pacific and Japan. He is responsible for client business in the region encompassing end to end client experience, account management, market development, Go to Market regional strategy, sales, operations, and technical functions. Sanjeev is a member of the Global Operating Committee for Thomson Reuters, and Global Executive Leadership Team for F&R.
Sanjeev has worked in Asian financial markets for over 19 years in leadership roles encompassing sales, client management and business management, spanning Asia Pacific, South Asia and Middle East.
Prior to joining Thomson Reuters, Sanjeev worked with Citigroup where he was Chief Operating Officer and Region Head of Client Sales Management for the Treasury and Trade solutions business. Sanjeev is a Board Member of ASIFMA (Asia Securities Industry and Financial Markets Association), and a member of 30% club supporting gender diversity in Hong Kong boards.
Chief Fintech Officer Fintech Facilitation OfficeHong Kong Monetary Authority
Chief Fintech Officer, Fintech Facilitation Office, Hong Kong Monetary Authority
Nelson Chow has been appointed to the present position from 1 September 2016 with responsibilities for facilitating the healthy development of the fintech ecosystem in Hong Kong and promoting Hong Kong as a fintech hub in Asia. He joined the HKMA in 2004 and was responsible for the supervision of banks’ technology risk management and business continuity planning as well as the formulation of related policies and guidelines. He was the Deputy Chief Representative of the New York Office in 2010. After returning to Hong Kong in 2013, he took up responsibilities to supervise banks’ operational risk management and perform macro-prudential data analysis. Prior to joining the HKMA, Mr Chow was a Vice President of JPMorgan Chase Bank, N.A. responsible for information risk management of the Asia Pacific region. He holds a Bachelor of Science degree from the University of Auckland and a Master of Science degree from the Hong Kong University of Science and Technology.
Simon Clarke is a partner of the Hong Kong office of Allen & Overy. Simon has been conducting litigation and managing legal teams in multi-jurisdictional actions based out of Hong Kong for over 20 years. His practice focuses on special situations – complex disputes and investigations of significant financial or reputational risk. His emphasis is on disputes in banking and financial services and the securities markets.
Simon acts for banks, brokerages and hedge funds in connection with their exposure to conduct risk, insider dealing and market misconduct resulting in criminal prosecutions or regulatory enforcement action brought by the Securities and Futures Commission, the Hong Kong Monetary Authority and overseas regulators. Simon has acted in a number of bribery and corruption investigations and criminal proceedings launched by the US authorities, the Hong Kong Independent Commission Against Corruption and the Commercial Crime Bureau.
Head of Specialist Sales for the Asia Pacific region of Thomson Reuters’ financial and risk business – worth $6.5 billion. She is a member of the firm’s Asia Pacific executive leadership team –responsible for overseeing the sales and business development of Thomson Reuters’ suite of financial services, compliance, and risk products. In her role she leads a team of more than 150 sales specialists. Kimberley celebrates a 26-year career with Thomson Reuters. She has worked across three continents and has held roles across marketing, product and business management and sales.
Passionate about gender diversity and a keen networker she is also the founder and Chief of the Thomson Reuters Risky Women network. Started in 2014, Risky women is operating in 5 key cities and expanding to more this year. Risky Women brings together the many female leaders in the governance risk and compliance field and connects them across the globe to share, discuss and input to the impact of regulatory change on the industry and the opportunities presented.
Global Head of Government Affairs, Thomson Reuters
Nick Collier joined Thomson Reuters on 1March 2011.
He moved from Morgan Stanley, where he had been Head of EMEA Government Relations since June 2007.
Nick previously held roles as the Head of Regulatory Policy at the International Capital Market Association, as the Director of International Risk, Compliance and Government Affairs at Instinet, and as the European head of the International Swaps and Derivatives Association.
He started his career in the Bank of England, including a spell as the UK financial attaché to the EU.
He holds a MSC in Economics and Finance from the London School of Economics and a BA from Oxford.
Nick is married with three children.
Co-Head Government Affairs Asia-Pacific Goldman Sachs
Co-Head, Government Affairs Asia-Pacific, Goldman Sachs
Jenny Cosco is Co-Head of the Office of Government Affairs (OGA) for Asia Pacific. In this role, she oversees the firm’s public policy agenda as well interactions with governments and regulators in the region. OGA also serves as a source of information and analysis on global and regional politics and policy issues of interest to Goldman Sachs and its clients.
Previously, Jenny spent over 10 years in OGA London and led the firm’s advocacy efforts on several European policy and regulatory issues. Her primary areas of policy expertise include financial regulatory (alternative investments, asset management, capital markets, and market infrastructure), competition (cross-border merger control) and trade (multilateral and bilateral negotiations).
Prior to joining OGA, Jenny worked in the Operations Division at Goldman Sachs supporting the derivatives business in both New York and London and was responsible for risk managing a variety of globally-based clients.
Jenny joined Goldman Sachs in June 2003. She holds a BA in Government and French from Georgetown University, where she currently serves on its Board of Governors.
Managing Director Risk and Supply Chain Thomson Reuters
Managing Director, Risk and Supply Chain, Thomson Reuters
Phil Cotter is Managing Director of the Thomson Reuters Risk and Supply Chain business.
He was previously Managing Director of Experian’s Credit Services business in the UK and immediately prior to joining Thomson Reuters ran his own consulting business and served as a non-executive director on the board of Bisnode AB a pan-european information services provider based in Sweden.
With nearly 20 years experience in information services, he has in depth experience and knowledge, of global information trends and strategies.
He holds several advisory positions including Nottingham University Business School where he is a Honorary Professor.
Meena Datwani, JP
Executive Director (Enforcement & AML) Hong Kong Monetary Authority
Executive Director (Enforcement & AML), Hong Kong Monetary Authority
Meena Datwani is responsible for enforcement, complaints against authorized institutions and anti-money laundering and financial crime risk; and sits on the board of directors of the Financial Dispute Resolution Centre. She worked in the Office of the General Counsel as a Deputy General Counsel before her appointment as Executive Director (Banking Conduct) in 2010 and Director-General (Enforcement) in 2014. She was appointed to her current position on 26 February 2016. Ms Datwani is qualified to practise as a solicitor in Hong Kong, England and Wales and Australian Capital Territory. Prior to joining the HKMA in 1995, Ms Datwani was a senior lawyer in the Hong Kong Government.
Widade is a Project manager at Thomson Reuters, covering Asia-wide projects on FX and Advisory & Investment Management. She is passionate about entrepreneurship, Risk & Compliance as well as diversity & inclusion in the work place. At Thomson Reuters, Widade has the opportunity to merge her business skills and her passion to understand regulation and technology to help bring about answers to clients’ everyday challenges.
Widade Deguerre moved to Singapore from New York in 2013 having previously live in Haiti, Boston, Philadelphia and London. After calling so many places home and visiting countless more, Widade understands the need to approach each new location with an open mind to understand its own uniqueness and values. Connecting people with the right resources and with each other is a natural fit for Widade; and this is apparent in her work for Thomson Reuters, as well as her volunteer engagements.
Widade has a BA in Sociology from Bryn Mawr College, and a Masters of International Business from Hult International London. From there she explored her interest in law by working with one of her hero at Harvard University; Professor Charles Ogletree.
In her free time, Widade enjoys practicing her Kite-Surfing techniques; she’s also an amateur saxophone player and an avid reader.
Head of APAC Government Relations, Thomson Reuters
Jan Frederic Eger joined Thomson Reuters in London on 1 September 2011, where he leads their Financial Services Government and Regulatory Affairs. In March 2016 he moved to Hong Kong to establish Thomson Reuters Government Affairs presence in Asia. He is serving his second term as Vice-Chair of the AmCham EU Financial Services and Company Law Committee, where he led the CMU-, FTT-, MiFID-, and Benchmark- workstreams.
Jan moved from the European Parliament, where he had worked for Dr Wolf Klinz MEP, then Chairman of the Special Committee on the Financial and Economic Crisis (CRIS) and a Member of the Economic and Monetary Affairs Committee (ECON).
He started his career at Panasonic Europe, working in EU Government Affairs. He holds an MA in International Relations and International Organization from the Rijksuniversiteit Groningen, the Netherlands and a BA in European Studies from Maastricht University, the Netherlands (cum laude). Jan Frederic Eger is German.
Alan Ewins, Special Counsel, APAC Regulatory Group is based in London. He is qualified in Hong Kong and England and Wales. He established the Group in 1995.
His experience includes advising numerous banks and other financial institutions on a wide range of regulatory, risk management and compliance issues including bank authorisations and on-going banking compliance, on recovery and resolution projects for systemically important institutions, on the regulatory aspects of sales and purchase of companies and businesses, on regulatory investigations and dispute resolution and on establishing and offering interests in collective investment schemes. He has also advised on a broad range of matters relating to the regulatory aspects of structured products and commodities trading in Hong Kong. He regularly presents at industry conferences and other events, including the Thomson Reuters pan-Asian Regulatory Summit.
Alan is well respected by senior figures in a number of major financial institutions. He is a member of the Hong Kong Law Society’s Investment Products and Financial Services Committee and is also a member of the International Securities Regulation Committee of the International Law Association. He is a Fellow of the Hong Kong Securities and Investment Institute (HKSI).
Senior Investigator Integrity Vice Presidency World Bank
Senior Investigator, Integrity Vice Presidency, World Bank
Tyler Hodgson is a Senior Investigator with the Integrity Vice Presidency (INT) of the World Bank Group. He is the former National Leader of the White Collar Defense and Investigations Practice Group at Borden Ladner Gervais LLP. He is an Adjunct Professor of the Sandra Day O'Connor College of Law, Arizona State University, and teaches a course on international investigations and prosecutions.
Tyler is admitted to practice law in Canada, the United States (California), England and Wales (solicitor), and the Dubai International Financial Centre.
Partner & Global Head of Litigation, Allen & Overy
Tim is Head of Allen & Overy’s global Dispute Resolution. He has over 30 years’ experience litigating and resolving complex disputes or managing investigations for the firm’s major international clients and their senior executives. Much of this work has been multi-jurisdictional. Tim’s cross border regulatory experience includes all the principal US, European and Asian financial services authorities.
Tim has consistently been recognised in the legal directories as a leading or star individual for over 15 years. The current edition of Chambers UK observes that Tim is “well known in the market as ‘a very experienced and high-quality litigator.’ He has substantial experience representing major international clients in multi-jurisdictional disputes and investigations”.
Robin Hui Huang
Professor of Law Faculty of Law Chinese University of Hong Kong
Professor of Law, Faculty of Law, and Executive Director, Centre for Financial Regulation and Economic Development, Chinese University of Hong Kong
Robin Hui HUANG is Professor of Law in the Faculty of Law, Chinese University of Hong Kong (CUHK), currently serving as Executive Director of the Centre for Financial Regulation and Economic Development as well as Assistant Dean (External Affairs – Asia). Prior to joining CUHK, Professor Huang was a tenured staff member in the Faculty of Law at the University of New South Wales (UNSW), where he now holds a position of Adjunct Professor. He is also Guest Professor at several renowned law institutions such as the China University of Political Science and Law, Senior Fellow in the Melbourne Law School, as well as an elected member of the Executive Council of China Commercial Law Society. He received two bachelor degrees – in mechanical engineering and in law – and a Masters degree in law, from Tsinghua University in Beijing China, and a PhD from the Faculty of Law, UNSW.
Professor Huang specializes in corporate law, securities regulation, financial law, financial dispute resolution, and foreign investment, with a particular focus on Chinese and comparative law issues. He has written extensively in his areas of expertise, with articles published in some of the top-rated journals in the US, the UK, Australia, Canada, Hong Kong, Mainland China, and elsewhere. These include leading comparative law journals such as the American Journal of Comparative Law; leading international arbitration journals such as Arbitration International; leading specialist journals in various jurisdictions such as the Delaware Journal of Corporate Law (US), Berkeley Business Law Journal (US), Columbia Journal of Asia Law (US), Journal of Corporate Law Studies (UK), Journal of Business Law (UK), Company and Securities Law Journal (Australia), Australian Journal of Corporate Law (Australia), Australian Journal of Asian Law, Banking and Finance Law Review (Canada); and well-regarded generalist journals such as University of New South Wales Law Journal (Australia), Hong Kong Law Journal, Chinese Journal of Law [法学研究], China Legal Science [中国法学], Tsinghua Law Review [清华法学]. He has also published numerous books and book chapters with reputable publishers such as the Oxford University Press, Cambridge University Press, Kluwer Law International, Ashgate, Routledge, Peking University Press and Tsinghua University Press, including International Securities Markets: Insider Trading Law in China (Kluwer Law International, 2006) and Securities and Capital Markets Law in China (Oxford University Press, 2014).
Patricia Jackson is a member of the EY Global Regulatory Network in the Financial Services Risk Management Group.
Patricia joined EY in 2004 as the Partner leading the banking risk practice and then later financial regulatory advice. She was involved in projects with the major banks globally on all the risk types as well as Basel III and stress testing. She is also increasingly involved in risk governance issues including developing an approach to setting and embedding risk appetite and risk culture. She is now a strategic adviser to EY.
Prior to this she was the Head of the Financial Industry and Regulation Division in the Bank of England and represented the UK on the Basel Committee for Banking Supervision for 7 years, leading the global QIS studies and calibration of Basel II.
Patricia has published a wide range of papers on market and credit risk and bank capital. She is a non-executive director on the board of the digital challenger bank Atom and is involved in setting their strategy going forward.
Jane Jiang is the head of the PRC regulatory group in Allen & Overy LLP, Shanghai office. She specialises in a wide range of China-related legal and regulatory issues and is a trusted adviser for many first-tier domestic and international financial institutions.
Jane is experienced in advising international clients regarding their investments in regulated industries, including banking, securities and asset management, insurance and derivatives trading, and helps Chinese financial institutions and corporates with their investment and business operations overseas. Her clients benefit from her strong relationship with local financial regulators and insights into the financial regulatory regime in China. Jane is particularly recognised as an expert in legal and regulatory issues in respect of RMB internationalisation. She has advised on many landmark transactions of Dim Sum bonds, Panda bonds, complex cross-border investment and acquisitions with an RMB element.
Jane regularly speaks on China’s regulatory changes and financial reform at prominent forums. She was voted in 2013 as the Top 20 Client Choice lawyer in China by ALB and the winner of 2016 Outstanding Individuals Award by FT Asia Pacific Innovative Lawyers.
Head of Pricing & Reference Services Asia Thomson Reuters
Head of Pricing & Reference Services Asia, Thomson Reuters
Wenlin Juang is the Head of Pricing & Reference Services Asia, responsible for driving growth strategies of the valuation and risk management solutions for banks and investment managers. She joined Thomson Reuters in 2007 and led several key strategic projects related to China internationalization including Shanghai-HK Stock Connect and the development of RMB bond quotes in Hong Kong.
Prior to joining Thomson Reuters, Wenlin build the account team focusing on fund management sector at Standard Chartered Bank in Hong Kong and she also held key positions in sales and investment management at various Wall Street firms in both New York and Asia. Wenlin has an Executive MBA degree from Kellogg School of Business at Northwestern University in the United States.
Finance Expert, UN Panel of Experts established pursuant to Security Council Resolution 1874 (2009)
Stephanie T. Kleine-Ahlbrandt is the Finance Expert on the UN Panel of Experts established pursuant to Security Council Resolution 1874 (2009). She is responsible for monitoring and analyzing the Democratic People’s Republic of Korea’s (DPRK) global financial activities and providing recommendations to improve sanctions implementation. In particular, she investigates cases of non-compliance involving financial activates and analyzes the techniques used by the DPRK to conduct its financial operations (including bulk cash, trade-based money laundering and the use of front companies). Previously, she served as Director of the Asia-Pacific Program at the United States Institute of Peace in Washington DC and from 2008 to 2013, was based in Beijing, China where she directed the office of the International Crisis Group. Previously, Ms. Kleine-Ahlbrandt was an International Affairs Fellow at the Council on Foreign Relations in New York and a United Nations official for a decade working on Asia and Africa. Ms. Kleine-Ahlbrandt’s writings have appeared in the Washington Post, the Wall Street Journal the Financial Times and the International Herald Tribune (international edition of The New York Times). She is a member of the Council on Foreign Relations.
Ms. Archana Kotecha is a counter-trafficking expert and activist with extensive experience in the areas of advocacy, policy work and casework relating to trafficking in persons. Ms. Kotecha is a UK qualified barrister and London School of Economics graduate who started her career practicing corporate law with KPMG then with DLA Piper. After 7 years as a corporate lawyer, Ms. Kotecha joined the UN Refugee Agency's Legal Protection Team in London and subsequently the Immigration Advisory Service and Stop Trafficking UK in London. She has worked on a number of trafficking related asylum cases and produced an anti-trafficking toolkit for UK lawyers. She has served on the Victim Care Committee of the UK Human Trafficking Centre that was instrumental in setting up the National Referral Mechanism of the UK in 2009. She was also a committee member of the NSPCC's anti-trafficking hotline and contributed to a number of anti-trafficking and refugee stakeholder groups in the UK.
Following a move to Hong Kong, Ms. Kotecha has joined Liberty Asia as Head of Legal. Since joining Liberty Asia Ms. Kotecha has produced a Hong Kong focused Victim Identification Toolkit/NGO training, set up an online Legal Resources Centre (housed on Liberty Asia’s website) and been involved in lobbying at the Legislative Council level and advising human rights practitioners and governments on trafficking in persons. Ms. Kotecha is also responsible for running regional legal projects including a multi-jurisdictional legal gap analysis that aims to highlight gaps between national laws and international standards. Disrupting activities’ of traffickers by improving human trafficking’s visibility within financial institutions, educating NGOs and lawyers on anti-trafficking legal frameworks and victim identification are also key aspects of Ms. Kotecha’s work.
Ms Kotecha is regularly invited to speak at conferences and training seminars across the region and has written extensively on the subject of trafficking in persons. Ms Kotecha is also an alumni of the prestigious International Visitor Leadership Program run by the US Department of State.
Managing Dirctor Head of Regulatory Compliance HKEx
Managing Director, Head of Regulatory Compliance, HKEx
Ms Angelina Kwan is currently the Managing Director and Head of Regulatory Compliance for Hong Kong Exchanges and Clearing Limited. Ms Kwan has extensive experience in Asia Pacific and the United States, in business development, restructuring, regulatory/compliance, as well as investor and stakeholder relations. She started her career at KPMG and has held senior management, committee and/or board positions with the Securities and Futures Commission of Hong Kong, and other multinational companies and financial institutions.
Ms Kwan is currently a Hong Kong Government appointed member of the Women’s Commission, the Council for Sustainable Development, and the Administrative Appeals Board, a Director and Chairman of the Audit Committee of the Securities Industry Development Corporation of Malaysia, the Vice-Chairman and Director of The Women’s Foundation, a Fellow and Member of the Regulatory Accountability Board, Hong Kong Institute of Certified Public Accountants, an Honorary Adjunct Professor of Finance for the Hong Kong Polytechnic University, and serves on a number of other Boards and committees. She lectures frequently for various international government and regulatory organizations as well as course providers.
She is a Certified Public Accountant in the United States and Hong Kong and a graduate of the University of Southern California. Her MBA is from Pepperdine University and LLB with Hong Kong University and Manchester Metropolitan University.
Shih Hsien Lim
Head of Information Security Hong Kong Jockey Club
Head of Information Security, Hong Kong Jockey Club
Mr. Lim Shih Hsien is responsible for the development and implementation of The Hong Kong Jockey Club’s (HKJC) information security roadmap and strategies. This covers policy framework development, awareness and enforcement, as well as enterprise security technical architecture planning and solutioning.
His team is also responsible for conducting all internal project risk and privacy impact assessments, and performing mission-critical information security operations such as cryptographic key management, vulnerability management, security monitoring/threat intelligence, and incident response.
Shih Hsien started his professional career in the Singapore public sector in the 1990’s, and has taken on key positions in IT and information security with the Infocomm Development Authority of Singapore, Singapore Airlines and Singapore’s public healthcare sector.
Prior to joining the HKJC, Shih Hsien was the Director of Identity & Security Services of MOH Holdings P/L, and was responsible for developing the security technical architecture, policies and operations frameworks for Singapore’s National Electronic Health Record (NEHR).
Shih Hsien has a B.Comm in Information Systems (1st-class Honors) from Curtin University of Technology, Australia and an M.Sc in Communications and Networks from Nanyang Technological University, Singapore.
James is responsible for the strategy and operation of EY's financial technology capability across Asia-Pacific. Based in Hong Kong, he leads a dedicated regionally-focused team tasked with advising clients on matters relating to new financial technologies, processes, and business models. James is also responsible for identifying and supporting high-growth-potential fintech start-ups – while simultaneously working to expand the firm’s relationships with regulators, venture capital, and other ecosystem participants.
Prior to joining EY, James helped build and scale a venture-backed “alternative finance” platform provider enabling banks to profitably offer short-term unsecured loans to under-served small businesses; first as head of product management, then as head of strategy & corporate development. Prior to that, he worked in product strategy and delivery for a bootstrapped ecommerce payment gateway which combined direct-to-market customer acquisition with white-labelled full-service delivery for partner banks; the business was subsequently acquired.
James is an active participant in the wider fintech ecosystem across Asia-Pacific: as start-up mentor, seed investor, and community builder. He sits on various regulatory and government panels, including the Fintech Advisory Group of the Securities and Futures Commission (SFC), the Fintech and Blockchain initiatives of the Financial Services Development Council (FSDC), and the Fintech Working Group of the Asia Securities Industry & Financial Markets Association (ASIFMA).
Head Regulatory Analyst Australia & New Zealand Thomson Reuters
Head Regulatory Analyst, Australia & New Zealand, Thomson Reuters
Nathan Lynch is the head regulatory analyst for Thomson Reuters' Governance, Risk and Compliance operations in the Asia-Pacific region. Nathan joined Thomson Reuters's London office in 2000. He returned to Australia in 2002 and has written about regulatory affairs, anti-money laundering and compliance developments for Thomson Reuters' Compliance Complete service across the Asia-Pacific region ever since.
Nathan is a member of the Australasian Compliance Institute and has presented workshops at the ACI's annual governance, risk and compliance conference. Nathan also appears regularly in print and electronic media as a specialist commentator on financial markets and regulation.
Global Head of Business Development, Clients & Consulting Thomson Reuters
Global Head of Business Development, Clients & Consulting, Thomson Reuters
Dominic joined Thomson Reuters in 2015 as Global Head of Business Development and Consulting for Managed KYC Solutions and Client onboarding solutions in the Financial Crime business unit of Thomson Reuters’s $6bn global Risk division. He is globally responsible for all buyside, sellside and Corporate client engagements for our managed services offerings.
Dominic brings a deep knowledge of outsourced operating and business processes, having most recently held the position of Managing Director Capital Markets in Accenture, where he was responsible for the cash securities post-trade processing utility (known as APTP). He has worked with large investment and Institutional banks which have already built their own offshore Captive capabilities to identify commercial opportunities to mutualise costs and increase quality by leveraging industry utilities. Working closely with industry to develop new economic models and helping them through their transformation projects, he sees utilities in general as an integral part of a high performance Capital Markets operating model.
Bill Majcher began his professional career as a Eurobond trader in London. In 1985, he left to join the Royal Canadian Mounted Police (RCMP), where he embarked on a fulfilling two decade long career as a covert operative - culminating in multiple successful money laundering and financial crime prosecutions.
Bill’s lengthy law enforcement career included extensive undercover work across a broad spectrum of the capital markets, including several years as a commodity futures and options trader and broker. He also has extensive global experience as a cash commodities broker engaged in trade-based money laundering. He successfully infiltrated a major Colombian cocaine cartel at the height of their power - providing money laundering and investment services. Bill also exposed Caribbean-based banks established by the Russian mafia to facilitate all manner of criminal activities.
At one point as a covert agent, he was asked to launder discounted bonds for Libya, North Korea and Iran, which identified for the first time the degree to which offshore capital markets were compromised by blacklisted states, including criminal and terrorist organisations - all while being facilitated by third party professionals. Uniquely, Bill successfully engaged the banker who financed a global campaign that financed the single largest act of aviation terrorism prior to the tragic events of September 11, 2001.
Bill has enjoyed professional relationships in Asia since 1994, relocating to Hong Kong in 2006 to establish an international banking platform on behalf of a Hong Kong merchant bank, representing a number of Chinese state-owned and non-state owned enterprise clients engaged in overseas capital market activities. More recently, he served as an advisor to a prominent family in the GCC region.
Bill works with several private capital pools to identify direct investment opportunities and has launched several businesses in the past year, including EMIDR, a Corporate Risk firm that deploys US military grade cyber technology to assist in cyber security and asset recovery operations. He continues to provide guidance and insight to select clientele on financial crime risk, sanctions and money laundering. He has used his unique background to develop a quantifiable Principles-Based governance programme for large financial institutions.
James is the Managing Director of Thomson Reuters Financial & Risk business in North Asia, and the Senior Site Leader for Thomson Reuters in Hong Kong. James is a proven leader with deep pan-Asian general management experience in the payments and financial technology space.
Prior to joining Thomson Reuters, James was leading PayPal’s business in North Asia as their country manager for Hong Kong, Taiwan and Korea, one of the largest regions for PayPal in Asia Pacific. James’ primary focus was on expanding the PayPal footprint among clients, and managing relationships with regulatory bodies. Prior to joining PayPal, James was Vice President and General Manager of American Express’ global payment options business. He spent close to 10 years in leadership positions at American Express in the Asia-Pacific region where he held numerous roles including being responsible for sales, client management and business development. James also led the development of a number of ground-breaking new products for American Express in markets including China, Australia, Japan and India.
Prior to American Express, James worked at Reuters for 3 years, initially in London and then in Singapore.
Director & Chief Investor Relations Officer Japan Exchange Group, Inc.
Director & Chief Investor Relations Officer, Japan Exchange Group, Inc.
Mitsuo Miwa has served in several positions spanning many different departments since joining the Tokyo Stock Exchange in 1990, including as Manager in the clearing and settlement department where he was responsible for the implementation of DVP settlement in Japan and the establishment of Japanese consolidated clearing house (CCP). After serving as Senior Manager of Corporate Strategy, he went on to act as Chief Representative in Europe for 5 years. Since being appointed Director in July, 2013, he led the Market Business Development of Tokyo Stock Exchange (TSE) and Osaka Exchange (OSE), and also the Global Strategy Group of Japan Exchange Group, Inc. (JPX). In April 2016, he was appointed Director & Chief Investor Relations Officer.
Fern Ngai is CEO of Community Business, a not-for-profit organization dedicated to advancing responsible and inclusive business practices in Asia.
With over a decade of experience impacting positive change in the business sector and wider community, Community Business has an established reputation as a thought leader and trusted partner in corporate social responsibility and diversity and inclusion. Community Business conducts research, facilitates networks and events, leads campaigns and provides consultancy and training. Headquartered in Hong Kong with a presence in India and the United Kingdom, Community Business works with companies of all sizes and from diverse industries across Asia, harnessing the power of business to drive social change.
Under Fern’s leadership, Community Business has expanded its products and services, established a subsidiary in India, and has launched the Hong Kong LGBT Workplace Inclusion Index and annual Awards. The Index is a pioneering benchmark for workplace inclusion practices and initiatives for lesbian, gay, bisexual, and transgender employees.
Fern has over 30 years of broad experience in financial services, change management, and in workplace diversity and community programmes. She held leadership roles in the human resources, technology and operations, governance, and corporate affairs functions at Standard Chartered Bank and was its diversity and inclusion champion for Hong Kong.
Head of Risk & Strategy Hong Kong Securities & Futures Commission
Head of Risk & Strategy, Hong Kong Securities & Futures Commission
Bénédicte N. Nolens is Senior Director and Head of Risk and Strategy (R&S) of the Hong Kong Securities and Futures Commission (SFC). Bénédicte joined the SFC in 2012 to establish a new, centralized unit, overseeing risk identification and related strategic planning.
In 2013, R&S published a report entitled “G-SIFI Trends in Risk and Risk Mitigation”, setting out best practices in risk governance and risk culture. In 2015, R&S published a second report entitled “Asset Management: Looking Forward”, setting out risk and strategic trends in asset management, including trends in e-platforms and other innovations in the fund distribution channel.
During the course of 2015, Bénédicte was appointed as a member of the Financial Stability Board (FSB) Market Experts Group on Asset Management, as a member of the Hong Kong Financial Service and Treasury Bureau Fintech Steering Group, and also as the Vice Chair of the International Organization of Securities Commissions (IOSCO) Committee on Emerging Risks (CER), which issues an annual IOSCO Risk Outlook report. Starting March 2016, Bénédicte oversees the Fintech Contact Point of the SFC.
Before joining the SFC, Bénédicte was a Managing Director at Credit Suisse and an Executive Director at Goldman Sachs. Bénédicte holds an LLM and MBA (high honours), and was admitted to the New York State Bar in 1998. In January 2016, Bénédicte was a recipient of the China Daily Asian Women Leadership Awards at the Asia Financial Forum (AFF), recognizing women who are agents of change in their societies and role models in entrepreneurship, innovation, charity and the empowerment of women.
Keith Noyes is the Regional Director, Asia-Pacific at the International Swaps and Derivatives Association, Inc.
Mr. Noyes is based in Hong Kong and heads the offices in Hong Kong and Singapore. His focus is on strengthening ISDA’s relationships in the Asia Pacific region. One of his areas of interest is extraterritoriality and global regulatory conflict, subjects on which he has published several articles and made numerous public presentations.
Mr. Noyes serves as an invited consultant in the Hong Kong Securities and Futures Commission’s Product Advisory Committee and an external reviewer of the OTC Clearing Syllabus for the Hong Kong Securities Institute and is a non-executive member of the HKEx OTC Clear Users Committee. Mr. Noyes is also the international participant member of the AFMA Benchmarks Committee.
Mr. Noyes joined ISDA in October 2007. He is fluent in Mandarin and English. He is a pioneer in Asian derivatives markets, setting up Merrill Lynch’s equity derivatives desk in Hong Kong in 1992 and has also worked in Asia for such firms as Taiwan Securities (HK) Co., Bear Stearns Asia Limited, and S.G. Warburg.
Mr. Noyes holds an MBA degree from University of California, Los Angeles and an AB from Dartmouth College and spent a year studying economics at Beijing University.
Professor of Business Law & Ethics American University of Sharjah
Professor of Business Law and Ethics, American University of Sharjah
Professor O'Brien is a specialist in the dynamics of financial regulation, with particular reference to capital market governance. He has written extensively on the intersection between regulatory form and ethical considerations. He is the recipient of a range of major grants from the Australian Research Council and the Economic and Social Research Council in the United Kingdom.
He is the author of a trilogy of books on regulatory politics: Wall Street on Trial (2003); Redesigning Financial Regulation (2007); and Engineering a Financial Bloodbath (2009). In addition he has edited a series of collections on corporate governance, including Governing the Corporation (2005); Private Equity, Corporate Governance and the Dynamics of Capital Market Governance and Corporate Business Responsibilities (2009). He is co-editor (along with Iain MacNeil of the University of Glasgow) of a major volume on the legal, policy and regulatory implications of the Global Financial Crisis, The Future of Financial Regulation (2010).
Professor O'Brien has held appointments at Queen's University, Belfast, Charles Sturt University and Queensland University of Technology. He has been affiliated to the Center for the Study of Law and Society at the University of California, Berkeley as a Visiting Scholar and at the University of Glasgow, where he was Visiting Professor of Financial Regulation and Policy. He was an Adjunct Professor at the Australian National University division of the Centre for Applied Philosophy and Public Ethics from 2009-2012.
Prior to taking up a career in academia Professor O'Brien was an investigative journalist for a range of national and international broadcasters, including three divisions of the British Broadcasting Corporation - Network News and Current Affairs, BBC Northern Ireland and BBC World Service. He was also Editor, Television Current Affairs at Ulster Television in Belfast. He is a regular commentator on financial regulation to the national and international media and writes regularly for the Irish Times and the Australian Financial Review.
Michelle Price is Asia Regulation Correspondent based in Hong Kong, where she covers a range of regulatory and enforcement issues, from antitrust and corruption probes, so the G20 post-crisis reform agenda.
Michelle joined Reuters News from Dow Jones where she was Asia editor at Financial News, the group’s institutional finance publication and sister publication of The Wall Street Journal, based in Hong Kong. Before moving to Hong Kong a year ago, Michelle ran Financial News’ trading and technology desk in London. Michelle has a BA. Hons in History from the University of Cambridge.
Benjamin Quinlan is the CEO and Managing Partner of Quinlan & Associates.
Benjamin has an extensive track record advising many of the world’s leading multinational companies, financial services organisations, SMEs and start-ups on a variety of high-profile strategic engagements.
Prior to founding Quinlan & Associates, Benjamin was the Head of Strategy for Deutsche Bank AG’s Equities business in Asia Pacific and its Investment Bank in Greater China, and sat on a number of the bank’s global and regional executive committees. He was also the global strategy lead for several of Deutsche Bank’s landmark projects executed out of London and New York.
Prior to Deutsche Bank, Benjamin worked as a Management Consultant at Oliver Wyman, a leading international strategy consulting firm. As part of the firm’s Corporate & Institutional Banking practice, Benjamin advised a variety of global and regional financial institutions on a range of strategic matters. He was also actively involved in the firm’s thought leadership publications and was widely regarded as one of Oliver Wyman’s global subject matter experts in investment banking and capital markets strategy.
Before joining Oliver Wyman, Benjamin worked at UBS AG in the bank’s Asia Pacific Client Coverage and Group Strategy departments, reporting into the regional President and CEO. He began his career in M&A and Capital Markets Advisory at PricewaterhouseCoopers (PwC) in Sydney.
Benjamin holds a Bachelor of Commerce / Bachelor of Laws (Honours) and First Class Honours Degree in Economics (on scholarship) from Macquarie University, Sydney.
Charlotte is a financial services and regulatory partner based in Hong Kong. She is qualified as a solicitor both in Hong Kong and England & Wales.
Charlotte acts for a wide range of national and international financial institutions including investment and private banks, asset and wealth managers (including hedge fund and private equity managers and advisors) and insurance companies. Her practice includes advising on setting up regulated businesses in Hong Kong, on-going compliance with regulatory laws, codes and guidelines, product offering, cross border issues, regulatory corporate governance, anti money laundering and data privacy. She has been actively involved in responding to recent regulatory consultations including on client suitability requirements and advising on related developments affecting the financial services industry.
Charlotte also acts for fund sponsors with respect to the establishment of offshore private funds, and trustees with respect to Hong Kong domiciled trust fund vehicles.
Phil has worked with EY in Hong Kong and Japan since July 2003 and is focused on providing risk advisory and regulatory compliance services to clients.
Phil has worked with many clients on AML and KYC engagements, including:
Gap analyses against regulatory requirements, including work on behalf of the regulators
Developing Institutional Risk Assessment programs
Assessing the design and operating effectiveness of internal controls in the AML process
Large scale KYC, CDD, Source or Wealth remediation projects
Conducting look-back reviews
Developing and tuning transaction monitoring systems
Phil is a member of the EY global regulatory compliance network, focussed on monitoring the regulatory change, assessing and advising clients on the impact.
Phil has provided regulatory compliance advisory services to financial institutions including AML, suitability, sales practices, preparation for regulatory inspections, review and testing of the effectiveness of improvement plans and third party reviews on behalf of regulators.
Head, Compliance, Data, Technology, Operations & Outsourcing Standard Chartered Bank
Head, Compliance, Data, Technology, Operations & Outsourcing, Standard Chartered Bank
Jonathan has 15 years of experience in the technology and banking industry. He has worked within the areas of Technology (Hacking and Equity Trading), Front Office (E-Commerce FX and Transaction Banking), and Compliance (Organisational Restructuring and Compliance Head). Leveraging his academic background in both technology and law, he currently leads Data, Technology, Operations, and Outsourcing Compliance for Standard Chartered Bank.
Ajay Shamdasani is a senior regulatory analyst with Thomson Reuters Regulatory Intelligence in Hong Kong. His focus is money laundering and financial crime, tax evasion, fraud, corruption, cybercrime and data privacy. He previously served as editor-in-chief of Macau Business magazine and before that, was deputy editor of A Plus magazine (the journal of the Hong Kong Institute of Certified Public Accountants). He holds an AB in history and politics from Ripon College; JD and MIPCT degrees from the University of New Hampshire School of Law; and an LLM in financial regulation from the Chicago-Kent College of Law, Illinois Institute of Technology.
Yvonne Siew is a Regulatory and Finance partner, based in Hong Kong. She is qualified in Hong Kong and England and Wales.
Yvonne has a broad regulatory and finance practice. Her experience includes advising numerous banks and other financial institutions on a wide range of regulatory, risk management and compliance issues including bank authorisations and ongoing banking compliance, on the regulatory aspects of sales and purchases of companies and businesses, on regulatory investigations and dispute resolution. She has also advised on a broad range of matters relating to the regulatory aspects of disclosure of interests and market misconduct in Hong Kong as well as licensing and active marketing. Her practice also covers derivatives regulatory reform in Hong Kong advising on OTC derivatives regulatory reform including clearing and reporting obligations in Hong Kong and under the European Market Infrastructure Regulation (EMIR). In addition, she has advised extensively on complex cross border finance and derivatives transactions.
She regularly presents at industry conferences and other events, including ISDA.
Managing Director & Head, Asia Pacific Government Affairs Citi
Managing Director & Head, Asia Pacific Government Affairs, Citi
Catherine joined Citi in September 2013 as head of Government Affairs for Asia Pacific. Catherine works closely with senior management, business heads, and Citi Country Officers to protect and enhance Citi’s interests by engaging with policymakers and industry groups on a wide range of issues. Catherine also coordinates and manages the Citi Government Affairs representatives in the region and chairs the Citi Asia Pacific Global Regulatory Reform Committee.
Prior to joining Citi, Catherine worked at State Street Bank and Trust as Head of Regulatory, Industry and Government Affairs, Asia Pacific. Before that Catherine was a diplomat at the Australian Embassy Beijing, a research fellow in the Faculty of Law and Politics at Keio University Japan and a policy advisor in the Australian Departments of Prime Minister and Cabinet and Foreign Affairs and Trade on political, strategic and trade issues.
Catherine has played an active role in various industry associations, including the U.S. National Centre for APEC (Board Member), US-ASEAN Business Council (Financial Services and ASEAN Committee Member), Asian Securities Industry and Financial Markets Association (Alternate Board Member and Public Policy Committee Member) and the American Chamber of Commerce in Hong Kong (Financial Services Committee Head and Board Member). Catherine has also been active in the APEC Business Advisory Council, Advisory Group on APEC Financial System Capacity Building and the APEC Asia Pacific Financial Forum.
Leesa Soulodre is the Managing Partner and Chief Reputation Risk Officer of the reputation risk management strategy firm, RL Expert Group. She is the Asia licensee and Associate of the Reputation Institute. For 20 years Leesa Soulodre has worked on the cutting edge of technology and strategy consulting, engaged with more than 400 multinationals in 19 sectors across Europe, Asia Pacific and the Americas. To date her consulting efforts have resulted in the delivery of proven strategies, tools and technologies to acquire, protect and support financial services companies license to operate. Since the Global Financial Crisis, Leesa has delivered more than 60 Fortune 500 reputation risk management projects and advised international Asset Owners and their Managers on responsible investment strategy. A serial technology entrepreneur, Leesa is also a Digital Director and Board Advisor to PR Software firm, Prezly (BE), Sports Analytics firm, Autoscout Inc, (IL, USA) and Fashion Analytics Company, FashionMatch (Korea) and an Expert Advisor on ICT Disruption to the European Commission. Leesa holds a Global Executive MBA from TRIUM (NYU, HEC, LSE) and a Masters in Management (Marketing) from the University of Southern Queensland.
Mr. Sucharitakul is the Secretary-General of the SEC, Thailand. Concurrently, he serves as a member of the State Enterprises Policy Committee.
Mr. Sucharitakul joined SEC at its establishment and devoted 13 years of his career to capital market development and supervision. He left the SEC in 2005 to take on several positions in private and public organizations, where he gained extensive experiences in policy making, consultancy and management. Some of his previous posts include member of the Board of Governors of the Stock Exchange of Thailand, director of Thailand Futures Exchange, director of the Federation of Thai Capital Market Organizations, director of the Thai Institute of Directors Association, director of KASIKORNBANK Plc., executive chairman of KASIKORN Securities Plc. and KASIKORN Asset Management Company Limited, advisor to the President of Muang Thai Life Assurance Plc., and independent director of Big C Supercenter Plc. He rejoined the SEC in his current role in May 2015.
Mr. Sucharitakul earned an LLM in Commercial Law from University of Bristol, and an LLB (with honors) from University of Essex, the United Kingdom.
Asia Editor Pete Sweeney joined Reuters Breakingviews in Hong Kong in September 2016. Previously he served as Reuters' chief correspondent for China Economy and Markets, running teams in Shanghai and Beijing; before that he was editor of China Economic Review, a monthly magazine focused on providing news and analysis on the mainland economy. Sweeney came to China as a Fulbright scholar in 2008, and in that role conducted research on the Chinese aviation industry and outbound M&A.
In prior incarnations he helped resettle refugees in Atlanta, covered the European Union out of Brussels, and took a poorly timed swing at craft beer entrepreneurship in Quito even as the Ecuadorian currency collapsed (not his fault). He speaks Mandarin Chinese, at the expense of his Spanish.
Dr Tony Tan
Head Global Society Advocacy Engagement CFA Institute
Head, Global Society Advocacy Engagement & Head, Standards & Advocacy, Asia Pacific, CFA Institute
Tony TAN is Head of the Global Society Advocacy Engagement; and Standards and Advocacy division for CFA Institute for the Asia Pacific region. He is responsible for leading CFA Institute efforts in advocacy, policy development, and regulatory outreach.
Tony has worked over 20 years in the international financial markets. During that period, he was involved in financing projects in the oil and gas industry, advised central banks and developmental financial institutions on risk management issues, and ran a global capital markets trading operation.
Prior to joining CFA Institute, he had an adjunct role with INSEAD, Singapore Management University, and Nanyang Technological University in Singapore and taught in the areas of ethics and corporate governance. He was also an active volunteer with the Institute as a member of their Capital Markets Policy Council.
Tony received his doctorate from the University of Western Australia. Additionally, he holds a Master of Research degree from the same university and a Master of Science in Financial Economics degree from the University of London. He is also a CFA charterholder.
Brian W Tang is a corporate finance lawyer who has worked on Wall Street, in Silicon Valley and in Hong Kong on financing technological, social and environmental innovations to benefit the real economy.
Brian is the founder of Asia Capital Markets Institute (ACMI) (www.asiacmi.com ), a professional educational and policy platform that fosters professionalism, efficiency and innovation for capital markets trust and integrity.
While at global investment bank Credit Suisse in Hong Kong, and prior to that at law firms Sullivan & Cromwell in New York and in Silicon Valley and Mallesons in Perth, Australia, Brian has worked on some of Asia’s largest and first-ever financial services and technology capital markets and M&A deals, project bonds and financings in Latin America and Australia, and microfinance in South Asia. Some of these landmark transactions include the inaugural A+H-share IPO of ICBC, Alibaba.com’s privatization, and leading a cross-disciplinary team to establish Credit Suisse’s joint venture investment bank in Beijing.
Brian has recently contributed chapters to The FinTech Book (Wiley) and Reconceptualising Global Finance and Its Regulation (Cambridge Uni Press), and lectured at HKU’s inaugural Masters of Law Fintech program, with current particular interests in online capital marketplaces, RegTech and qualitative value investing algorithms.
In addition, Brian launched EdTech social enterprise Young Makers & ChangeMakers (https://www.facebook.com/YoungMakers.ChangeMakers/), an inclusive education platform and community which fosters young maker mindsets and 21st century skills.
Brian was born in Singapore and graduated from The University of Western Australia with a combined Bachelors of Arts and Laws (with honours) and from New York University School of Law with a Masters of Laws.
Rebecca heads Government Relations Asia Pacific for the global Office of Public Policy and Regulatory Affairs and is based in Hong Kong. In this newly created position, she provides regular updates on the global regulatory reform agenda and its potential impacts in the region to the company’s business leaders, Asian regulators, market supervisors, policy makers and regional trade/business associations.
Prior to joining BNY Mellon, Rebecca ran the Policy and Regulatory Affairs team at Asia Securities Industry & Financial Markets Association (ASIFMA), served as a New Directions Returnship Fellow at Goldman Sachs and held policy roles in the US Congress and industry and not-for-profit organizations. Rebecca is currently serving as a Board Member of the Hong Kong based charity KELY and was formerly a Member of the Board of Directors and the Steering Committee of the Women in Finance Asia (WiFA).
Managing Director & Head of Compliance, Global Markets, APAC State Street
Managing Director & Head of Compliance, Global Markets, APAC, State Street
Originally from Canada, Tim is a US-qualified attorney with over two decades of combined regulatory, investment banking and compliance experience from bases in Hong Kong and Singapore. Tim first entered the financial industry in 1996 as a manager at the listing division of a prominent Asian stock exchange. Leaving regulation for the front-office in 2000, Tim joined the London-listed Hong Kong corporate finance arm of a Japanese mega-bank as an investment banker specialising in ECM origination, ultimately migrating with the entire team in 2002 to the Hong Kong corporate finance arm of a leading Singaporean bank.
In 2005, combining his legal, regulatory and investment banking skillsets Tim joined another leading Singaporean bank at its head office in Singapore, where he led its wholesale group compliance practice. Tim was hired by a major German bank in 2008 to lead its Hong Kong compliance practice and ultimately, additionally, its regional markets compliance practice. In 2014 Tim joined a top US bank to lead its Asia-Pacific markets compliance practice, supporting the bank’s securities, FX and asset management businesses.
Earlier this year Tim joined State Street as Managing Director and Head of Compliance APAC for State Street Global Markets (SSGM), where he is responsible for overseeing all aspects of compliance for SSGM’s businesses in seven locations across the Asia-Pacific region.
Responsible for oversight of legal risk management for the Deutsche Bank Group across the Asia Pacific region. Lief is jointly responsible for a legal team located in Hong Kong, Singapore, Sydney, Tokyo, Shanghai, Seoul, Mumbai and Manila.
Lief is a member of Deutsche Bank's Global Legal Executive Committee, APAC Regional Executive Committee, Hong Kong Executive Committee, APAC Regional Risk Committee, APAC Incident Management Committee and APAC Reputation Risk Committee.
Lief joined Deutsche Bank in Australia in July 1997 and re-located with Deutsche Bank to Hong Kong in April 2006.
Prior to joining Deutsche Bank, Lief worked with the Australian law firm, Mallesons Stephen Jaques, and with Legal & General.
Lief has over 24 years experience providing legal advice and counsel to commercial and investment banks, securities brokers and asset management firms over a wide range of capital markets, securities, corporate, regulatory and litigation matters.
Lief holds a BEc and LLB degree, together with an LLM from the University of Sydney, Australia.
Chief Executive Officer The Women's Foundation (Hong Kong)
Chief Executive Officer, The Women's Foundation (Hong Kong)
Su-Mei Thompson is CEO of The Women’s Foundation, a NGO dedicated to the advancement of women and girls in Hong Kong through research, community programmes, education and advocacy. In 2013, Su-Mei founded the 30% Club HK which champions bringing more women onto corporate boards. Su-Mei was also an Associate Producer for TWF’s new documentary “She Objects” which was included in the Official Selection for the 2016 Sundance Film Festival: Hong Kong.
Su-Mei started her career as a corporate finance lawyer at Linklaters and went on to hold senior management positions at Disney, the Financial Times and Christie’s. Su-Mei is a member of the Equal Opportunities Commission of Hong Kong, a board member of Opera HK and a council member of The Cheltenham Ladies College.
Su-Mei is the winner of the 2015 AmCham Women of Influence Award for Non-Profit Leader of the Year and the 2015 HKAH/Tatler Women of Hope Award for Power & Influence. She was recognised as one of HK’s 100 Most Influential People by Debrett's/the SCMP in 2015. Su-Mei served as a judge for the 2014 Diageo WE Journalism Awards and as a jury member for the 2016 Cannes Glass Lions Awards.
Su-Mei holds law degrees from Cambridge and Oxford and an MBA from IMD.
Claudius Tsang, CFA
SVP, Senior Executive Director & Co-Head of Private Equity, North Asia Templeton Asset Management Ltd
Senior Vice President, Senior Executive Director and Co-Head of Private Equity, North Asia of Templeton Asset Management Ltd.
Mr. Claudius Tsang, CFA, is a Senior Vice President, Senior Executive Director and Co-Head of Private Equity, North Asia of Templeton Asset Management Ltd., a subsidiary of Franklin Resources, Inc. (NYSE: BEN). He is responsible for analyzing and evaluating strategic equity investments in North Asia. Prior to rejoining Franklin Templeton in 2008, Claudius managed private equity and PIPE (Private Investment in Public Equity) deals in Hong Kong, China, Taiwan and the United States for Lehman Brothers. Previously, he also worked for Korea Development Bank, the China Chem Group and Jardine Fleming.
Claudius is a CFA charterholder and served as Disciplinary Review Committee member of CFA Institute from 2006 to 2009. He is currently a Director of The Hong Kong Society of Financial Analysts and a committee member of Chinese Financial Association of Hong Kong as well as the Tsinghua Alumni Association of Hong Kong.
Claudius holds a bachelor of law from Tsinghua University and a bachelor of engineering from The Chinese University of Hong Kong.
Maaike van Meer
Chief Legal & Compliance Officer AXA China Region Insurance Company Limited
Judy joined EY in March 2014 and serves as our Regulatory Leader for our financial services practice across Asia Pacific.
She also serves as a member of EY’s Global Regulatory Network and works within our global leadership team of senior former regulators to help clients manage the emerging global regulatory agenda, which increasingly is on Conduct Risk Management and Control.
Prior to joining EY, Judy spent 16 years at Goldman Sachs where she was a Managing Director and Head of Regulatory Affairs for Asia ex-Japan (2011-2013) and Head of Compliance for AEJ (2004-2011).
Prior to her role at Goldman, she spent 7years in a senior role at the Hong Kong Securities and Futures Commission (SFC).
Chief Product and Content Officer, Thomson Reuters
Debra Walton is the Chief Product and Content Officer, Financial & Risk at Thomson Reuters; she is a member of the Financial and Risk Division’s Executive Leadership Team and Executive Sponsor of the Women’s Network. Ms. Walton has been in senior management at the company since 2003, with roles in sales, marketing, strategy, product development, Financial & Risk and Operations. She currently has end-to-end responsibility for the division’s solutions and product offerings.
Working from the firm’s Enterprise Innovation Hub in Baar Switzerland, she manages several large enterprise projects, including an ongoing effort to unify Thomson Reuter’s data across the enterprise as well as leading the execution of the firm’s open digital platform strategy.
An expert on big data and the challenges it poses in today’s business world, Ms. Walton speaks frequently at global conferences and industry events where she discusses data management, innovation, and leadership. She blogs frequently on those topics, as well as on gender diversity issues, for sites such as The Huffington Post, Business Insider, and Financial IT.
Prior to joining Thomson Reuters, she was president and chief executive of Nucleus Inc., a technology start-up delivering enterprise solutions. Before that, she was the first female partner at Cantor Fitzgerald and a founding board member of the Cantor Financial Futures Exchange, the first electronic platform for trading U.S. Treasury futures contracts.
In addition to her day to day responsibilities at Thomson Reuters Ms. Walton serves as a member of the Advisory Board of the Data Science Institute at Imperial College in London. She is a board member at the Women’s Refugee Commission, a non-profit organization serving refugee women and children around the world, and an advisory board member at Springboard, a New York based nonprofit that brings together entrepreneurs, investors, and industry experts to help women take their business plans to market.
She recently was recognized as a Springboard Enterprises Oracle honoree, championing women entrepreneurship. In 2015, she was named a Woman of Vision by the Anita Borg Institute, won the coveted Merit Award from the Women’s Bond Club, and earned a spot on the New York Business Journal’s inaugural “Women of Influence” list. She has also won the New York Women’s Agenda Galaxy Award and the Women’s Venture Fund Highest Leaf Award.
An avid golfer and sailor, Ms. Walton lives in Switzerland with her husband Marc.
Qi Wang is the CEO of MegaTrust Investment (HK), responsible for providing investment research and solutions to institutional clients worldwide. The MegaTrust Investments Group is a research driven, boutique fund manager specializing in Chinese equities. The group was founded in 2007 and has approximately US$500 million under management today.
Prior to joining MegaTrust, Qi was the Head of China Equity Research at MSCI Inc., a global index and analytics tool provider. He advised the world’s leading asset owners on the topics of global investing, asset allocation, portfolio construction, and risk management etc. In 2014, Qi and his colleagues produced ground-breaking research on factor investing (smart beta) for the Government Pension Investment Fund of Japan (GPIF). He also led research and consultation on the inclusion of China A-shares in the emerging markets index, making him a highly regarded expert on the globalization of A-shares (domestic Chinese stocks).
Before joining MSCI, Qi was the chief investment officer at China Everbright Limited, a state-owned financial conglomerate in Hong Kong. He founded the company’s asset management department with US$1 billion of AUM. Under his leadership, the department became one of the most robust and innovative platforms for cross-border investing.
Prior to CEL, Qi was an investment director and portfolio manager at hedge fund manager Elliott Advisors (H.K.), responsible for its fundamental long-short strategy in Asia. He invested broadly in Chinese equities, Asian TMT stocks and Japanese small caps. He made money in each of 2007-2009 and generated more than 20% return in 2008.
Before joining Elliott, Qi was an equity research analyst for UBS in New York and Hong Kong. He co-founded the first Global Tech Strategy Group on Wall Street, and was an author of the award-winning “The Weekly Global Tech Journey”, a think piece on global tech investing.
Qi began his career as a financial analyst in the Investment Research Department of Goldman Sachs in New York. He graduated from Dartmouth College with a double-degree in mathematics and electrical engineering in 1997. Qi has been a CFA charter holder since 2003. Qi has also been qualified as a responsible officer for Type 4 and 9 regulated activities in Hong Kong.
RISK Sales Specialist Manager Hong Kong & North Asia
RISK Sales Specialist Manager – Hong Kong & North Asia, Thomson Reuters
Dean has worked in the Thomson Reuters Risk segment for just over 8 years and was in-charge of developing and growing the Enhanced Due Diligence (EDD) business across Asia Pacific. He joined the industry in 2006 as a researcher before moving on to IntegraScreen and later World-Check, and over the years has gained invaluable experience overseeing and managing due diligence assignments. This has included working with some of the world’s largest companies on IPOs, M&A deals, and joint ventures, providing advice and the tools for due diligence.
He is currently the sales manager for the Risk Sales Specialist team for Hong Kong and North Asia, and along with his team, is responsible for developing and growing the Risk business across the region. His role also includes advising clients on products and services helping them comply with the ever changing regulatory (ABC, AML, CFT etc.) landscape in which they have to operate. In addition he has helped global companies to develop, implement and manage third party screening programs.
Clarence is Chief of Staff to BlackRock's Asia-Pacific Chairman and is responsible for special projects as well as major cross-functional initiatives. Prior to this role, he was a member of the Asia-Pacific Strategy & Corporate Development team and before that he served as BlackRock's Head of Corporate Governance & Responsible Investment Asia ex-Japan. In this role, Clarence
was responsible for integrating environmental, social and corporate governance (ESG) into investment and risk management processes for the regional equity investment team.
Clarence’s service with the firm dates back to 2005, including his years with Barclays Global Investors (BGI), which merged with BlackRock in 2009. At BGI, he was responsible for voting and engagement in relation to UK and European investee companies. In 2008 he was recognized as a Rising Star of Corporate Governance by the Millstein Centre for Corporate Governance. Prior to joining BGI in 2005, Clarence worked for Greenwich Associates as a corporate finance research associate.
Clarence also currently serves as a member of the Board of Governors for The Women’s Foundation, a non-profit organization dedicated to improving the lives of women and girls in Hong Kong.
Clarence earned a BSc degree in economics and philosophy from City University in 2000.
Qiumei Yang is CEO, ICI Global Asia Pacific. Yang comes to ICI Global from the Hong Kong Stock Exchange (HKEx), where she served as deputy head of the market development division and head of mainland development. Yang played a critical role in the exchange’s business development and assisted in HKEx’s acquisition of the London Metal Exchange.
Yang’s career also includes 10 years at the China Securities Regulatory Commission in roles including deputy director general for the department of investment fund supervision. In that job, she represented the People’s Republic of China in the International Organization of Securities Commissions (IOSCO), serving on the standing committee on investment management. She also chaired IOSCO’s working group on investment funds in the IOSCO emerging market committee.
In addition, Yang has taught at universities in the United States and Latvia, and for several years worked as a consultant to the Organisation for Economic Co-operation and Development. She earned bachelor’s and master’s degrees from Peking University and her PhD in economics from the University of Illinois.
The 2016 Pan Asian Regulatory Summit is the leading forum for governance, risk and compliance professionals in Asia and will deliver a comprehensive and impressive line-up of regulators and industry experts. Find out more.
Download exclusive industry reports, watch exclusive speaker interviews and get more information on how Thomson Reuters can help your organization deal with compliance and regulation obligations. Find out more.
The summit will discuss the key regulatory trends across Asia, regulatory updates, the challenges of anti-money laundering, and developments in financial technology, through a series of exclusive keynote presentations, expert panel discussions and intimate interviews. Find out more.
The Pan Asian Regulatory Summit 2016
8 & 9 November 2016 | Grand Hyatt Hong Kong
Asia's key regulatory summit for Governance, Risk and Compliance professionals