Professor K C Chan Acting Financial Secretary Hong Kong SAR Government
Professor Chan, 57, was Dean of Business and Management in the Hong Kong University of Science and Technology (HKUST) before he was appointed Secretary for Financial Services and the Treasury in July 2007. Prior to joining the HKUST Business School in 1993, Professor Chan had spent nine years teaching at Ohio State University in the United States.
Professor Chan received his bachelor's degree in economics from Wesleyan University and his M.B.A. and Ph.D. in finance from the University of Chicago. He specialised in assets pricing, evaluation of trading strategies and market efficiency and has published numerous articles on these topics.
Before joining the Government, Professor Chan held a number of public service positions including Chairman of the Consumer Council, Director of the Hong Kong Futures Exchange, and Member of the Commission on Strategic Development, Commission on Poverty, the Exchange Fund Advisory Committee, the Hang Seng Index Advisory Committee, and the Hong Kong Council for Academic Accreditation. He was former President of the Asian Finance Association and President of Association of Asia Pacific Business Schools.
Ashley Alder Chief Executive Officer Hong Kong Securities and Futures Commission
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.
David J. Wright Secretary General International Organization of Securities Commissions (IOSCO)
After graduating from Worcester College, Oxford in 1974 in politics, economics and philosophy (PPE) David has worked for nearly 34 years in the European Commission from 1977- 2011. He held a variety of posts including at the beginning of his career responsibility for oil and gas data in the Statistical Office, Luxembourg (1977-1981) during the second oil crisis; energy policy coordination and modelling in the Directorate General for Energy, Brussels (1982-1987); and then industrial trade policy negotiations during the Uruguay multilateral trade round (1987-1989).
From 1989-1992 he was a member of President Delors' "Think Tank" called the "Cellule de Prospectives" where he worked on industrial policy and wrote the first Commission document on sustainable development. In this period he co-authored a book with Professor Alexis Jacquemin on the post-1992 EU political and economic agenda called "Shaping factors, shaping actors".
From 1993-1994 he was a member of Sir Leon Brittans' Cabinet and worked on various aspects of trade and industrial policy, including completion of the Uruguay Round in 1994. In 1995 he became an Adviser to President Jacques Santer in his Cabinet – covering competitiveness, industrial and telecom policies, political relations with the UK and Ireland, financial services, risk capital and various other trade and foreign policy briefs.
From March 2000 – October 2010 he was first Director, then Deputy Director-General for securities and financial markets, then for all financial services policy in DG Internal Market and Services. He helped design and drive forward the Financial Services Action Plans to integrate the EU's capital and financial services markets. He was the rapporteur for both the Lamfalussy (2000/1) and De LaRosière Committees (2008/9), chaired the Securities and Banking Committees and represented the Commission in the Financial Services Committee and in various FSB/G20 fora. He also played a leading role in the EU-US financial markets dialogue in this period.
He was the EU Visiting Fellow at St Antony's College, Oxford until July 2011 and was a Member of the European Commission's Task force on Greece until the end of January 2012.
David Wright’s appointment as Secretary General of the International Organization of Securities Commissions (IOSCO) commenced on 15 March 2012.
Mark Steward Executive Director, Enforcement Division Hong Kong Securities and Futures Commission
Before joining the Securities and Futures Commission (SFC), Mr. Steward held several senior positions with the Australian Securities and Investments Commission (ASIC) and was most recently Deputy Executive Director, Enforcement at ASIC. Mr. Steward has been involved in corporate and securities regulation since 1987 in both Australia and in the UK specializing in investigatory work and resulting litigation. Mr. Steward completed a law degree at the University of Melbourne in 1989. He has practiced extensively in Australian courts.
Member of the SFC (HKEC Listing) Committee (from 25 September 2006) and Executive Committee (from 10 January 2007). Non-Executive Director of the Financial Dispute Resolution Centre Limited (from 1 March 2012).
Zhang Xiaoling Deputy CEO of China AMC, CEO China AMC (Hong Kong) China AMC
Mr. Zhang currently is Deputy CEO of China AMC, and CEO of China AMC (Hong Kong) Limited. China AMC is the largest mutual fund company in China, and China AMC (Hong Kong) Limited is its subsidiary based in Hong Kong. Before joining China AMC, Mr.Zhang was a Deputy Director-General at China Banking Regulatory Commission (CBRC) in Beijing, in charge of supervision of foreign banks in China and was deeply involved in the international financial regulatory reforms following the global financial crisis. Mr.Zhang also worked as an economist at the Federal Reserve Board in Washington and later was the head of the credit trading model risk at Morgan Stanley in New York.
Mr. Zhang has extensive experiences in financial markets, fixed incomes, macro-economic issues and risk management, and has published numerous articles on top finance journals including Journal of Finance, Management Science, and Journal of Business. Mr. Zhang holds Ph.D. in finance and M.A. in economics, both from the University of Maryland and a B.S. from Tsinghua University in Beijing. Mr. Zhang was elected to the prestigious “One Thousand Talents” program in China.
Nick Miller Head of the International Department Financial Conduct Authority
Nick Miller is the Head of the International Department at the Financial Conduct Authority. In this role, Nick is responsible for managing the FCA's strategic relationships with counterpart regulators, international policy makers, multilateral bodies and other stakeholders throughout the world. He is also responsible for ensuring that the FCA's purpose, objectives and priorities are promoted internationally, as well as for monitoring new regulatory developments that could affect our work, at global and EU levels. Prior to joining the regulator, Nick was Executive Director and Head of Public Policy, EMEA at Morgan Stanley, where he spent four and a half years. He previously worked in a government relations role at Thomson Reuters and as a trade policy expert at the Confederation of British Industry (CBI). He holds an Masters in Finance from the London Business School and a Masters in European Politics from the College of Europe in Belgium. He also holds a BA in Modern European Studies from University College London (UCL).
Meena Datwani Director-General (Enforcement) Hong Kong Monetary Authority
Meena Datwani is responsible for enforcement, complaints against authorized institutions and the operation of the Deposit Protection Board 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. She was appointed to her current position on 1 September 2014. 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.
Paul Fisher Deputy Head of the Prudential Regulation Authority and Executive Director, Supervisory Risk and Regulatory Operations The Bank of England
Paul Fisher was appointed Deputy Head of the PRA and Executive Director for Supervisory Risk and Regulatory Operations on 1 June 2014. In this role, Paul is responsible for Supervisory Oversight, Supervisory Support, the PRA Chief Operating Officer and related functions and, through a Director of Specialist Risk Supervision, the PRA Risk Specialists. Paul is a member of several senior management committees of the Bank and in due course, he will be appointed to the PRA Board.
Paul joined the Bank in 1990, having previously worked at the University of Warwick between 1980 and 1990 where he specialised in research on macroeconomic models. He has been part of the Bank's senior staff since 1995, positions including:
Executive Director, Markets and member of the Monetary Policy Committee March 2009- July 2014.
Member of the Interim Financial Policy Committee, 2011-2013.
Head of Foreign Exchange Division (FED) 2002- 2009.
Private Secretary to the late Governor, Sir Edward George, 1999-2002.
Head of the Conjunctural Assessment and Projections Division 1995-1999.
Tokio Morita Deputy Commissioner for International Affairs Financial Services Agency of Japan (JFSA)
Tokio MORITA is Deputy Commissioner for International Affairs of the Financial Services Agency of Japan (JFSA) from 2012. He represents the JFSA in various international for a including BCBS.
He was the Director for Banks Division 1 (2009 to 2012) and the Director for Securities Business Division (2007 to 2009) both in Supervisory Bureau, JFSA. From 2007 to 2009, he chaired the IOSCO’s standing committee on regulation of market intermediaries (Standing Committee 3).
Previously, he worked as the Advisor of IMF (2004 to 2007) and for various positions in JFSA and the Ministry of Finance where he began his career in 1985.
Jaehoon Yoo Chairman and CEO Korea Securities Depository
Mr. Jaehoon Yoo was appointed Chairman and CEO of Korea Securities Depository in November 2013. Prior to this post, he served as the Commissioner of the Financial Services Commission from April 2012 and as Head of the Treasury Bureau at the Ministry of Strategy and Finance from December 2009 to March 2011. He also held the post of senior economist at ADB and World Bank for 6 years.
He has a BA in economics and an MA in public administration from Seoul National University, and an MA (DEA) in international economics at Sciences-Po de Paris. He also graduated from the Ecole Nationale d’Administration (ENA) in France. He obtained a Ph.D. in economics from Kyonggi University in 2011.
Chris Savundra Senior Executive Lead, Markets Enforcement Australian Securities and Investments Commission
Chris leads ASIC's Markets Enforcement team, which is responsible for investigating and taking enforcement action in relation to market misconduct, corporate governance and financial crime related matters and disciplinary action against auditors, insolvency practitioners and market participants. Chris is a former Litigation Counsel within ASIC's Chief Legal Office. He has been responsible for the carriage of a number of ASIC's major investigations and litigation. Chris has led the team on many of ASIC's recent insider trading outcomes. Prior to joining ASIC, Chris worked in the litigation group of Allens Arthur Robinson and Herbert Smith (London).
Tipsuda Thavaramara Senior Assistant Secretary-General, Strategy, Risk and Markets Division Securities and Exchange Commission of Thailand
Ms. Thavaramara is in charge of SEC’s strategy, risk, market supervision, research, and international relations. She also serves as a member of Sub-committee on Capital Market Development Master Plan and an advisor to Government Pension Fund’s Investment Management Sub-Committee. She was on Government Pension Fund’s board of directors and House of Representatives’ committee on Derivatives Act review. She has been well-recognized among capital market regulators, especially in ASEAN, where SEC has played active roles under ASEAN Capital Markets Forum.
Ms. Thavaramara earned an MBA degree with distinction from University of Pennsylvania and a Bachelor degree in Mathematics (magna cum laude) from Harvard University.
Soon Won Chung Member, Monetary Policy Committee Bank of Korea
Dr. Soon Won Chung was appointed a member of the Monetary Policy Committee of the Bank of Korea in April 2012, on the recommendation of the Chairman of the Korea Chamber of Commerce and Industry.
Before joining the Bank of Korea, Dr. Chung served as CEO or president at several top Korean enterprises, including Samchully Co. (Feb. 2009 - Dec. 2011), Hyundai Rotem (Oct. 2004 - Feb. 2007), Hyundai Motors (Jan. 2000 - Sep. 2004), and Hyundai Capital (Apr. 2000 - Sep. 2001). He has also served as director or head of several economic research institutes, including the Korea Economic Research Institute (Feb. 2003 - Apr. 2005 and Feb. 2006 - May 2007) and the Hyundai Research Institute (Jan. 1994 - Dec. 1999).
Soon Won Chung attained his Master's and Ph.D. degrees in Economics from Indiana University, in 1983 and 1986, respectively.
David Graham Chief Regulatory Officer and Head of Listing Hong Kong Exchanges and Clearing Limited
David Graham took up the newly-created role of Executive Vice President, Chief Regulatory Officer, and Head of Listing (Designate) at the Hong Kong Exchanges and Clearing Limited in January 2013. He formally became Head of Listing on 1 March 2013.
Mr. Graham has over 30 years of experience in legal and financial services. He started his career with Freshfields (now Freshfields Bruckhaus Deringer) in the UK in 1982, was promoted to Partner in 1991 and moved to Hong Kong in 1999. Mr. Graham joined Morgan Stanley as General Counsel (Asia ex-Japan) in 2001 and has been working in the financial services sector since then. He has held several senior roles within UBS, both in Asia and in the UK, including Global General Counsel of UBS Investment Bank. Prior to taking up his current role, he was Global Head of Legal and General Counsel of the Wholesale Division at Nomura.
Mr. Graham has been a member of a number of committees of the Hong Kong Securities and Futures Commission, including serving as a member, and then a Deputy Chairman, of the Hong Kong Takeovers Panel from 2001 to 2012. He is currently a member of the Code Committee of the UK Takeover Panel.
Mr. Graham graduated from Oxford University in 1981. He is admitted as a solicitor in England and Wales and in Hong Kong.
Benedicte N. Nolens Senior Director, Head of Risk and Strategy Hong Kong Securities and Futures Commission
Bénédicte N. Nolens is the Senior Director and Head of Risk and Strategy of the Hong Kong Securities and Futures Commission (SFC). Bénédicte joined the SFC in 2012 to establish and lead a new, centralized unit, overseeing risk identification and related strategic planning for the SFC. In December 2013, the Risk and Strategy team published a report entitled “Risk-focused Industry Meeting Series: G-SIFI Trends in Risk and Risk Mitigation”, setting out best practices in risk governance and risk culture, with a view towards achieving continuous improvement in these area.
Bénédicte also liaises on risk matters with international regulatory authorities through membership on the International Organization of Securities Commissions (IOSCO) Committee on Emerging Risks (CER), for which she serves as the co-lead of the Workstream on Emerging Risks. In October 2013, IOSCO published the “IOSCO Securities Market Risk Outlook 2013-2014” which highlights trends, vulnerabilities and risks in the global securities markets that may be of concern from a systemic perspective.
Prior to assuming her current role at the SFC, Bénédicte was a Managing Director at Credit Suisse from 2007 to 2012. She served as the Chief Compliance Officer and the Chief Operating Officer of the General Counsel Division of Credit Suisse for the Asia-Pacific region. In this role she managed regulatory relations as well as staff across twelve Asian locations.
Prior to Credit Suisse, Bénédicte spent ten years at Goldman Sachs working in a variety of compliance roles covering Asia Ex-Japan, including as Deputy Head of Regulatory Affairs and Head of IBD Compliance. Before that, she worked at the international law firm of White & Case in their New York and Brussels offices.
Bénédicte was born and raised in Belgium, where she earned her law degree by obtaining an LLB from the University of Namur and an LLM from the University of Leuven (high honors). She also obtained an LLM and an MBA from the University of Chicago (high honors). She is admitted to the New York State Bar. In her extra-curricular life, Bénédicte supports diversity and sustainability initiatives. Bénédicte and her partner Liu Wei have two sons.
James Shipton Executive Director, Intermediaries Hong Kong Securities and Futures Commission
Mr Shipton is a member of the Securities and Futures Commission. He is also an Executive Director with responsibility for Intermediaries, which comprises the Intermediaries Supervision and Licensing departments.
Prior to joining the SFC, Mr Shipton held several senior positions at Goldman Sachs. Before that he was an advisor to asset manager firms, an investment banker and lawyer.
Mr Shipton completed a BA in Asian studies and a LLB (Honours) and undertook post-graduate studies at the University of Hong Kong. He is a solicitor in Hong Kong, England & Wales and Victoria (Australia) and is currently a Fellow of Harvard Law School.
Shigesuke Kashiwagi was appointed Chief Financial Officer of Nomura Holdings, Inc. effective April 1st, 2013. Prior to this, he was Senior Managing Director of Corporate Office with particular focus on regulatory strategy for Nomura.
Mr. Kashiwagi joined Nomura in 1982 and has extensive experience in Fixed Income business including in New York and London. He has held various leadership positions at Nomura, including serving as Head of Global Fixed Income and as President & CEO of Nomura Holding America, Inc.
Mr. Kashiwagi has a BA in Economics from Keio University in Japan and an MBA from New York University.
Jackie Liu Principal Assistant Secretary for Financial Services and the Treasury Hong Kong SAR Government
Mr. Liu joined the Administrative Service of the HKSAR Government in August 2001. He has served various bureaux and departments, including the former Environment and Food Bureau, the Financial Services and the Treasury Bureau, the Tourism Commission, and the Hong Kong Economic and Trade Office in Geneva.
Mr. Liu took up the position of Principal Assistant Secretary in the Financial Services and the Treasury Bureau in March 2012, covering policy and legislation concerning banking, bond market development, anti-money laundering and related international matters.
Sanjeev Chatrath is the Region Head and Managing Director at Thomson Reuters’ Financial & Risk (F&R) business covering Asia Pacific and Japan. In this role Sanjeev 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 part of the Global Executive Leadership Team for F&R. He is also the chairperson for the Asia Operating Committee for F&R.
The Financial & Risk business is recognized as a pioneer and market leader in the region for delivering trusted and unbiased Intelligent Information and solutions to the industry. Sanjeev has worked in Asian financial markets for over 18 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 of the Treasury and Trade solutions business, overseeing the business across all Institutional client segments in Asia Pacific. Sanjeev was also a member of the Global Investment Council, and Global Balance Sheet Optimization Committee for the business. Prior to this, Sanjeev was Citi's Managing Director and Regional Head of Sales for Asia Pacific, leading the client business for Treasury and Trade solutions in the region. He successfully led the Asia client business to become the highest performing region for Citi.
Before joining Citi, Sanjeev held senior management positions with ABN Amro Bank, and Standard Chartered Bank based in Singapore, UAE and India. At Standard Chartered Bank, Sanjeev pioneered the first ever internet based payments platform for the Bank’s Institutional clients in 2001 and led the Bank’s integration of Grindlays for the Corporate & Investment Bank in Middle East.
Sanjeev is the chairperson of the Regional Diversity and Inclusion Council at Thomson Reuters. Sanjeev is also an alumnus of Citi’s Global Business Leadership Program, and Asia Pacific Leadership Program.
Sanjeev, currently based in Hong Kong, is a Certified Treasury Professional, Certified International Cash Manager, and has a Master's Degree in Business Administration, with dual specialization in Finance and Marketing.
Scott Ainslie President Australian Institute of Professional Intelligence Officers
Following an outstanding career with the Australian Defence Force Scott moved into corporate specialising in information security governance. Employed by global outsourcing organisations, he has garnered over 20 years’ experience of information security risk management across government and corporate entities.
He has a broad knowledge of regulatory compliance and key control requirements specific to the governance of information security across diverse and complex enterprise environments.
Scott is an evangelist of new approaches leveraging intelligent security practices to counter an increasingly volatile threat landscape.
Scott is an Honorary Research Fellow at Federation University Australia (Faculty of Science and Technology), MD of Sycon Security Consultants, and is currently the President of the Australian Institute of Professional Intelligence Officers (AIPIO).
Thomas Albert Chief Executive Officer Oppenheim Asset Management Services, Deutsche Asset & Wealth Management
Thomas Albert has joined Oppenheim Asset Management SARL in September 2011 as Managing Director. In April 2014 he became CEO and is in charge of the expansion strategy of the White Label business globally and the development of growth opportunities with external clients as well as within Deutsche Bank’s Asset & Wealth Management division. Prior he has worked as a Managing Director at Credit Suisse Asset Management as Head of Retail Distribution in charge of Europe (ex Switzerland and Italy) and Latin America and as a member of the Operating Committee for Germany and Central Europe.
Professor Douglas W. Arner 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 Chief Executive Officer ASIFMA
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 60 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.
Mary Patricia (“MP”) Azevedo Managing Director, Financial Services Regulatory Practice PricewaterhouseCoopers
MP Azevedo is a managing director in PwC’s Financial Services Regulatory Practice, specializing in cross border regulatory issues. Prior to joining PwC U.S., she was the Deputy Director for International Coordination in the Office of Complex Financial Institutions at the FDIC. In this position, MP led all global outreach and coordination efforts pertaining to addressing the resolution of “Too Big to Fail” financial institutions. During her tenure at the FDIC, she also represented the agency in policy matters at the Financial Stability Board’s Resolution Steering Group and the Cross Border Crisis Management Group.
Until December of 2010, MP was the Senior Vice President and Associate General Counsel in charge of the international regulatory affairs at Western Union. Prior to joining Western Union, MP was a partner at Winthrop, Stimson, Putnam and Roberts.
David Binder Managing Director & Asia Markets Chief Administrative Officer Citi
Mr. Binder is currently reporting to the heads of Markets in the Asia region. The Asia regional Markets role encompasses most aspects of business management support for the Markets business regionally in addition to being the main regional point of liaison for the Global product support wise; Oversight of the Markets Business Unit Manager team in more than a dozen countries, Strategy, Trading Floor infrastructure management, Cost and Balance Sheet control measures, HR issues and compensation for the division, Financial reporting and Budgets, Recruitment & Training particularly at a junior markets entrant level, Back Office Operations & Middle Office group oversight, Front Office Systems development and in business Technology, Risk and control and Compliance/Legal issues plus business interface to internal & external Audit.
Michael Cheng Research Director for China & Hong Kong Asian Corporate Governance Association
Mr. Cheng joined the Asian Corporate Governance Association (ACGA) in April 2013 as Research Director for China and Hong Kong.
Mr. Cheng came to ACGA from an extensive background of more than 20 years in law, finance and regulation. He was most recently with Hong Kong Exchanges and Clearing Limited (HKEx), which he joined in 2007, and was Head of Listing Policy in the Listing Division for more than five years. Prior to that, Mr. Cheng worked for China International Capital Corp (CICC), a leading investment bank in China, for almost seven years from 2000 to 2007. His time at CICC culminated with his becoming Group Head of Legal and an Executive Director.
Earlier in his career, Mr. Cheng worked as a solicitor at international law firms such as Baker & McKenzie and Linklaters in Hong Kong, and as an in-house counsel in the Legal Services Division of the Hong Kong Securities and Futures Commission.
Mr. Cheng is a graduate of the Law Faculty of the University of Hong Kong, where he received a Bachelor of Laws Degree and a Postgraduate Diploma in Commercial Law. He is also a Member of the Hong Kong Securities and Investment Institute.
Paul Clarke Partner, Financial Services Regulatory Practice & Global Insurance Regulatory Leader PricewaterhouseCoopers
Based in London, Paul is a partner of the financial services regulatory practice in PwC U.K. and is also the firm’s global insurance regulatory leader. In this role, Paul has a global perspective of the issues which insurers across many jurisdictions are facing, from Solvency II in Europe to the development of new global capital standards by the International Association of Insurance Supervisors.
Paul has also worked with banks on product design for the insurance market and advised international regulators on the development of their regulatory regimes.
Simon Clarke Partner Allen & Overy
Simon Clarke is a partner of the Hong Kong office of Allen & Overy. Simon has been conducting commercial litigation and managing legal teams in multi-jurisdictional actions based out of Hong Kong for over 19 years. His practice focuses on special situations – complex disputes of significant financial or reputational risk. His emphasis is on clients in banking and financial services.
Ian Cohen Managing Director, COO Equities Asia, Chief Strategy Officer Global Equities HSBC
Ian is the Chairman of the Equities Committee of ASIFMA and is presently the HSBC COO for Equities Asia and Chief Strategy Officer for Global Equities, Chairman of HSBC Securities (Taiwan), HSBC Securities (Singapore) and an advisory Board member of Quorum 15 Asia. Ian is based in Hong Kong.
Previously Ian held the role of Chairman of the AFME Europe, CEO of BCS Group Plc, a financial services consultancy and software company, CEO of Jiway Broker Services, the innovative integrated cash equities Stock Exchange and central counterparty. Ian formerly held positions Morgan Stanley, Barclays Capital and Clearstream.
Prior to entering the financial services industry Ian developed advanced software and algorithmic solutions for the Insurance, Petro-Chemical, Aviation and Defence industries across Europe.
Alan Ewins Special Counsel Asia Allen & Overy
Alan Ewins is Head of Allen & Overy's APAC Regulatory Group and Special Counsel Asia, 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 ongoing banking compliance, 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 ISDA regional conferences.
Alan 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.
Alan Ewins is well respected by senior figures in a number of major financial institutions. He is ranked in Band 1 individually by Chambers and as a “leading individual” by Legal 500 Asia Pacific.
William Fitzgerald Policy Manager, Public Policy and Government Affairs, Asia Pacific, Middle East, Africa & Russia Google
William Fitzgerald is a Policy Manager on Google’s Public Policy and Government Affairs team for Asia Pacific, Middle East, Africa and Russia. He previously served as a Director for the Asia Internet Coalition, an industry trade association set up to promote the understanding of Internet policy issues in the Asia-Pacific Region.
Before joining Google, William worked in India for the Irish Non-Government Organization, Suas, with their partner organization, Sabuj Sangha. William received a first-class honors Bachelors degree in Business and Political Science from studies completed in Trinity College Dublin and Uppsala University, Sweden. He completed a Masters in International Relations from Dublin City University and a Master of Laws in Human Rights Law from the University of Hong Kong.
Alan Harden Chief Executive Officer, Asia Pacific BNY Mellon Investment Management
Alan Harden is Chief Executive Officer of Asia Pacific for BNY Mellon Investment Management. Based in Hong Kong, he is responsible for all aspects of BNY Mellon Investment Management’s development in Asia Pacific including asset management, managed investments and wealth management.
Alan joined BNY Mellon Investment Management in June 2011 and reports to Curtis Arledge, Vice Chairman of BNY Mellon and Chief Executive Officer of BNY Mellon Investment Management division. Alan is a member of BNY Mellon’s Group Operating Committee, and Global Investment Management Executive Committees.
Prior to joining BNY Mellon, Alan was Chief Executive Officer of Asia Pacific for ING Investment Management. His previous experiences also include Chief Executive Officer of Alliance Trust PLC (a FTSE 100 company) and Asia Pacific Head of Citigroup Asset Management, based in Japan. Alan has been a non-executive board member of the Court of St. Andrews University, a trustee of the Al Maktoum Institute of Aberdeen University (where he remains an honorary fellow), and a non-executive trustee of the Scottish Community Charity Foundation. He was also an Honorary Professor of the
School of Finance and Accounting at Dundee University.
Jane Jiang Partner Allen & Overy
Jane Jiang is a partner and the head of the PRC regulatory group in Allen & Overy LLP, Beijing office. She is qualified in the UK and has worked in London, Hong Kong, Shanghai and Beijing on financial transactions and regulatory matters. Jane regularly advises many first-tier international financial institutions on a wide range of China-related legal and regulatory issues cutting across banking, asset management, insurance sectors. She is also a trusted advisor for many first-tier domestic financial institutions for their international operations. Jane maintains a strong relationship with the local financial regulators (including advising the central bank in China on certain aspects of the PRC insolvency law and Renminbi internationalisation) and has particular insight into the financial regulatory regime in China. Her advice in relation to Shanghai Free Trade Zone has also been frequently sought after. She was voted as the Top 20 Client Choice lawyer in China by ALB in 2013.
Tara Joseph Editor-in-charge, Digital Video, Asia Thomson Reuters
A Reuters journalist with more than 20 years financial reporting experience, Tara Joseph leads the Reuters digital video reporting unit in Asia.
Tara has 10 years experience reporting and presenting for TV in Asia, including daily shows for BBC World and China’s CCTV. She has moderated numerous webcasts and panel events including shows hosted at the World Economic Forum in Davos.
Tara is a graduate of the Columbia University School of Journalism, and Smith College in the United States.
Duncan Jepson Director/Founder of Liberty Asia Project SHARE
Duncan Jepson is an award-wining filmmaker who has written, directed and produced two documentary features. Previously he produced three narrative fiction feature films, the last for Jackie Chan’s production company, JCE Movies. He has also produced documentary programmes for Discovery Channel and National Geographic Channel, including, Hanging Coffins, which won Discovery Channel Asia’s Best Documentary award in 2005.
Jepson was founder and Managing Editor of the Asia Literary Review and was previously editor of the award-winning fashion magazine WestEast. He has written for a number of regional and international publications, including the New York Times, and his first novel, All the Flowers in Shanghai, was recently published by HaperCollins US. His second novel Emperors Once More was published by Quercus in March 2014. He co-storied the graphic novel Darkness Outside the Night with illustrator Xie Peng in 2012.
A dedicated humanitarian, Jepson established a charity to support a girls’ school in Afghanistan in 2004 and from 2009-2011 was a director on the board of the Child Welfare Scheme in Hong Kong which runs schools and health clinics in Nepal. He founded Project SHARE, a charity that focuses on building social mobility in disadvantaged youth in Hong Kong, and Liberty Asia, which he founded to fight human trafficking in Asia. A lawyer by profession, he lives in Hong Kong.
Jean-Luc Karlin Chief Operating Officer Amundi Hong Kong Limited
Jean-Luc Karlin is Chief Operating Officer of Amundi Hong Kong since 2008. He is responsible for the operational support to Amundi Group’s business development in North Asia (mainly Mainland China, Hong Kong, Taiwan and South Korea) and to Amundi’s Asian ex Japan Equity investment team in Hong Kong.
Prior to joining Amundi, Mr. Karlin worked at the investment banking arm of Crédit Agricole Group from 1997, in Hong Kong and in Paris. Mr. Karlin has a Master of Engineering degree from Telecom ParisTech.
Marie-Anne Kong Partner and Asset Management Industry Leader PricewaterhouseCoopers Hong Kong
Marie-Anne Kong is a partner in PwC Hong Kong’s Financial Services Division and leads the firm’s Asset Management Industry practice in Hong Kong. She has over 20 years of experience working in Hong Kong and the UK.
In addition to providing audit services to the Asset Management Industry, Marie-Anne has extensive experience in advising asset management firms on operational effectiveness, best practices in areas of corporate governance and internal controls, funds start-ups, regulatory and compliance work in this industry. She services clients across the various sub-sectors of the Asset Management industry including hedge funds, private equity, real estate and traditional asset managers. She interacts frequently with relevant industry associations and policy makers and is an active contributor to market developments for the asset management industry.
Angelina Kwan Head of Equities Compliance CLSA
Ms. Angelina Kwan is currently the Head of Equities Compliance for CLSA, a global investment bank. Ms. Kwan has over 27 years of experience in Asia and the United States, in business development, restructuring, regulatory/compliance, as well as investor and stakeholder relations. Most recently, she founded and was the Chief Executive Officer of Stratford Finance Limited, a Compliance and Corporate Governance Consulting Firm advising financial services companies. 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, Cantor Fitzgerald/BGC Partners, Kleinwort Benson, HG Asia Limited, Sony Pictures and the REORIENT Group (SEHK376).
Ms. Kwan is currently an Independent Non-executive Director and Chairman of the Audit Committee of Aviva Life Insurance Hong Kong, a Hong Kong Government appointed member of the Women’s Commission and the Financial Reporting Council Process Review Panel, 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, 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 organisations 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.
Peter Thal Larsen Asia Editor, Reuters Breakingviews Thomson Reuters
Peter Thal Larsen is Asia Editor of Reuters Breakingviews, the award-winning provider of financial insight. Based in Hong Kong, he leads a team covering of finance, economics, and corporate activity across the region. Prior to moving to Hong Kong, he oversaw coverage of banking and financial regulation from London.
Peter joined Reuters in June 2009 from the Financial Times, where he worked for 10 years. Most recently, he was the FT’s banking editor, leading the paper’s award-winning coverage of global banking during the credit crunch.
Between 2000 and 2004 Peter was based in New York, where he covered Wall Street and the media business, and played a leading role in the FT’s coverage of the 9/11 attacks and their aftermath.
Peter was the winner of the “Best in Business” award for international commentary for 2013, awarded by the Society of American Business Writers and Editors.
A Dutch national, Peter has degrees from Bristol University and the London School of Economics.
John Laws Head of Regulatory & Government Relations, Asia Pacific Barclays
John Laws has over 20 years senior leadership experience in financial services in Australia, Asia and the US. He has been with Barclays since 2009 and his current role acts as a primary point of contact and escalation with regional regulatory bodies on a wide range of matters. He is also focused on engagement and partnering with Barclays businesses and infrastructure to ensure a timely, coordinated response regionally to key developments around global and local regulations. Working with critical regulatory and legislative developments in the region, he liaises with stakeholders to establish implementation and market issues to bring to the attention of regulators and industry associations.
Marion Leslie Managing Director, Pricing and Reference Services Thomson Reuters
Marion Leslie is the Managing Director of Thomson Reuters Pricing and Reference Services business, delivering award-winning pricing and cross-asset reference data services to financial services subscribers globally, including intraday and end of day pricing and valuations.
In prior roles Marion has run global technology and content teams. Most recently, Marion was the Global Head of Instrument and Pricing Content, creating highly valued content for the equity, fixed income, commodities & energy, foreign exchange and money markets, supported by a team of 1500 experts in 26 countries worldwide.
Marion spent nearly four years in India, creating a start up in Bangalore, building the Thomson Reuters office from scratch to 2000 employees across multiple functions, and was an executive board member of Reuters India Private Ltd.
Marion was the Winner of the Award for Achievement at the 2014 Women in Banking and Finance Awards. She is a champion of talent and diversity and has pioneered analysis and approaches to developing global talent into senior roles.
Member of the ESMA Consultative Working Group for the Market Data Reporting Working Group.
Board member of the London Women’s Forum, a selective organisation for senior women working within the financial services industry in London.
Supporting the board of the UK Hydrographic Office (a Government Trading Fund) since 2012.
Sean T. McHugh Managing Director, Head of Global Compliance Asia Pacific Goldman Sachs
Sean is the head of Compliance for Asia Pacific and is based in Hong Kong.
He serves on numerous committees in the region, including the GSJCL Executive Committee, the Asia Pacific Suitability Committee and the Asia Pacific Client and Business Standards Committee. Sean is also compliance advisor to the Firmwide New Activity Committee and an observer on the Asia Pacific Management Committee.
Sean joined Goldman Sachs in 2000 as a vice president. He served as co-head of Equities Compliance in the Americas as well as the global head of Global Securities Services (GSS) Compliance before relocating to Asia. Prior to assuming his current role, Sean was the Asia head of Securities Division Compliance and the co-head of Compliance for the Tokyo office. He was named managing director in 2005.
Prior to joining the firm, Sean was a director and first vice president at Salomon Smith Barney, a senior consultant in the Compliance Department of Fidelity Investments in Boston and a regulator at FINRA in New York.
Sean is actively involved in his alma mater, the College of the Holy Cross in Worcester, Massachusetts, serving as co-chair of his alumni class. He earned a BA in Economics from Holy Cross in 1989 and an MBA in Finance from Rutgers University in 1993.
Richard Moore MD & Group Head of Financial Crime & Security Services DBS Bank
Richard joined DBS Bank in June 2012 as the Group Head of Financial Crime & Security Services. With his team, he is accountable for ensuring DBS has systems and processes in place to identify and prevent anti money laundering, sanctions, fraud and security risk.
Before joining DBS, Richard performed a similar role with the Commonwealth Bank of Australia across 12 years. Richard was also a Detective in Australia’s New South Wales Police Service.
Richard hold a Bachelor of Policing (Investigations) and a Graduate Diploma in Risk Management.
He is a member of MasterCard’s Global and Regional Fraud Advisory Councils, bodies which provide guidance to MasterCard on fraud trends and prevention initiatives. Richard is also a Board Member of ACAMS Singapore.
Venkatesh Narasiah Chief Operating Officer, Asia Pacific Deutsche Asset & Wealth Management
Venkatesh (Venky) Narasiah is the Chief Operating Officer for Deutsche Asset & Wealth Management (DeAWM) Asia Pacific and a member of the DeAWM APAC Executive Committee.
Venky was appointed to this role in March 2013. Prior to this, he was the Head of Onshore business for Wealth Management – Japan, Australia and India.
Venky joined Deutsche Bank in 2007 as Chief Operating Officer for Asia Pacific for the Wealth Management business. He was then appointed to the role of Head of the Onshore business covering seven countries (Australia, China, India, Indonesia, Japan, Taiwan and Thailand) and Head of Money Markets. After a successful tenure, Venky returned to his prior role of Chief Operating Officer and Head of Strategy for Asia Pacific in October 2010.
Venky started his career with Citibank where he spent over 15 years in a variety of roles in global markets and investment banking, followed by three years with the Citi Private Bank. As a Managing Director in Citi Private Bank, he managed various departments including Money Markets, Banking, Securities and Investment banking initiative.
Academic: MBA from IIM-Ahmedabad.
Professional Qualifications: CPA qualification in USA FCPA in Australia CFA charter holder Member of the Corporate-SME Committee for CPA Australia’s Singapore division.
Andrew Neblett SVP and Managing Director Enterprise Risk Management Thomson Reuters
Andrew Neblett has more than 20 years experience in the governance and compliance market. As SVP and Managing Director Enterprise Risk Management Andrew leads the global Enterprise Risk Management (ERM) business of Thomson Reuters. ERM is part of the Risk segment (one of the fastest growing businesses in Thomson Reuters). Thomson Reuters Accelus solutions are a combination of proven, best-of-class information, applications and services with a range of deployment options built with the common goal of managing business risk and addressing the GRC challenges of legal, compliance, audit and risk management professionals.
Andrew joined Thomson Reuters in 2008 with the acquisition of his business, where he served as Chief Executive Officer. Since joining Thomson Reuters, Andrew has developed and grown the ERM business, while acquiring and integrating additional businesses. Prior to his current role Andrew served as Vice President, GRC Strategy at Thomson Reuters Global Resources in Baar, Switzerland, where he managed the assets of Thomson Reuters Governance, Risk and Compliance (GRC) business to ensure their value was maximized and were leveraged with other assets across the corporation.
Andrew received his BA in Finance from the University of Texas at Austin and law degree from the Catholic University of America in Washington, DC. He lives in London with his wife and four children.
Keith Noyes Regional Director, Asia Pacific International Swaps and Derivatives Association (ISDA)
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 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.
Michelle Price Asia Regulation Correspondent Reuters News
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.
Maura Rezendes Senior Counsel, Washington D.C. Allen & Overy
Maura’s experience advising clients on matters implicating economic sanctions administered by the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC), export controls, anti-corruption, anti-bribery and money laundering is multidisciplinary and includes regulatory compliance counseling, transactional support, and investigations and enforcement. Maura has experience advising clients on regulatory compliance in the transactional, trade, and financing contexts, including evaluation and development of compliance policies and programs, as well as training. Additionally, Maura has broad experience in conducting and defending investigations and enforcement actions related to OFAC-administered economic sanctions, and other U.S. Government-administered regulatory schemes related to anti-corruption and anti-bribery.
Prior to joining Allen & Overy, Maura was a Chief in OFAC’s Office of Enforcement where she led investigations of potential violations of OFAC-administered economic sanctions and pursued administrative enforcement actions in cases related to international finance and trade. Maura also spent many years in private practice handling a wide array of regulatory matters related to economic sanctions and export controls, as well as white-collar and other defense matters.
Mark Rodrigues Managing Director, Strategic Customers & Solutions Thomson Reuters
Mark is a member of the Executive Leadership Team for Finance and Risk. He is the Head of Global Accounts and Partnerships. Other responsibilities include head of Industry Solutions and head of F&R’s Partners and 3rd party alliances. He sits on a number of Product Strategy and Development groups in FX, Messaging, Global Supply Chain and KYC Managed Services, and is executive sponsor for a cross Thomson Reuters initiative on customer service and coverage.
He has over 29 years in financial services as a technologist, a consultant and an investor. Mark joined Thomson Reuters in 2012 from Aquiline Capital Partners.
He has an MBA from Harvard and a BA from Yale.
Dan Ryan Financial Services Advisory Practice Leader PricewaterhouseCoopers
Dan Ryan leads PwC's Financial Services Advisory Practice.
Dan advises the firm’s largest global financial services clients on matters ranging from business strategy to governance, risk and regulatory issues. He has led large global projects for major clients across the financial services industry including insurers, banks and asset managers. Dan is often called upon by the boards of directors and management of major financial institutions to consult on critical issues; during the financial crisis, he served as an advisor to the boards of many of the firms most impacted by the crisis.
Dan has recently focused on assisting PwC's largest global clients assessing the impact and managing the business and operational changes necessary to meet the new expectations that stem from their designation as “systemically important” financial institutions (G-SIFIs).
Adam Salzer Managing Director – Consulting Practice, Hong Kong/China PricewaterhouseCoopers
Adam Salzer is a Managing Director of the Consulting Practice of PwC Hong Kong/China. He is an economist by education and practice with over twenty years’ experience in high level strategic Human Resources Consultancy throughout the Asia Pacific Region. He specialises in driving change management processes for multinationals throughout Asia for which he has received multiple awards.
Acknowledged as a global expert in being the Architect for complex culture change programs, Adam leads the PwC Hong Kong-based Risk Culture and Conduct measurement and remediation initiative.
Named as one of the Top Twenty most influential Australians in Asia by Business Review Weekly, Adam is much in demand on the international conference circuit, delivering talks and papers on people-related issues on subjects ranging across change management, succession planning, culture change, strategic workforce planning and removing corruption.
Yvonne Siew Partner Allen & Overy
Yvonne Siew is a Regulatory and Capital Markets partner, based in Hong Kong. She is qualified in Hong Kong and England and Wales.
Yvonne has a broad capital markets practice, with a focus on structured finance and derivatives transactions. She has been involved in a wide range of structured finance transactions with extensive experience of repackagings, total return swap structures, structured equity derivatives trades, collateralised debt obligations and other structured securities for leading investment houses. She has advised on a wide range of OTC derivatives matters relating to ISDA and GMRA documentation (including close-out procedures and collateral structured arrangements).
On the regulatory front, she has advised on OTC derivatives regulatory reform including clearing and reporting obligations in Hong Kong and under the European Market Infrastructure Regulation (EMIR). She has also advised various banks and financial institutions on regulatory issues including disclosure of interest, insider dealing and regulatory aspects of structured products in Hong Kong.
In addition, Yvonne has experience in advising in relation to complaints of mis-selling regarding derivatives and structured finance products and other derivatives disputes and arbitration proceedings.
She regularly presents at industry conferences and other events, including ISDA regional conferences.
Catherine Simmons Managing Director & Head, Asia Pacific Government Affairs Citi
Catherine joined Citi in September 2013 as the regional 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 Government Affairs representatives in the region.
Prior to joining Citi, Catherine worked at State Street Bank and Trust as Head of Regulatory, Industry and Government Affairs, Asia Pacific for over 6 years. 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 on political, strategic, economic and aid issues in the Australian Departments of Prime Minister and Cabinet and Foreign Affairs and Trade.
Catherine has played an active role in various industry associations, including the APEC Business Advisory Council (Board Member), US-ASEAN Business Council (Financial Services Committee Member), Asian Securities Industry and Financial Markets Association (Alternate Board Member) and the American Chamber of Commerce in Hong Kong (Board member).
Dr. Tony TAN, CFA Head, Standards and Financial Market Integrity Division CFA Institute
Tony TAN is head of the Standards and Financial Market Integrity division for CFA
Institute for the Asia Pacific region. He is responsible for leading CFA Institute efforts
in advocacy, policy development, and regulatory outreach in APAC.
Dr. Tan 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, Dr. Tan 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.
Dr. Tan 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.
Kristen Tiner Head of Risk Segment, Asia Pacific, Financial & Risk Thomson Reuters
Kristen is the Head of Risk Segment, Asia Pacific for Thomson Reuters Financial & Risk Business. Her remit is to represent the three sectors of products in the Risk Business in APAC – Enterprise Risk Management, Financial Crime & Reputational Risk and Pricing & Reference Services.
Previously Kristen served as a Strategic Sales Director within the Risk Business. Her remit was across industries in North Asia with a special focus on the global financial services community and its regulatory compliance, risk, audit & controls functions. She moved to Hong Kong in 2012 from New York where she was a Major Account Director for Banking & Securities at Thomson Reuters Governance, Risk & Compliance Group. Kristen came to Thomson Reuters through the Complinet acquisition as one of the original Governance, Risk & Compliance employees.
Prior to beginning her work in compliance & risk she worked for Gartner, Inc in New York on large technology infrastructure projects for media companies and professional sports leagues. Kristen is a member of the Women in Finance Steering Committee and volunteer-coaches hockey at the Hong Kong Football Club. She is a graduate of the Stephen M. Ross School of Business at the University of Michigan, holding a BBA with distinction in Business Administration and a BA in English. She is an avid snow skier, hockey player and traveler.
Zach Tuckwell Managing Director and Head of Electronic Trading (MSET) Asia Morgan Stanley
Zach Tuckwell is a Managing Director and Head of Morgan Stanley's Electronic Trading (MSET) Asia based in Hong Kong. He joined the firm in 2010 and previously held a similar role at Deutsche Bank. He has had over 20 years in the business working in London, Tokyo, Sydney and Hong Kong.
Zach graduated from the University of Queensland, Australia with a Bachelor of Commerce degree.
William White Partner Allen & Overy
Bill is experienced in representing financial services firms, public companies, and their officers, directors, and employees in U.S. Securities and Exchange Commission (SEC) enforcement investigations, FINRA investigations, as well as, related criminal investigations, internal investigations, and securities litigation. Over the years, Bill has led dozens of high profile securities matters including those involving insider trading, broker-dealer and investment adviser rules and regulations, accounting issues, public company disclosure requirements, and municipal securities regulation.
Bill served for eight years on the staff of the Enforcement Division of the SEC serving as a staff attorney, branch chief and senior trial counsel. While at the SEC, Bill led investigations and litigation involving accounting and financial fraud, insider trading, municipal securities, broker-dealer and investment adviser violations and market manipulation.
Kenneth Wong Partner, Risk Assurance and Cyber Security Lead - China and Hong Kong PricewaterhouseCoopers
Kenneth is a Partner in PwC’s Risk Assurance practice and the Cyber Security Lead for China and Hong Kong. Kenneth has over 18 years of experience working in Australia, Hong Kong and mainland China in providing a wide range of assurance and advisory services ranging from cyber security, IT strategy and governance, IT and operational audit and risk management, Sarbanes Oxley s.404 advisory, internal controls, corporate governance through to IT regulatory advisory/assurance services to multinational and local financial services organisations and regulators.
Kenneth is currently Secretary of the Information Systems Audit & Control Association (China Hong Kong Chapter), a member of the IT Interest Group of the Hong Kong Institute of Certified Public Accountants, an executive committee member of HKPKI Forum and an executive committee member of the Hong Kong Cloud Standards Alliance.
Kenneth has designations in Certified Public Accountants (CPA), Certified Information Systems Auditor (CISA), Certified Internal Auditor (CIA) and Certified Information Systems Security Professional (CISSP).
Felicity Youl Regional Head Compliance & Control Asia Pacific, Regional CSR Coordinator Asia Pacific BNP Paribas
Felicity assumed her current Compliance role with BNP Paribas in October 2008, supporting all business lines in Asia Pacific. Her role also covers the supervision of the Operational Risk and Anti-Fraud framework for the Corporate and Investment Bank in Asia Pacific. In early 2013 Felicity also assumed the additional role of Regional CSR Co-ordinator for Asia Pacific, supporting all business lines. Prior to her current roles, Felicity was Citi’s Chief Compliance Officer for all its businesses in Asia Pacific. During her career with Citi, Felicity was also their Regional Loan Product Counsel, supporting corporate finance and fixed income teams across Asia Pacific.
Felicity started her career as a Judge’s Associate, Federal Court of Australia. After this appointment she worked for law firms Clayton Utz and Lovells (now known as Hogan Lovells), based in Sydney, London and Hong Kong. She left Lovells as a Senior Associate to join Citi in May 1997.
Felicity holds Economics and Law degrees from Sydney University, and is qualified as a Solicitor in Australia (NSW), England & Wales and Hong Kong. Felicity was born in Singapore, is married with three sons and has been living in Hong Kong for over 19 years.
5th Pan Asian Regulatory Summit October 29th & 30th, 2014 The JW Marriott Hotel, Pacific Place, Hong Kong
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