FINANCIAL MARKETS COMMITTEE

Chair Richard Winter Quam

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Richard Winter, Deputy Chairman of Quam Limited, a Main Board listed financial services group, and Chief Executive Officer of Quam Capital, the corporate finance business of the group. He has over 25 years of extensive experience in the industry and is a member of the Securities and Futures Commission Advisory Committee, Takeovers and Mergers Panel and Takeovers Appeal Committee and was member of the Stock Exchange Listing Committee member from 2007 to 2013. Richard is Chairman of M&A International Inc., the world's leading alliance of independently owned merger and acquisition specialists and investment banking firms. [He is Chairman of the British Chamber of Commerce Financial Markets Committee.

Vice-Chair Jill Wong Howse Williams Bowers

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Jill specialises in financial services and corporate regulatory and compliance issues. She was previously Deputy General Counsel at the Hong Kong Monetary Authority, in-house counsel at Credit Suisse and consultant at leading international law firms. Her unique experience allows her to advise on both on contentious and non-contentious issues. Jill's experience compasses all aspects of banking and securities laws and rules affecting listed companies. She regularly represents clients in regulatory (for example, SFC, HKMA, HKEx and ICAC) investigations. She is active in new areas of regulatory scrutiny such as money-laundering, sponsor liability, corporate governance, privacy, retail payment systems and competition. She is identified as a leading lawyer in legal directories and named as an External Counsel of the Year in Asian-Mena's 2013 survey of in-house counsel.

BritCham Representative Hugo Deacon The British Chamber of Commerce in Hong Kong

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Hugo's role is to facilitate, monitor and coordinate the development of the Chamber’s business policy activities, and promote the best interests of the Chamber. Hugo is the point of contact between overseas British Chambers of Commerce, as well as British business organisations. He also looks after the Financial Markets Committee, China Committee, Environment & Energy Committee, Infrastructure Forum, Smart Cities Forum, and Business Policy Unit.

 
Member Alastair Campbell Bridger Intelligence Limited

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Member Alex Trott Accenture

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Member Andrew Weir KPMG

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Member Bob Charles CXA Group

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Member Bosco Cheung Prudential

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Member Chris Harvey Accenture

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Member Chris Read AXA

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Member David Bruce Sertus Incorporations Limited

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David Bruce, a founding partner of Sertus Incorporations Limited, is a Scottish Chartered Accountant with over 20 years’ experience starting and growing businesses. He oversees all firm activities with particular responsibility for strategic planning and execution. He coordinates overseas government registry offerings with in-house service delivery and represents the firm at domestic and overseas events. He completed his MBA at Cranfield School of Management in 1987, became a CFA Charterholder in 2000 and completed his PhD with the University of South Australia in 2008. He is also a full member of STEP.

Member Fanny Lui CITIC Ka Wah Bank Limited

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Fanny Lui. Executive General Manager, Multinational and Cross-border Banking, Wholesale and Cross-border Banking Group for China CITIC Bank International Limited, is responsible for overseeing the Bank’s corporate and commercial banking business in Hong Kong and Macau, as well as its commercial real estate financing business, managing a clientele comprising sizeable Hong Kong corporations, multinationals and middle-market local corporations spanning a broad spectrum of industries and businesses including real estate. Fanny gained solid experience in corporate and commercial banking from international and mainland Chinese banks. She is also versed in marketing and business development particularly for the manufacturing industry. Prior to joining the Bank, she had led and directed marketing and sales activities for different subsidiaries of a listed company.

Member Iain Reed EFA

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Originally from the UK, Iain has lived in in several regions of the Asia Pacific since 1989 including Thailand, Indonesia, India, Singapore and now Hong Kong. After graduating from Cambridge University he immediately set up his first Company, trading consumer goods between Indonesia and the UK. He then spent 10 years as an investment analyst for Barclays De Zoete & Wedd, Société Générale, and CLSA before leaving to found EFA in 2003, of which he is now Chairman. Iain’s role as Chairman includes acting as a brand ambassador, overseeing the financial and legal functions as well as the Consulting Services division, and business development for the group. He is currently working to diversify the group’s product range, focusing on EFAdrin. He is a member of the British Chamber of Commerce in Hong Kong, sitting on the Financial Markets, IT and SME committees and the Vice Chairman of the Angel Committee, a programme which connects entrepreneurs with angel investors in Hong Kong. He is also the founding President of TiE Hong Kong, the local chapter of TiE, which is a global non-profit organization dedicated to fostering entrepreneurship through mentoring, education and networking. Iain is an active member of the entrepreneurial ecosystem in Hong Kong and the Asian region and is an angel investor.

Member Ian Burns St James's Place

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Ian has worked for St. James’s Place in Business Development for almost 15 years. In 2015 he was asked to use his industry experience and knowledge to assist with the company’s expansion plans into the Asian market through managing the transition of the business, focusing on managing the advisers and a team of staff. Ian has a proven track record of recruiting, motivating and developing businesses within the wealth management, financial planning and insurance arenas. Ian is married with two children.

Member James Mirfin Thomson Reuters

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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 technology and financial information 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.

 
Member Janice Ng Department for International Trade

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Janice joined DIT in June 2015 as the new head of Financial and Professional services. Her main responsibilities include facilitating trade between UK and Hong Kong companies, and promoting inward investments into UK, focussing on local financial institutions, insurance companies, asset managers as well as the major law firms and accounting firms. Janice comes with 9 years of experience from the finance industry. Her 6 years’ at CLSA included heading Client Relationship Management Department in Americas, where she helped institutional clients strategise and understand new trading capabilities and business opportunities in the equities markets. Prior to CLSA, she held various sales and trading positions in the Capital Markets of Macquarie Bank and Deutsche Bank. While in finance, Janice became a passionate advocate and volunteer for orphanages in Mongolia and China. Challenging herself to do more, Janice left the industry to work full-time for a charity called Asian Charity Services. For three years at ACS, she provided pro bono business consulting to help 300+ charities become more strategic and effective in their social work. Janice holds bachelor degrees in Psychology, Economics and Law from Cornell University and a master's degree in Finance from SOAS, University of London.

 
Member Josephine Orgill Barclays

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Member Karen H.Y. Man Baker & McKenzie

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Karen Man is a partner in Baker & McKenzie’s Corporate Practice Group. She focuses her practice on financial services regulations, mergers and acquisitions, and general corporate matters. Ms. Man is admitted to practice in Hong Kong, as well as in the United Kingdom and Australia. Ms. Man regularly advises domestic , North America, European, and other Asian financial institutions on the establishment, structuring and operation of various financial services businesses (including brokerage, fund management, foreign exchange, wealth management and private banking), ongoing licensing and other compliance matters and various other securities regulatory matters.

Member Lapman Lee Duff & Phelps

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Lapman is a Managing Director at Duff & Phelps where he leads the Financial Crime and Regulatory Compliance Consulting practice in Hong Kong. He is part of a global team of former financial services regulators, chiefs of major economic crimes bureaus, and industry heads and works closely with the HKMA, SFC, OCI and the MPFA. He has eighteen years of experience in the financial services industry both as a banker specialized in structured finance and a consultant specialized in compliance, regulatory and risk advisory for investment banking and private banking clients, and insurance/ pensions clients. Lapman focuses on AML/Financial Crime, BCBS Prudential Regulation including Margin Rules for non-centrally cleared ITC derivatives, Conduct Risk, Cybersecurity, Markets regulation, and Global Structural Reform. With respect to Financial Crime, He advised and was seconded to manage the flagship Financial Crime Compliance program for a leading international bank under a Deferred Prosecution Agreement. In his role as APAC lead, Lapman was overseeing the data readiness activities across the investment bank, private bank, retail bank, and commercial bank in 23 countries in APAC to arrive at a financial crime risk rating for the Asian customer of the bank’s 50 million customers. In addition, he worked with international banks to conduct Bank Secrecy Act/ AML reviews, develop line of business specific AML, Anti-Bribery & Corruption, and Sanctions policies and procedures, and design and execute training for Customer Due Diligence and Financial Crime Compliance. In Hong Kong, he is a frequent speaker on FinTech and adviser to financial services regulators on FinTech in his role as Financial Markets Committee (FMC) member at the British Chamber of Commerce and Financial Services Business Council member (FSBC) at the European Chamber of Commerce. Prior to his transfer to Hong Kong in 2007, Lapman was the head of Basel, credit risk, and debt advisory for a Big 4 firm in the Netherlands.

Member Lodewijk Meens Standard Chartered Bank

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Lodewijk (Ludo) Meens, a Managing Director at Standard Chartered Bank in Hong Kong, is responsible for managing relationships with Global Corporates across industries and banking products. Prior to his current position, Lodewijk was reponsible for Standard Chartered Bank’s M&A origination and execution team in Northeast Asia. He has gained broad experience in both corporate and investment banking in various geographies, having joined Merrill Lynch’s Hong Kong-based Asian M&A team in 2005 after five years at Lazard, both in London and New York. Lodewijk holds both Law and Economics degrees from the University of Utrecht, The Netherlands.

Member Martin Graham BlackRock Hong Kong

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Martin Graham is a Director in BlackRock Hong Kong, in charge of overseeing the risk management and quantitative analytics for Beta & Multi-Asset portfolios across the APac region totalling over US$100bn in AUM for institutional and retail clients. He relocated to Hong Kong from the UK in 2010 as a Senior Manager in HSBC’s Risk Strategy department charged with developing the bank’s credit risk analytics and stress testing. Prior to this he was a Structurer in Nationwide Building Society, focusing on Covered Bonds, RMBS and other asset-backed securities. Martin is a CFA Charterholder and holds the Certificate in Quantitative Finance as well as the Certificate of Investment Management from CISI.

 
Member Nick Pirie

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Member Patrick Wu American Appraisal China Limited

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Patrick is the Managing Director & Region Leader, responsible for the management and strategic development of the firm’s Greater China operation which has offices in Hong Kong, Beijing, Shanghai, Guangzhou, Shenzhen and Taipei. Duff & Phelps / American Appraisal is a leading global valuation and related advisory firm with 119 years of history that provides expertise in the independent valuation of businesses, business interests and all classifications of tangible and intangible assets. It operates from over 50 offices in 24 countries throughout Asia-Pacific, Europe, North and South Americas. Prior to joining the firm, Patrick was a Partner in an international law firm and a Director-Manager in the manufacturing sector. He was educated in Hong Kong and England and studied both accounting and law, holding a BSc degree from the University of London and a MSc from CASS Business School, London, before qualifying as a solicitor. Patrick has been appointed by the Hong Kong Government as a Member of the Board of Review (Inland Revenue Ordinance) since 1 July 2009; and serves in the following organizations as: Council Member of the Hong Kong Management Association; Finance Management Committee Member of the Hong Kong Management Association; Fellow, Hong Kong Management Association; Executive Committee Member of Group 18 [Non-Manufacturing I (Supporting Services)], Federation of Hong Kong Industries; Member of the Shandong Overseas Friendship Association; Chairman of the Financial Services Committee, American Chamber of Commerce in Hong Kong (2011-13); Committee Member of the Financial Markets Committee, The British Chamber of Commerce in Hong Kong; Fellow, Hong Kong Institute of Directors; Member, Hong Kong Securities and Investment Institute; Associate Member, The Hong Kong Society of Financial Analysts. Patrick is also an Independent Non-Executive Director of i-Cable Communications Limited.

Member Paul Chau BOCI Asia Limited

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Paul Chau, Managing Director at Global Coverage division of BOCI Asia Limited, has 18 years of experience in investment banking and financial advisory services. Paul has advised a broad range of clients in TMT, consumer, healthcare, industrial, environmental, real estate, hotel, and logistic businesses in completing corporate finance deals including equity and bond fundraising. Paul is actively contributing to Hong Kong capital market development through his daily work, his roles as Financial Market Committee at the Chamber, and Corporate Finance Committee at the Hong Kong Institute of Certified Public Accountants.

Member Paul McSheaffrey KPMG

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Paul McSheaffrey, Head of Banking for KPMG Hong Kong, has worked for 10 years in Hong Kong and has 18 years professional experience with KPMG. Paul works with a range of global financial institutions providing audit and advisory services, particularly on regulatory and financial reporting matters. Paul contributes regularly to KPMG thought leadership on the Banking sector in Hong Kong and edits KPMG’s annual Hong Kong banking survey. Paul is also a member of Banking Regulatory Liaison Committee of the Hong Kong Institute of Certified Public Accountants.

Member Paul Moyes Tricor Services Limited

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Paul is an Executive Director of Tricor Services and is responsible for its practice development. Paul also consults for a number of multinational and locally-based companies. He is a Certified Public Accountant, Chartered Secretary and graduate of King’s College London. A seasoned professional in the financial services industry, Paul is a contributor to a number of publications and a regular speaker on topics ranging from licensing under the Securities and Futures Ordinance to corporate governance and anti-money laundering. Paul is a council member of the Institute of Chartered Secretaries and is currently the Chairman of its Audit Committee and Professional Services Panel. He also served on a working group for the Companies Ordinance Rewrite and on the Board of Review (Inland Revenue Ordinance).

Member Philip Rodd Ernst & Young

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Phil Rodd Partner EY Greater China, has over 24 years of experience in risk management and audit. Phil provides advisory services to financial institutions across the risk agenda, including anti-money laundering, regulatory compliance, operational risk, internal audit and internal control. Phil is a regular speaker at industry events and seminars.

 
Member Rupert Seebohm British Consulate

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Member Stephen Clark HSBC

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Stephen Clark is a Managing Director, Transaction Management, Capital Financing, Global Banking and Markets for The Hong Kong and Shanghai Banking Corporation Limited where he advises on equity capital markets transactions and mergers and acquisitions. Prior to his joining HSBC in 1996 he worked for seven years in the London and Hong Kong offices of an international law firm. He is a member of the Hong Kong Securities Institute and a member of the Listing Committee of The Stock Exchange of Hong Kong Limited. Stephen is qualified as a solicitor in the Hong Kong SAR and is a non-practicing solicitor in England & Wales.

Member Stephen Kitts Eversheds

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Stephen initially worked in Eversheds in UK, then latterly as Asia Managing partner of Eversheds with a leadership and strategic role across Hong Kong, Beijing, Shanghai and Singapore. He has over 25 years of corporate finance expertise in advising a diverse group of clients from entrepreneurs to financial institutions to international corporates. He specialises in M&A, disposals and private equity. Stephen has been resident in HK since 2012.