Experience

Value Partners Group

• Hong Kong
• Investment Management
• 1 - 100 Employee

• • Jan 2014 - Present

  • deputy to the General CounselFund set up and maintenance• key contact with SFC• working closely with Product Development department on new funds initiatives and maintenanceProduct range: 15+ SFC-authorised funds (including 2 ETFs, 2 MRF funds), 10+ Irish ICAV sub-funds (including 1 ESG fund), private funds and discretionary managed accounts• advising on new product structure feasibility and considering legal and regulatory implications• handling new funds set up, authorisation/registration in HK/Ireland/Macau/Singapore/Taiwan• handling ongoing product maintenance• reviewing and drafting fund documentsRegulatory and general advice• advising on regulatory and ongoing compliance issues in relation to new business initiatives • working closely with various departments on resolving regulatory breaches and investor complaints to formulate remedial actionsReviewing and drafting agreements• reviewing and drafting investment management agreements and investment advisory agreements for discretionary managed accounts and investment advisory services• reviewing and drafting master agent agreements and distribution agreements for distribution of investment funds in various jurisdictions Show less

• • Dec 2007 - Dec 2013

  • reviewed product documentation and considered compliance implications of new product setup (including a physical gold ETF) and business developments • handled compliance and regulatory affairs, liaised with SFC and other regulators on fund authorisation applications and other compliance matters (e.g. licensing) • reviewed and approved marketing materials in accordance with SFC guidelines• provided update on compliance requirements and regulations and implemented applicable policies and procedures• conducted investment compliance monitoring• approved staff personal dealing • handled substantial shareholding disclosure to HKEx Show less



Securities and Futures Commission (SFC)

• Hong Kong
• Financial Services
• 300 - 400 Employee

• Executive Trainee, Investment Products Department

  • Apr 2006 - Dec 2007

  - reviewed and authorised new fund applications and post-authorisation maintenance (e.g. merger, change of manager, pricing error, termination) - monitored the advertising and marketing of investment products to ensure compliance with relevant legislations and guidelines - responded to public enquiries on fund-related matters - reviewed and authorised new fund applications and post-authorisation maintenance (e.g. merger, change of manager, pricing error, termination) - monitored the advertising and marketing of investment products to ensure compliance with relevant legislations and guidelines - responded to public enquiries on fund-related matters



PwC

• Professional Services
• 700 & Above Employee

• Tax Associate

  • Sep 2004 - Apr 2006