Ben is a Manager specializing in banking and capital markets and regulatory advisory. He has led assurance engagement with investment bank, trustee and licensed corporation. He has extensive experience in providing regulatory advisory services to banks and asset management clients.
His key experience includes:
- Providing regulatory advice to asset management companies on their applications of licensed corporation registration, application of responsible officers and licensed representatives to the SFC including the review of the companies’ business proposal and compliance manual.
- Reviewing the outsourcing arrangement of a newly established restricted license bank with reference to the Hong Kong Monetary Authority’s requirement with a focus on the design effectiveness of operational controls and assessment on the existing policies on the business activities to be carried out, and assisting with its Registered Institution license application with the SFC.
- Benchmarking the market practice of front office supervision and controls in Banking Industry
Ben holds an undergraduate degree in Business Administration with double majors in Marketing and Management of Organisation. He is a Certified Public Accountants with The Hong Kong Institute of Certified Public Accountants.