HKUEMS :: Event Details

FSDC Practitioner Speakers Series: Compliance in the Financial Market
posted by Faculty of Business & Economics for HKU and Public
Event Type: Public Lecture/Forum/Seminar/Workshop/Conference/Symposium
Event Nature: Business & Economics

Event Details

About the Seminar:

After the global financial crisis in 2007-2008, financial regulators around the world have stepped up their regulatory efforts to prevent a similar incident from happening again. This has resulted in more stringent financial regulations which require more internal checking on part of the regulatees and heightened disclosure standards.

Compliance departments across banks, brokerage firms and asset managers have been expanding in both size and importance for the past years and they look certain to keep growing for the foreseeable future. Banks, brokerage firms and asset managers across the world are piling more resources into their ‘middle office’ risk and compliance teams to avoid facing massive fines from regulators. Many high paying jobs, with many senior roles, have been created in compliance.

Our speaker will share with you the ins and outs of a job in the compliance industry, and how to build a successful career in compliance and risk management.

About the Speaker:

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.

Date/Time21/03/2018 16:45-18:00
VenueConvocation Room, 2/F Main Building, HKU

Registration Instruction

Registration is open from 10/01/2018 10:00(HKT) to 21/03/2018 12:00(HKT) on a first-come-first-served basis.

* Registration is now closed.

Contact Information

Should you have any enquiries, please feel free to contact Faculty of Business and Economics by email at