Registration & networking
Welcome by ALFI & HKEX
Update on Distribution: What’s the future of HK retail funds market?
Panel discussion: Distribution opportunities and challenges
Mifid II and its impact in Asia
Common Reporting Standard – How it impacts you?
Bond Connect update
Wrap-up: Associations fireside chat
Stewart Aldcroft is Chairman of Cititrust Limited (Cititrust) in Hong Kong. He is also Managing Director and Asia Pacific Senior Advisor for Citi’s Investor Services business within Citi’s Markets & Securities Services, a business unit of Citi’s Institutional Clients Group. Cititrust is the provider of trustee services to a number of Mandatory Provident Fund constituent funds, Approved Pooled Investment Funds, Exchange Traded Funds and SFC-authorised unit trusts in Hong Kong. As Senior Advisor for Citi Investor Services, he assists the business to develop new initiatives and grow its client-base and reach across Asia Pacific, advising clients outside Asia on accessing the region. He also leads the production of “thought leadership” pieces relevant to the fund management industry. Stewart joined Citi in August 2011 and brings with him a wealth of experience from previous senior business development and leadership roles in managing traditional mutual funds, hedge and alternative investment funds, structured products and Exchange Traded Funds. A veteran with deep knowledge of the Asia Pacific funds industry, Stewart has been based in Hong Kong since 1985. He has been a full member of the Hong Kong Securities Institute since 1999 and has been a Type 9 Licensed Representative and Type 4 Responsible Officer under the Hong Kong Securities and Futures Commission. Stewart has over the years held various memberships with the Hong Kong Securities Institute Education and Seminars Committee, AIMA Hong Kong Education Committee and Chapter Executive Committee, as well as the Hong Kong Investment Funds Association Executive Committee.
Dr AU King Lun is Chief Executive Officer (“CEO”) of Value Partners Group, responsible for the Group’s business and corporate affairs. He joined Value Partners in December 2016, bringing 30 years of industry experience and network in the Asian asset management industry to his role with the Group. Previously, Dr AU was CEO of Eastspring Investments (Hong Kong) Limited. He also served as CEO of BOCHK Asset Management Limited and held various senior management positions at other financial institutions including 11 years’ service with HSBC Global Asset Management (Hong Kong) Limited. Dr AU was named CEO of the Year in Hong Kong by Asia Asset Management in 2012 and 2014. He was awarded the Medal of Honour (“MH”) by the Government of the Hong Kong Special Administrative Region (“Hong Kong SAR”) for his valuable contributions to the securities and asset management industry in 2008. Currently, Dr AU sits on the Advisory Committee of Hong Kong’s Securities and Futures Commission and the Market Development Committee of the Financial Services Development Council (“FSDC”). From 2015 to 2016, Dr Au served as a member of FSDC. In addition, he was the Chairman of the Hong Kong Securities and Investment Institute from 2006 to 2008 and the Chairman of the Hong Kong Investment
Funds Association in 2004/2005. Dr AU holds a CFA, and he earned a Bachelor’s degree in Physics from the University of Oxford and a PhD in Theoretical Particle Physics from Durham University.
Barnaby Nelson is Regional Head of Securities Services, North East Asia and Greater China, for Transaction Bank at Standard Chartered.
In this role, he leads the end-to-end delivery of Standard Chartered Securities Services proposition in several of the Bank’s largest custody businesses across product development, sales, client servicing and operations.
Barnaby is also responsible for driving the business agenda amongst institutional investor and financial intermediary clients across North East Asia and Greater China, with a focus on supporting clients’ growth aspirations across Asia, Africa and the Middle East.
Barnaby joined the bank from BNP Paribas, where he was Head of Client Development – Asia for the Securities Services division. Prior to this, he worked as Business Owner for Thomson Reuters’ information and market data feeds in Asia-Pacific.
Anish is a Senior Manager with our Asia-Pacific International Tax Services Team based in Hong Kong which he joined in July 2015. He provides advice on international tax and operational tax matters in the Asia-Pacific region working with clients in the banking and capital markets industry. Prior to relocating to Hong Kong Anish spent 10 years with EY in the United Kingdom and India providing a range of tax advisory services to financial services clients. Anish advises on implementation of FATCA and CRS. He has also led various FATCA and CRS workshops for various clients across the Asia-Pacific region. Anish leads our Global Tax Reporting Solution offering for Asia Pacific and is involved in multiple engagements across the Asia Pacific. In addition to IRD in Hong Kong, he has also worked with authorities in Singapore and Mainland China on the development of CRS in these jurisdictions. Anish is also a regular speaker on Customer Tax Reporting matters at various industry forums and is aware of the key nuances / challenges faced by banking and insurance institutions. He has led almost all FTT engagements within the UK and has been a trusted advisor on FTT matters for a number of top tier multinational banks and broker dealers globally.
Charlotte Chen became a member of the Paris Bar in 2009. She joined Elvinger Hoss Prussen in 2014 and was admitted to the Luxembourg Bar under her home title the same year. Charlotte holds a maîtrise en droit from the Université Paris II Panthéon-Assas (France) and a Master’s degree in European law from the Université Paris 1 Panthéon-Sorbonne (France). Prior to joining the firm, Charlotte worked for four years for two major French law firms located in Paris, Shanghai and Hong Kong.
Armin has worked in a multi-national asset management sphere. Starting his career in India then traveling across United States of America, Luxembourg, and now Singapore. Armin has over 17 years asset management industry experience starting off with audits of investment funds under US and International auditing standards, along with knowledge of Indian, Hong Kong, Canadian, US, Luxembourg and International Financial Reporting Standards relevant to funds industry.
Armin has now set up the asset management research institute and fund distribution hub for Asia Pacific under the Asian Investment Fund Centre of PwC in Singapore. His area of focus now is on market entry, trend analysis, though leadership, policy initiatives, funds set up and operational aspects of the asset management business.
Caroline Higgins is a Senior Vice President at Northern Trust, responsible for Global Fund Services Asia, based in Hong Kong. This includes; the Investment Operations Outsourcing (IOO), Fund Administration and Client Service teams responsible for servicing Northern Trust’s asset management clients in the Asian region.
Prior to joining Northern Trust in 2016, Caroline held senior leadership, product & client management positions within Asia, Europe and Australia. She was at Brown Brother Harriman (BBH) in Hong Kong, where she was the head of the Transfer Agency function across Asia, which included the deployment of the Global Service model. Prior to BBH, Caroline spent 9 years working for State Street in Ireland, Australia and Hong Kong in the local and off shore Fund Services business focused on client & operational excellence. In addition, she has worked with RBC Global Services, UBS Brinson and Citibank in Australia.
Caroline is the current Chairperson of the ALFI Asia TA & Distribution committee and holds a Type 1 License for the Securities and Futures Commission in HK. Caroline received a Diploma of Management from the Australian Institute of Management, Sydney.
Ms Mo Ji is Chief Economist, Asia ex-Japan of Amundi Hong Kong Limited. She joins Amundi Hong Kong from Azentus Capital Management (prior Goldman Sachs Principle Strategies) where she was Global Chief Economist for over 4 years. Prior to that, Mo has worked at Deutsche Bank Hong Kong for 2 years on China economics, with Jun MA who is now Chief Economist of China’s central bank PBOC.
Academically, Mo has studied her Ph.D. at Columbia University, under the supervision of Prof. Joseph E. Stiglitz, the 2001 Nobel Laureate in Economics, and has helped Prof. Stiglitz in advising the Chinese government in the past 10 consecutive years (2005-2015). Mo also holds M.A. from Peking University and B.A. from Renmin University, both in International Economics.
Stéphane Karolczuk is head of Arendt & Medernach’s representative office in Hong Kong, where he advises clients based in the Asia Pacific region regarding their Luxembourg legal and regulatory questions. He is admitted to practice in Hong Kong as Registered Foreign Lawyer. As a senior associate of the investment management practice, Stéphane also advises international clients on all issues relating to investment funds, such as the structuring, registration, marketing, public offering and listing of Luxembourg and foreign investment funds. He also advises and assists clients in relation to the selection and setting-up of investment structures, drafting of contractual and marketing documentation, and liaises with the Luxembourg financial regulator, the Commission de Surveillance du Secteur Financier (CSSF), and the Luxembourg Stock Exchange in relation to such matters. In 2008, Stéphane was seconded to Arendt & Medernach’s representative office in New York in view of developing an Investment Management Helpdesk advising US clients in relation to Luxembourg investment funds questions. He is now heading the Hong Kong office of the firm. Stéphane has taken part in the activities of the Association of the Luxembourg Fund Industry (ALFI), the Hong Kong Investment Funds Association (HKIFA), the Hong Kong Private Equity and Venture Capital Association (HKVCA), and he is regularly invited to speak on Luxembourg funds related topics at conferences in the region. Stéphane graduated from the University of Brussels (Belgium) and the University of Ghent (Belgium). He is admitted to practice in Hong Kong as Registered Foreign Lawyer, as well as in Luxembourg and Brussels. Languages:English, French, Dutch, basic knowledge of Mandarin
Rosemarie joined RBC Investor and Treasury Services (I&TS) in August 2016 as Head of Coverage Hong Kong. She is responsible for both Global Client Coverage as well as Banks, Brokers and Exchanges activity from a relationship and sales perspective. Rosemarie has over 25 years’ experience in financial services across 3 continents and has worked in HK since 1993. Prior to joining Royal Bank of Canada’s I&TS, she spent 10 years at BNY Mellon, most recently as Head of Global Client Management and Country Executive for Hong Kong. Before joining BNY Mellon, Rosemarie worked for RBC Investor Services in HK (formerly Dexia) for 2 years and over 15 years with The Bank of Bermuda where she held various progressively responsible positions in the locations of Bermuda, Luxembourg and Hong Kong. Rosemarie began her professional career in Canada where she qualified as a Chartered Accountant working with one of the ‘big four’ Accounting firms as well as The Auditor General. She graduated from the University of Alberta with a Bachelor of Commerce degree (with distinction).
Ivy is the General Manager of Climate Bonds Initiative (CBI) China Office, an international and investor-focused not-for-profit that works solely on mobilising the $100 trillion bond market for climate change solutions. Based in Beijing, her work at CBI focuses on market analysis on green bond issuance in China, researching policy proposals, as well as managing key partner relationships. Prior to joining CBI, she worked in a Washington DC-based policy research and advisory NGO, where she contributed to research projects on anti-money laundering and curtailment of illicit financial flows. Ivy was formerly an award-winning Senior Banking Correspondent in Hong Kong Economic Journal, specialised in covering Asia financial sector, with focus on Chinese Banks and Insurers, China’s Capital Markets, RMB Internationalization as well as Financial System Reform. Ivy holds a MSc in Development Management from University College London, and a Master’s degree in Media and Communications from University of Sydney.
George Mitton has been editor of Funds Global Asia, a magazine for the asset management industry, since 2014. A graduate of Oxford University, he has worked in business journalism for nine years, including a three-year posting in the Middle East. He has won a trophy in the State Street Institutional Press Awards for his work.
James joined Standard Chartered Bank in early 2017 as Head of Securities Services Hong Kong and Head of Clearing and Custody Product for Greater China and North Asia. James is responsible for driving the Securities Services business in Hong Kong and the development of clearing and custody products in the Greater China and North Asia region. Prior to joining Standard Chartered, James spent 8 years at BNP Paribas Securities Services in a number of roles across Sales, Relationship Management and Product Management in London and Hong Kong and 6 years at Bank of New York.
Eugenie is Managing Director and Head of Asia Securities Industry & Financial Markets Association (ASIFMA)’s Asset Management Group which advocates the views and interests of Asia asset managers at local, regional and global levels. Eugenie is a U.S. trained lawyer with more than 30 years of private practice and in-house legal experience across a wide range of institutions, industries and jurisdictions spanning Asia, the United States, Europe and Latin America. As a former managing director and chief legal officer of PineBridge Investments (the former AIG Investments) in Asia ex-Japan and general counsel of Morningside Technologies, Eugenie has a wealth of experience in retail and private fund formations, distributions, investments, and investment advisory/management issues. Her other former positions include being head of the Hong Kong Stock Exchange’s China Listing Unit, vice president and senior associate counsel at Chase Manhattan Bank’s head office in New York and associate at Shearman & Sterling. Eugenie is a member of the New York Bar and has a Bachelor of Arts degree from Cornell University and a Juris Doctor degree from Georgetown University Law Center.
Mr Stratos Pourzitakis works as Head of Research at Asian Private Banker and he has been leading a series of research projects on private banking and wealth management. In parallel he is the principal investigator of a research grant offered by Konrad Adenauer Stiftung Hong Kong that examines carbon trade and environmental taxation in East Asia. In the past, Mr. Pourzitakis worked for the Hellenic Ministry of Finance and he specialised in legal research as well as in financial analysis of companies under the Greek Bankruptcy Code. Mr. Pourzitakis holds a Master of International Public Policy from Osaka University and a PhD in Government & International Studies from Hong Kong Baptist University. His dissertation examined energy hedging in China and the EU. Mr. Pourzitakis has recently joined the Financial Services Business Council of the European Chamber of Commerce with respect to a discussion white paper on how Hong Kong would benefit from a Green Investment Bank.
Tae Seok Clement Yoo serves as Managing Director in Client and Marketing Services at HKEX. His department is responsible for Client Relationship Management, including key relationships between HKEX and their intermediaries, global buyside, and custodians and trusts bank. Since joining HKEX in 2011, he was co-head of platform development & strategy and head of product& index development. Yoo has over 20 years of financial industry experience with 14 years at CME. Group in business development, sales and risk management in Chicago and Asia. Prior to CME, he worked at Sumitomo Mitsui Bank (Sakura Dellsher, Inc.) and at Goldman Sachs & Co. in Chicago. Yoo holds a bachelor’s degree from the University of Notre Dame, MBA from the Stuart School of Business at the Illinois Institute of Technology, and GSAL program at the University of Chicago, Graduate School of Business. He has been named an inventor on nine U.S. patents on derivatives risk management applications.
Sally Wong is the Chief Executive Officer of the Hong Kong Investment Funds Association, which is a non-profit-making organization that represents the asset management industry in Hong Kong. She represents the industry in liaising with the authorities, legislators, media and other stakeholder groups to discuss issues that have implications to the Hong Kong mutual fund market and the Mandatory Provident Fund (“MPF”) Schemes market. She also takes an active role in investor education and research initiatives. Mrs. Wong is a member of the Hong Kong Securities and Futures Commission (“SFC”) Committee on Real Estate Investment Trusts and a member of the MPF Guidelines Committee. She is a member of the 7th Steering Committee on ChinaBond Indices Experts of the China Central Depository and Clearing Co., Ltd. and a core member of the China Ageing Finance Forum 50. She is also a member of the Hang Seng Index Advisory Committee. She was a non-official member of the Hong Kong SAR Government Advisory Committee on Bond Market Development. She is a member of the International Regulatory Affairs Working Committee of the International Investment Funds Association. In addition, she has also been representing the Association to speak at major international fund industry conferences.
Tasos is a Director with PwC’s Financial Services Risk and Capital Management practice in Hong Kong. Prior to that he spent 15 years in London, advising global investment banks in the interpretation and implementation of global regulations.
Tasos has strong experience in the domains of Market and Counterparty Credit Risk, Capital Management and Treasury and has delivered global large scale regulatory transformational projects working across Front Office, Risk, Finance and Compliance functions.
In his current role, he leads PwC’s Hong Kong service offering in the implementation of the MiFID 2 extraterritorial requirements.
Tasos holds an MBA in Entrepreneurship and MEng in Electrical and Electronic Engineering from Imperial College.