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Jun 2021
(Sat)
數碼新時代對金融合規與道德的衝擊
- Event of
- Open SPACE 2021
- Subject
- Finance and Compliance
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- Date & time
- 05Jun 2021 (Sat)15:45 - 16:45
- Venue
- Live broadcast
- Fee
- Free
- Speaker
-
- Mr Alan Lok, Director, Ethics Education & Professional Standards, Asia Pacific, CFA Institute ;
- Mr Edward Tong, Barrister and Chartered Company Secretary
Mr Alan Lok, Director, Ethics Education & Professional Standards, Asia Pacific, CFA Institute
Mr Alan Lok is responsible for nurturing ethics trainers, producing ethics bite-size media as well as facilitating member societies to promote ethical behavior in their local capital markets. In his role, Mr Lok works with member societies to advance awareness and adoption of CFA Institute ethics and standards, as well as policy positions on ethical conduct and culture related issues. This involves outreach to local stakeholders, including the industry, financial regulator, and the public across the APAC markets. Alan also managed ethics related content and events together with societies leaders as well as facilitating their outreach activities on the Asia-Pacific Research Exchange (ARX) post publication. Alan joined CFA Institute in February 2014 as the Director of Capital Markets Policy in the Standards & Advocacy Division (APAC) before moving to the role of Director, Society Advocacy Engagement (APAC) in January 2017. In that role, Alan has built up great relationships with society leaders and volunteers in the APAC region. Alan was also responsible for directing the establishment of the Asia-Pacific Research Exchange (ARX). Over the years, Alan has co-authored two monographs on portfolio pumping and market manipulation, submitted numerous regulatory consultation papers, written many blogs & articles and supported the Singapore Society in their Industry Research series in the Singapore Business Times. During the decade prior to joining CFA Institute, Alan was the senior investment manager of a Chinese solar-energy conglomerate and was both a buy and sell-side research analyst in Singapore. During his 2 years in Mainland China, Alan has served as the visiting fellow of Xi An Jiao Tong University (西安交通大学). Prior to that, he has served as the Adjunct head of two modules in Nanyang Technological University (南阳理工学院). Alan graduated with a degree in Electrical & Electronic Engineering from Nanyang Technological University in Singapore and holds a MBA from the University of Manchester in England. He also holds the FRM certification from the Global Association of Risk Professionals. Alan currently reads his doctorate degree from the University of Middlesex, London.
Mr Edward Tong, Barrister and Chartered Company Secretary
Mr Edward Tong is a barrister and a chartered company secretary. He obtained his LLB, PCLL and MA from the City University of Hong Kong. He served his pupillage in Des Voeux Chambers, a leading set in commercial practice. He also received extensive criminal law training in the reputable Cheng Huan SC Chambers. Prior to his admission as a barrister, he had worked in several local listed companies with a main focus in corporate and compliance matters. His expertise is company law and corporate governance.
- Enquiry
- 2867 8312 (camy@hkuspace.hku.hk)
- Related link
- Relevant Programmes
- Remarks
Language - Cantonese
數碼科技對金融服務業帶來巨大改變，衍生相關金融合規、監管和道德操守的新挑戰。 兩位專家講者將探討最新的道德操守框架，科技對金融合規及道德操守的衝擊，金融合規與道德如何影響金融從業員的相關培訓。
The School may make available related programme information material at the seminar.
The School reserves the right to alter or modify the schedule of the event if necessary or expedient.
