Managing Director and Head of Regulatory Compliance
Hong Kong Exchanges and Clearing Limited
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.
Corporate Governance Enforcement, Australian Securities and Investments Commission
In May 2002 Fiona joined the Australian Securities and Investments Commission. Her initial role was in ASIC’s then International Relations branch. One of her first tasks with ASIC was preparing ASIC’s application to sign the IOSCO Multi-lateral Memorandum of Understanding. She also provided technical support to ASIC’s representatives on IOSCO’s then Standing Committee 4 on Enforcement, MMOU Screening Group and the IOSCO Principles Implementation Committee. In addition, Fiona would also assist with preparing request for enforcement assistance to ASIC’s overseas counterparts and respond to similar requests incoming requests from our counterparts.
In July 2009 Fiona commenced work in Enforcement as a Senior Lawyer. She currently works with the Corporations and Corporate Governance Enforcement team. In her current role she provides legal support to ASIC investigations focusing on breaches of director’s duties, illegal fund raising and misconduct by insolvency practitioners and auditors. From August 2010 to February 2016 her main area or work was as part of the investigation into the collapse of Trio.
Fiona has a Masters of Laws and a Bachelor of Arts from the University of Melbourne. After being admitted to legal practice she commenced her career working for the Victorian State Government.
Head of Market Conduct Investigations Division II
Enforcement Department, Monetary Authority of Singapore
Eric Chia is the Director and Head of Market Conduct Investigations II Division at the MAS where he supervises the investigation of securities contraventions.
Eric also advises MAS departments on enforcement matters. Prior to joining MAS in 2008, Eric spent eight years with the Commercial Affairs Department, and specialised in the investigation of securities offences. Eric graduated with a business degree from the Nanyang Technological University, Singapore.
Deputy Director of Prosecution and Civil Enforcement
Securities Commission Malaysia
Shanti Geoffrey is the Head of the Prosecution and Civil Enforcement Department at the Securities Commission of Malaysia.
These include areas such as fundraising, investor compensation, insolvency laws and accounting standards regulation. She has also been closely involved in the drafting of the consolidated securities legislation, the Capital Markets and Services Act 2007.
She currently leads the SC’s prosecution and civil enforcement efforts for breaches of the securities laws. She is also a Deputy Public Prosecutor and has lead the SC’s prosecution in a number of cases.
Prior to joining the Securities Commission, she was a practising lawyer specialising in areas such as insurance litigation, criminal law and commercial law. She holds a LL.B and LL.M from the University of Malaya.