Cheung (Priscilla) Wong

• Investigated and reported to the SFC on about 5 pricing error incidents and oversaw the process of investor compensation.
• Handled license applications.
• Reviewed and approved marketing materials.
• Conducted compliance monitoring reviews on marketing material and licensing.
• Reviewed and cleared the AML alerts on the investors and vendors.

• Prepared records and data for regulatory onsite inspection and acted as key contact for SFC.
• Managed compliance matters and projects (e.g., periodic compliance surveys and confirmations, marketing material review, compliance manual drafting for Australia and Singapore offices).
• Implemented robust risk framework and compliance monitoring program to support business operations in Asia Pacific region.
• Harmonized compliance policies and procedures post-merger and worked on compliance system harmonization with the UK head office.
• Handled code of ethic matters, such as personal account trade and gift and entertainment approval according to regulatory and company policies.

• Handled over 50 SFC and MPFA license applications and queries.
• Reviewed complaint registers and ensured all complaints were handled properly on monthly basis.
• Reviewed marketing materials in accordance with the regulations.
• Performed various compliance assurance reviews (e.g., call monitoring, website, client money and securities reviews) to ensure the company compliance with the SFO and codes and guidelines.
• Analyzed the impact of consultations and conclusions on business operations.

• Reported to the financial controller cum company secretary and supervised the accounts department and the assistant company secretary.
• Reviewed submissions to the HKEx, such as monthly return on securities movement and next day disclosure return.
• Prepared various financial reports and discussed various issues with the auditor.
• Ensured the company’s compliance with the listing rule requirements.

• Vetted the offering documents and marketing materials of various investment products, such as investment-linked assurance schemes, mandatory provident fund schemes, and paper gold schemes.
• Issued requisition letters to investment product issuers on new applications and monitored post-authorization compliance of the products.
• Prepared recommendation memos and discussed product and document authorization with senior management.
• Dealt with non-compliance cases and reviewed relevant notices and compensation proposals.
• Handled various enquiries and complaints from the public and issuers.
• Liaised with other regulatory organizations such as Mandatory Provident Fund Schemes Authority and Office of the Commissioner of Insurance on various issues and applications.

Transactions, Financial Due Diligence experience:

• Acted as the project manager for due diligence engagements for M&A transactions for various corporations and private equity investors.
• Analyzed business flow, historical operational results, financial position, human resources, profit forecast, cash flow projections, off balance sheet items, working capital requirements and ownership structures of the target companies in order to identify key deal issues and provide suggestions for solutions.
• Prepared pro-forma consolidated or standalone financial statements for analyzing the performance of target business.
• Drafted engagement letters and project budgeting.
• Worked closely with other advisors on tax and valuation and lawyers during the M&A projects.
• Traveled to Mainland China and Korea for M&A projects.

Audit and Assurance experience:

• Acted as a senior-in-charge of audit engagements, supervised and coached less experienced staff directly to perform statutory audits.
• Performed financial statement analysis to evaluate the clients’ operating results and identified and resolved on significant audit and accounting issues.
• Assessed, evaluated and validated the clients' internal control system and provided recommendations on the efficiency and effectiveness of their operations.
• Engaged in major and connected acquisition project and IPO projects, and traveled to Taiwan, Macau and Mainland China for audit engagements and special projects.