- work experience
- Personal profile
Keith has over 25 years of legal and corporate finance experience advising on corporate finance matters, listing applications (i.e. initial public offering), M&A and general corporate commercial matters. He also advises on regulatory and compliance issues relating to listing applications, post-listing matters, including the Listing Rules and the Takeovers Code. In addition to being a Responsible Officer (“RO”) for type 6 regulated activities and having extensive experience with investment banks holding full type 1, 4, 6 and 9 licences.
Keith is fully cognizant of the licence application process and the regulatory framework of licenced corporations, including the latest SFC requirements and documentation for licence application such as the requirements for type 4 and type 9 ROs/MICs/Compliance Officer, FRR requirements, internal control and KYC procedures, Chinese walls, preparation of business plan and compliance manual etc.
- Admitted as Solicitor of the Hong Kong High Court
- Responsible Officer of Type 6 license of the Securities and Futures Commission, Hong Kong
- Fellow of Hong Kong Institute of Directors (FHKIoD)
- Master of Business Administration, University of British Columbia
- Postgraduate Certificate in Laws (PCLL), University of Hong Kong
- Bachelor of Laws (LLB), University of Hong Kong