OTHER MEMBERS (IN ALPHABETICAL ORDER)BROWN Stephen James
Aged 62, Mr Brown was appointed to the Listing Committee on 4 May 2012. He previously served on the Listing Committee from 2006 to 2009. Mr Brown was a director of Kim Eng Securities Hong Kong Limited and had previously held a number of senior positions at major institutions operating in the capital markets in Hong Kong and other parts of Asia and more recently has been Head of Corporate Affairs at Noble Group. Mr Brown is also an Honorary Fellow of Civic Exchange, a public policy think tank. He graduated from Reading University with a degree in Urban Estate Management.
CHAN Chiu Kong, Edmond
Aged 66, head of the corporate finance department of Anglo Chinese Corporate Finance, Limited, was appointed to the Listing Committee on 8 July 2016. He has over 25 years of corporate finance experience. He has served as a member of Hong Kong’s Standing Committee on Company Law Reform, the Takeovers and Mergers Panel of the SFC and the SFC’s Dual Filing Advisory Group. He has a law degree from the London School of Economics and is also a qualified barrister in Hong Kong and in England and Wales.
Prior to joining Anglo Chinese in 1999, he worked in corporate finance in Asia, first with Jardine Fleming Holdings Limited where he was a director and then five years with Standard Chartered Asia Limited where he was managing director of corporate finance. Before transferring to Hong Kong in 1980, he spent three years in the corporate finance department of Robert Fleming & Co Limited in London.
CHAN Wai Yan, Ronald
Aged 51, Partner, PricewaterhouseCoopers, was appointed to the Listing Committee on 10 July 2015. He is Co-head of Capital Markets Services for PricewaterhouseCoopers Hong Kong and China with over 25 years of assurance and advisory experience. Mr Chan is a member of the Hong Kong Institute of Certified Public Accountants and a member of CPA Australia. He is a director of the Association of Christian Accountants. Mr Chan graduated from the University of New South Wales with a bachelor’s degree in Commerce.
CHAN Yuen Shan, Clara
Aged 36, Founder and Chief Investment Officer of Chartwell Capital Limited, was appointed to the Listing Committee on 8 July 2016. Mr Chan manages a value-based investment fund, focusing on publicly listed Asian equities. He is the author of several books, including Behind the Berkshire Hathaway Curtain: Lessons from Warren Buffett’s Top Business Leaders, and The Value Investors: Lessons from the World’s Top Fund Managers. Mr Chan graduated from the Stern School of Business at New York University, with Bachelor of Science degrees in finance and accounting.
CHARLTON Julia Frances
Aged 45, Vice-Chairman and Chief Executive Officer of Lee Kee Holdings Limited and a director of its principal subsidiaries, was appointed to the Listing Committee on 8 July 2016. She has over 20 years of experience in the non-ferrous metals industry. Ms Chan is a member of the Lead and Zinc Committee of the London Metal Exchange and a member of the Board Risk Committee of LME Clear Limited. She is also a member of Energy Advisory Committee of the HKSAR Government and an Executive Vice-President of Hong Kong Young Industrialists Council. She holds a Master of Social Science degree in Global Political Economy from The Chinese University of Hong Kong.
Aged 57, Partner, Charltons, was appointed to the Listing Committee on 4 May 2012. She is a member of the Takeovers and Mergers Panel and a member of the Takeovers Appeal Committee of the SFC. Ms Charlton is a Senior Fellow of the Hong Kong Securities and Investment Institute and a member of its Education Committee and a Fellow of the Hong Kong Institute of Directors. She is also a member of Investigation Panel A of Hong Kong Institute of Certified Public Accountants and of the Company Law Committee of The Law Society of Hong Kong and is the Chairperson of the Eurocham Financial Services Business Council.
Ms Charlton is qualified as a solicitor in Hong Kong and in England and Wales. She holds a first class honours degree from King’s College London, a Postgraduate Diploma from the University of Oxford and a Certificate in Fintech from MIT.
CLARK Stephen John
Aged 43, Deputy Executive Head, a Managing Director of the Global Coverage Division and a Responsible Officer of BOCI Asia Limited (a wholly owned subsidiary of BOC International Holdings Limited), was appointed to the Listing Committee on 10 July 2015.
Mr Chau is Chairman of the Corporate Finance Advisory Panel of the Hong Kong Institute of Certified Public Accountants of which he is a member, and a Fellow of The Association of Chartered Certified Accountants. He is a member of the Corporate Governance Policies Committee of the Hong Kong Institute of Directors and the Financial Market Committee of the British Chamber of Commerce in Hong Kong.
Mr Chau serves on the board of the Monte Jade Science and Technology Association of Hong Kong and as a Technical Advisor to the board of the Smart City Consortium in Hong Kong. He is a member of the Committee of the Chinese People's Political Consultative Conference in Futian district, Shenzhen.
Mr Chau graduated from City University of Hong Kong with a First Class Honours Degree in Accountancy and he is a Chartered Financial Analyst.
GOODING Nial Dennis Henry
Aged 53, Managing Director, Advisory, Global Banking, Asia Pacific for The Hongkong and Shanghai Banking Corporation Limited, was appointed to the Listing Committee on 4 May 2012. Mr Clark is a Fellow of the Hong Kong Securities and Investment Institute and a member of the Financial Markets Committee of The British Chamber of Commerce in Hong Kong. He is qualified as a solicitor in Hong Kong and in England and Wales (non-practising). He holds a bachelor’s degree in law from Southampton University.
Aged 57, Senior Fund Manager, GCIS Limited, a boutique fund manager specialising in Hong Kong and Mainland China equity investment, was appointed to the Listing Committee on 4 May 2012. Mr Gooding has lived and worked in Asia for more than 30 years, and in Hong Kong since 1992. He has worked for a number of financial institutions in equity sales, sales management and investment management positions. Most recently he was a Senior Research Analyst (China) at Eight Investment Partners having been before that Head of Equity Strategy at Northwest Investment Management, a Hong Kong based hedge fund. He is also a CFA Charterholder.
LAU Pak Wai, David
Aged 52, co-founder, Managing Director and Head of Legal & Compliance, Cheetah Investment Management Limited, and founder and Managing Director, Courses & Seminars Limited, was appointed to the Listing Committee on 4 May 2012. She serves on the board of Cheetah Group investment management companies. She is qualified as a solicitor in Hong Kong and in England and Wales. Ms Ho is admitted as a Barrister of the Province of British Columbia and Solicitor of the Supreme Court of British Columbia, Canada. She holds a J.D. from the University of British Columbia and a Bachelor of Arts from Pomona College in Claremont, California.
Aged 46, Managing Director, Head of Global Investment Banking, Hong Kong, JP Morgan Asia Pacific Limited, was appointed to the Listing Committee on 7 July 2017. Mr Lau holds a BA in Business Economics from the University of California, Los Angeles. Mr Lau was an associate member of the Central Policy Unit of the HKSAR Government from January 2016 to June 2017.
MAGUIRE John Martin
Aged 38, Founder and Chief Executive Officer of Snow Lake Capital Limited (Snow Lake), was appointed to the Listing Committee on 7 July 2017. Snow Lake is an Asian alternative asset management firm. Prior to Snow Lake, Mr Ma worked as a member of the global equity long/short team at Ziff Brothers Investments. He started his career at Credit Suisse First Boston where he was part of the Technology Mergers and Acquisitions Group based in San Francisco from 2004 to 2006. Mr Ma holds dual Bachelor of Arts degrees in Mathematics and Economics from the University of California, Berkeley.
POGSON Keith Timothy
Aged 53, Head of Corporate Finance and Senior Managing Director at Yunfeng Financial Group, was appointed to the Listing Committee on 24 May 2013.
Mr Maguire is Deputy Chairman of the Takeovers and Mergers Panel and a member of the Takeovers Appeal Committee of the SFC. He is the Chairman of the Hong Kong Securities and Investment Institute and a Senior Fellow of the Institute. He is also a member of the Executive Committee of the Asia Securities and Investment Federation.
Mr Maguire is qualified as a solicitor in Hong Kong and in England and Wales (non-practising). He is a member of the Company Law Committee of The Law Society of Hong Kong. He holds a bachelor’s degree in law from Durham University.
ROBERTS Donald Jeffrey
Aged 47, Senior Partner Financial Services Asia Pacific, Ernst & Young (EY), was appointed to the Listing Committee on 8 July 2016. Mr Pogson is EY’s Global Assurance Leader for Banking & Capital Markets. Previously he founded and led EY’s Financial Services practice across Asia Pacific.
Mr Pogson was President of the Hong Kong Institute of Certified Public Accountants (HKICPA) in 2012 and has been both the chairman and a member of a number of the HKICPA’s standard setting committees in Hong Kong. Presently he is a member of the Audit Committee and the Regulatory Accountability Board of the HKICPA as well as both a Fellow and Practicing Member. He also serves as a member of Hong Kong’s Standing Committee on Company Law Reform.
Mr Pogson is a Fellow Member of the Institute of Chartered Accountants in England and Wales and a Member of the Hong Kong Securities and Investment Institute. He graduated with a First-class Honours degree in Management Science from Warwick Business School.
SWIFT Daniel Joseph
Aged 65, an Independent Non-Executive Director of HK Electric Investments Limited and Cheung Kong Property Holdings Limited, was appointed to the Listing Committee on 10 July 2015. Mr Roberts joined Hutchison Whampoa Limited in 1988 and was its Group Deputy Chief Financial Officer from 2000 until his retirement in 2011.
He is a Chartered Accountant with the Chartered Professional Accountants of Canada, Chartered Professional Accountants Alberta and British Columbia. Mr Roberts is also a Fellow of the Hong Kong Institute of Certified Public Accountants and serves on a number of its committees. He is a member of the Executive Committee of the Canadian Chamber of Commerce in Hong Kong.
Mr Roberts holds a Bachelor of Commerce from the University of Calgary.
TRACY Alexandra Boakes
Aged 50, Managing Director in the Investment Banking Division, Goldman Sachs (Asia) LLC, was appointed to the Listing Committee on 11 July 2014. Mr Swift holds an MBA from the MIT Sloan School of Management and a Bachelor’s degree from Washington University in St Louis, Missouri.
TYE Philip Andrew
Aged 50, President and Founder of Hoi Ping Ventures, was appointed to the Listing Committee on 24 May 2013. Hoi Ping Ventures provides research and consulting on investment in low carbon energy and infrastructure in Asian emerging markets. Mrs Tracy began her career as an investment banker in Hong Kong and Singapore, and then ran a number of start-up businesses, including a software company and a publishing and information business. Following the sale of the latter, she was for several years Vice President - Strategy at First Eastern Investment Group, an independent private investment group in Hong Kong.
Mrs Tracy is an Active Private Sector Observer to the United Nations Green Climate Fund and an advisor to the Hong Kong University of Science and Technology’s Asian Family Business Research Centre. She was non-executive Chairman of the Association for Sustainable & Responsible Investment in Asia for six years, stepping down in 2015, and was instrumental in establishing the Asia Investor Group on Climate Change during this period. She also sits on a number of corporate and non-profit boards in Hong Kong, including Tom Hugh Limited, where she is non-executive Chairman, and The Indus Entrepreneurs Hong Kong Chapter. Mrs Tracy speaks and writes regularly on sustainable finance, development and infrastructure issues. She has an MBA from the Harvard Business School and MA degrees from Yale University and Cambridge University.
Aged 53, was appointed to the Listing Committee on 11 July 2014. Mr Tye is a Director of HFL Advisors Limited, a company which provides independent director and strategic advisory services to hedge funds. He was previously a Founding Partner and Managing Director of DragonBack Capital Limited. Mr Tye currently serves as an independent director for various hedge funds and hedge fund management companies. He is also an independent non-executive director of HSBC Institutional Trust Services (Asia) Limited. In addition, he is a Director and a Senior Fellow of the Hong Kong Securities and Investment Institute, a Fellow of the Hong Kong Institute of Directors, a Member of the Global Council of the Alternative Investment Management Association and a Member of the SFC (HKEC Listing) Committee. He is also a Member of the Institute of Chartered Accountants in England and Wales. Mr Tye graduated from the University of Essex with a degree in biological sciences.VAN RIJN Arnout
WOLHARDT Julian Juul
Aged 51, Chief Investment Officer Asia-Pacific, Co-Head of the Asia-Pacific team and Lead Portfolio Manager of Robeco Asia-Pacific Equities, was appointed to the Listing Committee on 8 July 2016.
From 2003 to 2007 he was the Lead Portfolio Manager of Rolinco, one of Robeco’s flagship equity products. Prior to that, Mr van Rijn held several positions within the Robeco Equity department covering European, Asian and American markets. He started his career in the investment industry in 1990 and was Portfolio Manager of Robeco’s Emerging Markets Equities fund from its inception in 1994 until 2000.
Mr van Rijn holds a Master’s degree in Business Economics from Erasmus University Rotterdam.
Aged 44, the CEO of DCP Advisors, Limited (DCP) and Member of the Investment Committee of DCP, was appointed to the Listing Committee on 7 July 2017. Before DCP, Mr Wolhardt was a Partner and Regional Leader of KKR for about 10 years. Before joining KKR, Mr Wolhardt was with Morgan Stanley Private Equity Asia. Mr Wolhardt has been investing in Greater China for 20 years and been actively involved in close to 40 successful investments. Previously, he was with the Mergers and Acquisition Group of Lazard Freres & Co in the US and before that he was with Coopers & Lybrand. Mr Wolhardt currently serves as director for China Mengniu Dairy Company Limited, China Modern Dairy Holdings Ltd, Fujian Sunner Development Co Ltd and COFCO Meat Holdings Ltd. He is also a Certified Public Accountant and Certified Management Accountant, and received a Bachelor of Science degree with honours from the University of Illinois, Urbana-Champaign.
YIEN Yu Yu, Catherine
Aged 56, a Member of the Executive Committee and the Company Secretary of Cheung Kong Property Holdings Limited, was appointed to the Listing Committee on 4 May 2012. She is also the Company Secretary and the Alternate Director to the Group Managing Director of Cheung Kong Infrastructure Holdings Limited; the Company Secretary of CK Life Sciences Int’l, (Holdings) Inc; and a Non-executive Director of ARA Asset Management (Fortune) Limited, which manages Fortune Real Estate Investment Trust, a real estate investment trust listed in Hong Kong and Singapore.
Ms Yeung is a member of the Financial Reporting Council, a member of the SFC (HKEC Listing) Committee of the SFC, a member of the Advisory Committee on Corruption of the ICAC and Vice Chairman of the General Committee of The Chamber of Hong Kong Listed Companies. Ms Yeung is qualified as a solicitor in Hong Kong and in England and Wales. She holds a Master of Science degree in Finance, a Master’s degree in Business Administration and a Bachelor’s degree in Laws.
YIH Lai Tak, Dieter
Aged 46, Managing Director, Rothschild (Hong Kong) Limited, was appointed to the Listing Committee on 10 July 2015.
Ms Yien is a CFA Charterholder and a member of the Hong Kong Securities and Investment Institute. She graduated from the Imperial College of Science, Technology and Medicine of University of London with a Joint Honours degree in Mathematics with Management (BSc Hons).
Aged 54, Partner, Kwok Yih & Chan, was appointed to the Listing Committee on 10 July 2015. Prior to founding his law firm in 2014, he was a partner and head of the Hong Kong law practice of Milbank, Tweed, Hadley & McCloy.
Mr Yih is the Past President (2012 - 2013) of The Law Society of Hong Kong. He is currently the Convenor of Investigation Panel A of the Hong Kong Institute of Certified Public Accountants, and he is a member of the Education Commission, the Standing Committee on Judicial Salaries and Conditions of Services, and the Banking Review Tribunal of the HKSAR. Mr Yih is the Deputy Chairman of the Council of The Education University of Hong Kong. He chairs the King’s College London (Hong Kong) Foundation and is a trustee of the Charterhouse Hong Kong Foundation – both charitable foundations. He is a member of the Guangdong Province Committee of the Chinese People’s Political Consultative Conference.
Mr Yih is admitted to practice as a solicitor in Hong Kong and Singapore, and is a non-practicing solicitor admitted in England and Wales, and the Australian Capital Territories. He graduated from King’s College London with a Bachelor of Laws, and is a Fellow of King’s College London.
Aged 49, Managing Director and Deputy Chief Executive of Haitong International Capital Limited, was appointed to the Listing Committee on 24 May 2013.
Ms Zee is currently a panel member of the HKSAR Securities and Futures Appeals Tribunal, a review body established under the Securities and Futures Ordinance, and a board member as well as an investment committee member on the Hong Kong Deposit Protection Board, a statutory body established under the Deposit Protection Scheme Ordinance.
She also serves a member of the Cyberport Advisory Panel established by Cyberport, a public body managed and wholly-owned by the HKSAR Government.
Ms Zee is a member of the Investment Committee of HKSAR Government Scholarship Fund, and a member of the Steering Committee and Investment Committee as well as an ex officio member of the Committee on Self-financing Post-Secondary Education Fund, funds administered by the Education Bureau of the HKSAR Government.
She is also a member of Investment Advisory Committee of Sir Murray MacLehose Trust Fund administered by the Home Affairs Bureau of the HKSAR Government.
Ms Zee is a General Committee member and chairperson of membership service committee of The Chamber of Hong Kong Listed Companies Limited.
She is a member of American Institute of Certified Public Accountants. She holds a Bachelor of Science degree from the University of California, Berkeley and a law degree from the University of Wolverhampton.