Adam Chen Email & Phone Number

Shanghai City, China

Shanghai City, China

Shanghai

Chief Compliance Officer

Shanghai

Senior management and CCO qualification of a securities company (investment banking) .Board Secretary Functions: to call in and organize meetings for the Board of Director, Shareholders and Supervisory Board, keep the minutes and resolutions and other documents for the meetings, make information disclosure and coordinate relationship among shareholders, director and senior management;Legal and Compliance Functions：Advisory: to provide legal, regulatory and compliance advice to business and control units on an ongoing basis to ensure the compliance with regulatory requirements;Regulatory Relationship: to maintain an ongoing, open relationship with regulators such as CSRC,SAC, PBOC, and MOFCOM etc., to help shape regulatory policy and to take initiatives to cooperate with them to secure approvals;Policies and Procedures: to help to incorporate and amend policies and procedures in light of regulatory developments and self-assess on new policies, decision-making and new products as part of internal examinations; Monitoring and Surveillance: to perform a critical ongoing monitoring and surveillance function; Reporting and Investigation: to investigate, handle and respond to regulatory inquiries and to make regulatory filing under CSRC and SRO rules and regulations;Centralized Compliance Functions: AML, Control Room(information barrier , wall crossings, insider trading prevention, etc);Licensing and Registration: to administer the licensing and registration of the firm and its personnel;Education and Training: to promote compliance culture at all levels in the firm;Legal：to draft, review, negotiate and advise on contracts and legal documents, and to keep up-to-date on law and policy developments which may have impact for business in China; andTo report directly to the Board of Director and CEO.

Honored with “Award of Outstanding Merit” , the only award since Dacheng’s foundation in 1992Experienced in providing legal support and services for transnational corporations, large securities companies and banks, focusing on IPO,PE, M&A, Bond, Assets-backed Securities (ABS) and banking.

Dba, Global Financial Dba

Master, Emba

Master, Law

Activities and Societies: With Cum laude (Top 3 out of 30）

Ll.B, Law

Activities and Societies: Honor of Excellent Thesis, Moot Court Member

B.A