Alan Kwan

Alan Kwan Email and Phone Number

Head Of Compliance at Guolian Securities (H.K.) Co., Limited @
Alan Kwan's Location
Hong Kong SAR, Hong Kong
Alan Kwan's Contact Details

Alan Kwan personal email

n/a
About Alan Kwan

Alan is a Certified Public Accountant (Practising) and qualified Company Secretary in Hong Kong and he obtained practicing certificate (PC) since 2001. He got his second degree of LLB in 2008 summer.Specialties: Internal Audit, Compliance, AML, Internal controls and IT Security, Privacy, Personal Data Protection

Alan Kwan's Current Company Details
Guolian Securities (H.K.) Co., Limited

Guolian Securities (H.K.) Co., Limited

Head Of Compliance at Guolian Securities (H.K.) Co., Limited
Alan Kwan Work Experience Details
  • Guolian Securities (H.K.) Co., Limited
    Head Of Compliance
    Guolian Securities (H.K.) Co., Limited Sep 2020 - Present
    Hong Kong Sar
    1456.HK & 601456.SHSFC Licensed CorporationsType 1 & 4 - Private fund distribution, ECM & DCMType 9 - Private fundsType 6 - Sponsorship, IPO, IFA and FA
  • Shanxi Securities International Financial Holdings Limited
    Executive Director, Legal And Compliance
    Shanxi Securities International Financial Holdings Limited Jul 2018 - Dec 2019
    Hong Kong
    002500.SZSFC Licensed Corporations Type 1,2 & 4 - Securities and futures brokerage, underwriting and placingType 9 - ETF & private fundsType 6 - Sponsorship, IPO, IFA and FA
  • Well Link International Capital Limited
    Chief Compliance Officer
    Well Link International Capital Limited Nov 2017 - Jun 2018
    Hong Kong
    SFC Licensed Corporation (http://www.welllinkgroup.com/)Type 1 & 2 - Securities and futures brokerage, underwriting and placingType 9 - SFC authorised funds Type 6 - Sponsorship, IPO, M&A, IFA and FA
  • Shandong Gold Financial Holding Group (Hk)
    Head Of Compliance
    Shandong Gold Financial Holding Group (Hk) Feb 2017 - Nov 2017
    Hong Kong
    600547.SH,1787.HKhttp://www.sd-gold.com
  • Great Wall Pan Asia Int'L Investment Co., Ltd
    Head Of Compliance
    Great Wall Pan Asia Int'L Investment Co., Ltd Sep 2015 - Oct 2016
    Hong Kong
    HKEx Stock Code: 583http://www.gwpaholdings.com/http://www.gwamcc.com/http://www.gwamcc.com/Promo.aspx
  • Sheng Yuan Holdings Limited
    Head Of Compliance
    Sheng Yuan Holdings Limited Feb 2012 - Sep 2015
    Hong Kong
    Head the Compliance Department and report to the Board of Director directly on compliance and internal controls of the groupHKEx Stock Code: 851
  • Office Of The Privacy Commissioner For Personal Data, Hong Kong
    Policy Advisor
    Office Of The Privacy Commissioner For Personal Data, Hong Kong Apr 2010 - Oct 2010
  • Newedge (Now Becomes Societe Generale)
    Regional Internal Controller / Technology Risk Manager
    Newedge (Now Becomes Societe Generale) May 2006 - Apr 2008
    Hong Kong
    Alan joined Calyon Financial as Internal Controller in May 2006 Calyon Financial merged with Fimat to form "Newedge" from 2008 Jan onwards.http://www.newedge.com/
  • Kgi Asia
    Head Of Internal Audit
    Kgi Asia Nov 2003 - May 2006
    View
  • Pwc
    Senior Associate (Financial Services Group)
    Pwc Aug 1995 - Apr 2000
    Hong Kong
    Audit for FI
    View

Alan Kwan Skills

Operational Risk Aml Operational Risk Management Risk Management Financial Risk Equities Securities Enterprise Risk Management Investment Banking Corporate Governance Kyc Financial Services Hedge Funds Derivatives Capital Markets Banking Due Diligence Asset Managment Auditing Fixed Income Internal Audit Trading Compliance Mergers Bloomberg Asset Management Alternative Investments Options Commodity Financial Markets Private Equity Investments Governance Internal Controls Financial Regulation Equity Derivatives Electronic Trading Portfolio Management Credit Risk Anti Money Laundering Mergers And Acquisitions

Alan Kwan Education Details

Frequently Asked Questions about Alan Kwan

What company does Alan Kwan work for?

Alan Kwan works for Guolian Securities (H.k.) Co., Limited

What is Alan Kwan's role at the current company?

Alan Kwan's current role is Head Of Compliance at Guolian Securities (H.K.) Co., Limited.

What is Alan Kwan's email address?

Alan Kwan's email address is al****@****ial.com

What schools did Alan Kwan attend?

Alan Kwan attended University Of London, City University Of Hong Kong.

What are some of Alan Kwan's interests?

Alan Kwan has interest in Soccer, Music, Tennis.

What skills is Alan Kwan known for?

Alan Kwan has skills like Operational Risk, Aml, Operational Risk Management, Risk Management, Financial Risk, Equities, Securities, Enterprise Risk Management, Investment Banking, Corporate Governance, Kyc, Financial Services.

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