Phoebe Lam Email and Phone Number

- Monitored the market movements and analysed the market alerts via SMARTS- Investigated suspicious or unusual transactions and presented in reports

- Performed inspections on asset managers, investment advisors, and brokerage firms- Familiarized with Code of Conduct, FMCC and relevant circulars- Understood the portfolio construction, choice of investment, process of subscription and redemption, custody of clients’ assets, risk assessment and valuation methods of fund managers- Reperformed NAV, cash and investment holding reconciliation - Identified internal control deficiencies, staff dealings and breach of policies

- Forensic investigation in fraud, fund flows and their respective impact on financial statements- Analysis of source of income and expense analysis- Performed due diligence to companies and individuals- Support SFC investigation by analysing financial statements, bank statements and other bank documents

- Focused in Banking and Asset Management industry - Experienced in product cycles, internal control audit and regulation reporting- Experienced with project management for small and large teams- Budgeting and resources allocation- Financial analysis