Simon Chen Email & Phone Number

Australia

• Oversee the operation, development, compliance and all other aspects of the subsidiaries within Doo Group.• Assess the effectiveness of compliance program when breach occurs and on an annual basis with external consultants and make recommendations to CEO.• Ensure company capital meets the NTA requirements all the time and in charge of company expense and cash flow forecast, ensuring the Company complies with latest liquidity and capital requirement.• Investigate in Pre-IPO projects, listed stocks and fund projects• Project management and working collaboratively with internal stakeholders, generally including Capital Transactions, Development, Finance, Legal, Tax and Treasury• Develop collaborative working relationships with stakeholders, internal teams and external service providers (Taylor Collins, Mogans, Euroz Hartleys, Longbridge)

Sydney, New South Wales, Australia

• Report derivative trades and positions to ASIC• Review ASIC regulatory guides; decide and apply the best allowable solution thatsuits the Company’s situation, considering factors including Company size, capital, aggregate client equity level and trading volume• Regularly review PDS, T&Cs, and FSGs to ensure they cover the latest• financial products being offered and comply with all ASIC rules.• Strive to maintain good corporate governance and monitor the compliance on a continuous basis, such as checking if any client dealings involve any misrepresentation• Assess the effectiveness of compliance program when breach occurs and on an annual basis with external consultants and make recommendations to director• Maintain breaches and incidents register• Handle and analyze client complaints, attempting to resolve the issue• through the internal dispute resolution policy• In charge of written response to FOS(now AFCA) and ASIC’s query and• information request letterFinance Duties:• Manage A-B book and therefore the Company revenue• Set up the price feeds/spreads, swap rates and promotion program, optimizing the Company profitability• Set up and oversee financial accounting practices• In charge of Company’s audit process and the annual report. Discuss the business model, operation process and financial products with auditor, ensuring the both financial and operating requirements are met.• Review Company’s market risk management rules and guidelines to ensure it suits the current trading volume, client equity size and Company’s NTA level.• Manage the OTC commodity warrants book and the hedging option trades opened on the exchange• Have general discussion with clients regarding the suitability of leveraged financial products andadequacy of client capital risk