Trust & Estate lawyer

Operational and legal management for family office holding company active in wealth and estate management, venture capital, education, social enterprise, industrial, real estate and business advisory in Asia, United States and Europe. Active: April 2011 to March 2014; November 2020 to Present

• Direct report to General Counsel • Led Legal Department teams on bank-wide legal risk, data privacy and competition/antitrust law matters • Implemented HSBC Group’s legal and risk policies and guidance at Hang Seng Bank (the “Bank”) • Legal Risk Coordinator for the Bank and General Counsel’s delegated execution Legal Risk Steward for Hong Kong, Macau, Singapore and Taiwan • Responsible for all legal matters for Hang Seng Indexes and the Bank’s Security Fraud Risk, Financial Crime Threat Mitigation, Finance, Tax and Records Management departments (responsible for all Procurement and IT legal matters, including implementation of the Group’s Cloud Strategy 2018-2019) • Advised and prepared for Hang Seng Indexes’ compliance with the new EU Benchmark Regulations • Member/Attendee of many Bank-wide and HSBC Regional/Global committees and working groups, including but not limited to HSBC Asia Pacific Legal Risk Executive Committee; HSBC Data Privacy Working Group; HSBC Competition Law Working Group; HSBC/Hang Seng Legislative Watchlist Team, and the Bank’s Operational Risk Working Group; Non-Financial Risk Project Working Group; Big Data Artificial Intelligence Governance Committee; Environmental; and Social and Corporate Governance Working Group.

• Legal Consultant based in Hong Kong - Dec 2008 to Mar 2014• As Legal Consultant, reported directly to Group General Counsel and managed the liquidation of Capmark entities and assets and final exit of Capmark related businesses in Asia including China, Japan, Taiwan and the Philippines. Provided general legal and management support related to Capmark’s Asia businesses as needed.• Reported to General Counsel Asia; managed and trained legal staff in Tokyo headquarters and regional offices.• Responsible for major real estate investment, development, finance, servicing, securitization, non-performing loans and fund transactions in Asia including Japan, Philippines, China and Taiwan from initiation, term sheet negotiations, structuring and document review to closing.• Responsible for Asia treasury, corporate governance and compliance matters for Capmark’s Asian operations and required reporting to headquarters in the U.S.• Experience included preparing the organization and its investment structures to comply with the promulgation of the Financial Instruments and Exchange Act in Japan in 2006

• Structured Finance and Capital Markets• Seconded to Capmark Japan (formerly GMAC Commercial Mortgage Japan) from July 2003 to February 2004 at the request of the General Counsel of Capmark Finance Inc., a former primary client at Orrick.

• Structured Finance• Committees: Member of Professional Development Advisory, Associate Recruiting and Technology Committees.

General securities and corporate support for private and public biotechnology and high-technology companies