Management

The management of the Institute comprises experienced professionals in the finance field specializing in licensing, compliance and regulated activities under the Securities and Futures Ordinance. 

Honorary Chairman

Mr. Stephen M.T. Suen

Mr. Suen, barrister-at-law, has over 35 years of experience in the areas of regulatory, management and compliance related work. He used to be Director of Enforcement of SFC and was responsible to lead and supervise several teams of investigators comprising lawyers, accountants, ex-police and ex-ICAC officers to investigate market misconduct and all relevant offences under the Securities and Futures Ordinance. As a practising barrister with regulatory and enforcement background and experiences, his professional practice focuses on listing rules, code of conduct applicable to listed companies, licensed corporations (LC) and persons, and the proper way to handle SFC investigation plus CCB (Commercial Crime Bureau) or ICAC (Independent Commission Against Corruption) investigation, SFO and corporate governance. Mr. Suen’s professional qualifications include Postgraduate Certificate in Laws (“PCLL”), JD, Master of Accountancy and Bachelor of Social Sciences (Economics). Mr. Suen is a member of Hong Kong Bar Association, Hong Kong Institute of Certified Public Accountants (“HKICPA”) and Hong Kong Securities and Investment Institute.

Honorary President

Mr. Stephen Kai-yi Wong

Mr. Wong, barrister-at-law, has over 40 years in legal practice. He finished a 5-year term as Privacy Commissioner for Personal Data of Hong Kong in August 2020. His fields of legal practice include data protection, human rights, commercial law, arbitration law, intellectual property and criminal law. 
Mr. Wong joined the Hong Kong Government as a Crown Counsel in 1986. In 1992, he became the Assistant Director of Public Prosecutions. From 1996 to 2014, he assumed the offices of Deputy Solicitor-General; Founding Director of Berlin Economic and Trade Office; and Secretary-General of the Hong Kong Law Reform Commission, responsible for human rights; cross-boundary legal affairs; Basic Law; legal policies; economic and trade affairs (Central and Eastern Europe) and law reform. 
Mr. Wong is also active in the community work, having been appointed as an adjunct professor of the School of Law, City University of Hong Kong; advocacy examiner of the Faculty of Law, University of Hong Kong; a director of the China Law Society and a Scout leader. He graduated from the University of Hong Kong and holds an LLM from the London School of Economics. He also pursued management courses at Harvard and Wharton, USA.

Mr. Alfred K.M. Law

Mr. Law, solicitor, has over 40 years of experience in commercial practice in Hong Kong and has wide exposure in compliance and licensing consultancy for regulated activities under the Securities and Futures Ordinance. He has advised numerous licensed corporations and persons regarding licensing matters, corporate finance, investment advisory and asset management activities. Mr. Law is also the Chairman of Institute of Certified Finance and Responsible Officers. Mr. Law was awarded the Degree of an Utter Barrister at Lincoln’s Inn England in 1975 and became a barrister in England in 1976. He served as Deputy District Judge in Hong Kong in 1986. He switched to another branch of the legal profession and served as a solicitor in Hong Kong in 1990. 

Senior Council Member

Mr. Eric S.K. Chan

Mr. Chan has spent more than 30 years in the finance industry. He used to work in Price Waterhouse with special focus on business assurance, IPO, M&A, insolvency and then in a private equity fund house as the technical director to oversee technical aspects of PE investments. He is now Deputy CEO of CNCB (HK) Capital Ltd. overseeing and managing the Type 1, 4, 6, 9 licensed regulated activities. CNCB (HK) Capital Ltd. is an investment arm of the China state-owned CITIC Bank active in iBanking activities for cross-border transactions throughout trans-Pacific region and Hong Kong. Mr. Chan graduated from Macquarie University in Australia with a degree of B. Econ. in 1985 and from University of New South Wales in Australia with a degree of M. Comm. in 1987. He was also awarded the degree of LL.B. from University of Wolverhampton in England in 1995.  Eric is a Certified Public Accountant in Australia since 1991 and a member of HKICPA since 1992.