Global Finance Seminar Series 2015
The Importance of Professionalism and Integrity in Finance

Co-organized by the HKUST-NYU Stern MS in Global Finance Program and the CFA Institute

About the Seminar

The Importance of Professionalism and Integrity in Finance

Being a statutory body and the only financial regulator in Hong Kong, the Securities and Futures Commission (SFC) plays a critical role in working proactively and upholding the highest standards of professionalism and market integrity for the benefits of investment and the finance industry in Hong Kong.

Our speaker Mr James Shipton is a member and an Executive Director for the Intermediaries Division of SFC, which is primarily responsible for administering licensing requirements and conducting ongoing supervision of licensed corporations with a focus on their business conduct and financial soundness. During this seminar, Mr Shipton will address on:

• the importance and challenges in upholding the integrity of markets and restoring trust in the finance industry;
• the importance of an ethical culture for financial firms and strengthening ethics and professionalism at the firm level, and
• the SFC's enhanced supervisory initiatives.

*Participants to this seminar are entitled to one hour of continuous professional training (CPT) requirement stipulated by the Securities and Futures Commission in Hong Kong.

About the Speaker

Mr James Shipton is a member of the Securities and Futures Commission (SFC). He is also an Executive Director with responsibility for the Intermediaries Division, which comprises the Intermediaries Supervision and Licensing Departments. That Division is primarily responsible for administering licensing requirements and conducting ongoing supervision of licensed corporations with a focus on their business conduct and financial soundness.

Prior to joining the SFC, Mr Shipton held several senior positions at Goldman Sachs Asia in their Executive Office and Securities Division and his last role was Managing Director and Head of Government and Regulartory Affairs for Asia Pacific. Before that, Mr Shipton was a partner in specialist consultancy firms advising international and Asian asset management firms on regulartory issues. Prior to that the worked in the corporate finance and legal and compliance departments of a leadning European investment bank in Hong Kong and London and practised funds and securities law in Hong Kong and Thailand with a leading international law firm.

Mr Shipton completed a BA degree in Asian politics, history and economics at the University of Melbourne and a LLB (Honours) degree at Monash University with component studies in Asian law at the University of Hong Kong. He qualified as a solicitor in Hong Kong, England & Wales and Victoria (Australia) and is currently a Fellow of Harvard Law School's Program on International Financial Systems. He has lived predominantly in Asia for 20 years.

Event Rundown

12:30    Registration and Light Lunch
13:00    Presentation
13:45    Q & A
14:00    End of Seminar