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Senior Management and Staff

CEO’s Office

 

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Mark Austen

CEO

Mark Austen is the Chief Executive Officer of the Asia Securities Industry & Financial Markets Association (ASIFMA).  Since joining ASIFMA in 2012, he has led the expansion of the association to encompass Equities, Compliance, Post-Trade and Asset Management in addition to its original division for Fixed Income, and its membership has grown to over 100 firms.

Mark was also the CEO of the Global Financial Markets Association (GFMA) from 2016 to 2018, which represents the common interests of the world’s leading financial and capital market participants, and speaks for the industry on the most important global market issues.  GFMA brings together three of the world’s leading financial trade associations to address the increasingly important global regulatory agenda and to promote coordinated advocacy efforts. GFMA comprises ASIFMA based in Hong Kong, The Association for Financial Markets in Europe (AFME) in London and Brussels and the Securities Industry and Financial Markets Association (SIFMA) in New York and Washington.

Mark’s key objectives at ASIFMA are to expand its product divisions, continue to build a broad membership base and further strengthen its ability to act as a collective voice for the industry.

Mark was formerly with AFME as Chief Operating Officer. Previously, he was AFME’s head of the Capital Markets Division and served as its Acting Chief Executive from December 2009 to September 2010. Mark helped facilitate the successful merger of the London Investment Bankers Association and SIFMA Europe to create AFME in November 2009 and steered the newly formed association through its first year of operation. Mark joined AFME (then called The Bond Market Association or TBMA) in 2005 to head up the European Primary Dealers Association (EPDA), which addressed issues of specific interest to government bond markets. He was instrumental in the formation of the Global Rates Division, the Credit Division, and the Covered Bond Division, and also managed the negotiation and integration of the European Securities Forum (ESF), which became the Post Trade Division, into what was then known as SIFMA Europe. More recently, Mark was the driving force behind the establishment of the Global FX Division and the creation of the AFME Equities Board. In addition to his other duties at AFME, he headed up the Advocacy Division and held overall responsibility for AFME’s financial matters and membership.

Prior to joining AFME, Mark worked for MTS Group, the European trading platform for fixed income securities, where he was head of Legal and Compliance. Before his work at MTS, Mark spent three years as head of an international environmental web portal.

Mark has stepped down from his positions on the board of the International Council of Securities Associations (ICSA), the European Capital Markets Institute (ECMI) at the Centre of European Policy Studies (CEPS), and the Advisory Board of Quorum 15 in order to concentrate fully on his work at ASIFMA. He was a member of the Ontario Bar and holds an LL.M. from the London School of Economics and an LL.B. from Osgoode Law School in Toronto.

Tel +852 2531 6510
mausten@asifma.org

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Laurence Van der Loo

Director – Tech & Ops

Laurence is Director, Technology and Operations at ASIFMA, the Asia Securities Industry & Financial Markets Association.

Based in Hong Kong, Laurence is responsible for coordinating ASIFMA’s Operations and Technology efforts including regulatory implementation, cost efficiencies, KYC/AML, fintech/regtech and cyber and cloud. ASIFMA’s work in this area includes regulatory advocacy, driving harmonization and work on industry best practices in these areas. In addition, she oversees several of ASIFMA’s regional committees in China and India. These committees help develop and shape ASIFMA’s regulatory engagement s to drive capital markets development in both countries. Laurence also supports the CEO team with ASIFMA’s corporate governance and board processes.

Laurence has over 10 years of experience in the financial services industry. Prior to joining ASIFMA in 2016, she was responsible for European business development at Vistra Hong Kong, assisting foreign companies and funds to set up in Asia. Before that, she managed a portfolio of Natural Resources Companies at ING Corporate Banking in Brussels, working on numerous ECM, DCM, securitisation and syndicated loan deals for her clients.

Laurence holds a Master Degree in Business Economics from the University of Ghent, and a Master Degree in International Business from EAE Business School. She is member of the Exco of the Belgium-Luxembourg Chamber of Commerce (BLCC) in Hong Kong as well as Women in Finance Asia. She is fluent in English, Dutch and French.

Tel +852 2531 6511
lvanderloo@asifma.org

ASIFMA Asset Management Group (AAMG)

 

Eugenie Shen ASIFMA

Eugenie Shen

Managing Director – Head of Asset Management Group

Eugenie Shen is Managing Director and Head of ASIFMA’s Asset Management Group (AAMG), which was established in February 2014 to represent the buy side of ASIFMA in the region.  Eugenie runs a number of Committees within AAMG which focuses on China issues and regional investment (equities and fixed income and currency) and regulatory matters. She frequently interacts with regulators in the region such as China’s CSRC and SAFE, Hong Kong’s SFC, India’s SEBI and Singapore’s MAS.

Eugenie is a U.S. trained lawyer with more than 30 years of private practice and in-house legal experience across a wide range of institutions, industries and jurisdictions spanning Asia, the United States, Europe and Latin America. Prior to joining ASIFMA, Eugenie was managing director and chief legal officer of PineBridge Investments (the former AIG Investments) in Asia ex-Japan where she had legal and compliance responsibilities for multiple investment related entities/offices in Asia ex-Japan.

Other previous roles in Eugenie’s extensive career include: global general counsel of TTE Corporation, the television joint venture between China’s TCL Corporation and France’s Thomson group, which was among the first mainland Chinese companies to go global; general counsel of Morningside Technologies, Inc., a private investment firm which was one of the earliest foreign private equity investors in China; assistant director and head of the Hong Kong Stock Exchange’s China Listing Unit which oversaw the pioneer listing of Chinese H-share companies in Hong Kong; vice president and senior associate counsel at the New York head office of Chase Manhattan Bank; and associate at Shearman & Sterling’s New York and Hong Kong offices.

Eugenie is a member of the New York Bar and has a Bachelor of Arts degree from Cornell University and a Juris Doctor degree from Georgetown University Law Center. She is a founder of the Cornell Asian Alumni Association and served as a member of the Cornell University Council and the Cornell President’s Council of Cornell Women.

Tel +852 2531 6570
eshen@asifma.org

Luming Liang

Associate – Asset Management Group

Tel +852 2531 6571
lliang@asifma.org

Angus Lau

Junior Analyst – Asset Management Group

Tel +852 2531 6572
alau@asifma.org

Communications

 

Corliss Ruggles ASIFMA

Corliss Ruggles

Managing Director – Head of Communications and Human Resources

Corliss is responsible for communications across all of ASIFMA’s key constituencies, including member organizations, media outlets, strategic partners and the broader financial community. Her scope includes media relations, digital, member communications, branding and marketing, internal communications, strategic initiatives, and conferences and events. In her HR capacity, Corliss focuses on employee engagement through a range of policies and activities.

Corliss brings with her over 20 years of corporate and financial communications experience in Asia. She joined ASIFMA from Edelman, the world’s largest public relations firm, where she was Regional Director, Financial Communications, Asia Pacific for 12 years. At Edelman, Corliss led a team of financial communications professionals focusing on primarily large-scale, multi-market clients covering a wide range within the financial sector including investment banking, asset management, corporate banking, insurance, wealth management, professional services and private equity.

Prior to Edelman, Corliss was Group Communications Manager at J.P. Morgan (initially Jardine Fleming) where she covered all areas of the business on a region-wide basis. Before this, she was Regional Brand and Communications Senior Executive at Prudential’s Asia headquarters.

Corliss has a Bachelor of Commerce degree from Queen’s University in Canada.

Tel +852 2531 6530
cruggles@asifma.org

Alex Lipton

Senior Executive – Business Development and Communications

Tel +852 2531 6517
alipton@asifma.org

Compliance and Tax

 

Patrick Pang ASIFMA

Patrick Pang

Managing Director – Head of Compliance and Tax

Patrick Pang focuses on ASIFMA’s initiatives in compliance and tax and also works closely with various committees including Fixed Income, Equities and AAMG.

Patrick has over 25 years of industry experience.  He joined ASIFMA from Credit Suisse in November 2012 with a wide range of banking experience spanning 20 years in structured finance products, including aircraft financing, capital structuring, single stock illiquid financing, direct principal investments, and other bespoke financing solutions. Additionally, Patrick possesses a wealth of experience in tax, accounting, legal documentation, transaction execution, and KYC/AML.

Patrick has held roles in the industry such as Director at Merrill Lynch, heading up the APAC Structured Equity Finance & Trading desk; Director at Deutsche Bank and part of the Strategic Equity Transactions Group; and Director at Citigroup, heading up the APAC Global Structured Solutions Desk. Prior to his career in banking, Patrick was a tax professional employed at Price Waterhouse and also a Vice President at Morgan Stanley Tax. He has spent time in the mining industry as well, consulting for a mining company in China.

A Chartered Accountant and Fellow of the Financial Services Institute of Australasia, Patrick also holds a Bachelor of Commerce degree from the University of Melbourne. He speaks English, Mandarin Chinese, Cantonese, and Bahasa Malaysia and Indonesia.

Tel +852 2531 6520
ppang@asifma.org

Channette Chan

Associate – Compliance and Tax

Tel +852 2531 6522
cchan@asifma.org

Equities

 

Lyndon Chao ASIFMA

Lyndon Chao

Managing Director – Head of Equities

Lyndon Chao is Managing Director of ASIFMA’s Equities Division and leads ASIFMA’s Equities Committee, China Capital Markets Committee, Equity Capital Markets Committee and Post Trade Committee to advocate ASIFMA initiatives involving equity markets and post-trade issues in Asia and a range of China access issues.  In addition to these committees, Lyndon also leads a number of working groups such as the China Equities WG, the Listed Warrants WG, Korea Equities WG, Proprietary Trading WG and India Equities Steerco.

Lyndon is a seasoned leader in financial services who before joining ASIFMA built a 26-year career with Morgan Stanley across several markets in the capacity of Managing Director spanning New York, Hong Kong, Beijing, Taipei and Shanghai, mostly serving as COO.  Lyndon was also seconded by Morgan Stanley both to CICC for its initial launch as well as to CIC as a senior consultant.  He then joined UBS to build a Shanghai Business Solutions Center as Managing Director/General Manager and, prior to ASIFMA, he acted as Senior Advisor to Seikowave, a 3D imaging tech startup focused on disruptive technologies for the energy sector.  He also serves on the Board of the Shanghai American School.

Born in Taiwan and raised in the US, Lyndon is fluent in English and Putonghua.  He has an Executive MBA from the J.L. Kellogg Graduate School of Management, Northwestern University and Hong Kong University of Science And Technology (joint program with Kellogg) as well as a Bachelor of Science in Electrical Engineering degree from Northwestern University. 

Tel +852 2531 6550
lchao@asifma.org

Daniel Wong

Associate – Equities

Tel +852 2531 6551
dwong@asifma.org

Rajdeep Rathi

Senior Manager- Head of Events

Tel +852 2531 6523
rrathi@asifma.org

Events and Conferences

 

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Millie Hung

Senior Manager- Head of Events

Tel +852 2531 6531
mhung@asifma.org

Cherry Cheung

Senior Executive – Event Marketing

Tel +852 2531 6532
ccheung@asifma.org

Flora Fung

Senior Executive – Event Operations

Tel +852 2531 6533
ffung@asifma.org

Fixed Income

 

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Rebecca Weinrauch

Executive Director – Head of Fixed Income

Rebecca is the Executive Director, Head of Fixed Income for ASIFMA.  She leads the organisation’s fixed income initiatives for its 100+ member firms across the region.

An American lawyer and experienced executive team member, Rebecca has served in General Counsel, COO, and other executive or other leadership roles in KCG Holdings (GETCO), Bank of America, Prudential Financial, Credit Suisse First Boston, and Grasshopper. She was regularly brought in to outline and realize corporate visions, find and secure business development opportunities, build from-scratch business platforms, “right the ship” during internal crises, and create forward-looking compliance platforms that serve as business facilitators.

Rebecca has utilized legal and business acumen to propel organizations forward, make risk-aware decisions, and help build successful business strategies. With more than 20 years in the international finance hubs of U.S. and Asia, she has deep experience with proprietary trading (including HFT market making and other proprietary strategies), investment banking, commercial banking, and asset management platforms and products. She has also built strong relationships with regulators throughout Asia.

More than a traditional corporate lawyer, Rebecca supports business growth opportunities opened by emerging markets, emerging technology, and changing market conditions. She is known for balancing franchise protection, corporate exposure, business mandates, and executive leadership while meeting legal and regulatory obligations. She has also overseen major change and high profile, high risk matters.

Rebecca is a frequent lecturer and speaker on best practice compliance and risk management programs, and handling internal investigations, high profile government investigations, and whistleblower claims. She is also an active member of her community, including serving as a member of the Johns Hopkins Advisory Board.  She graduated from the Benjamin N. Cardozo School of Law and Johns Hopkins University.

rweinrauch@asifma.org

Clement Kwan

Associate – Fixed Income

Tel +852 2531 6519
ckwan@asifma.org

FX

 

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John Ball

Managing Director – Global FX Division – Asia Pacific
GFMA

John Ball is Managing Director of the GFMA’s Foreign Exchange Division and is closely associated with ASIFMA in Hong Kong.  He has more than 25 years’ experience of working in the industry in a number of different roles associated with FX and other derivative asset classes.

John joined the Global FX Division from Barclays Bank in August 2015.  He was at Barclays in London for over 5 years where he was part of the FICC COO team with a focus on FX and covered a number of areas but focused on the regulatory agenda in the US, EU and Asia and its impact on the business.  During this time he was actively involved in advocacy and responding to proposed regulation as well as designing and implementing solutions to meet new requirements.

Prior to Barclays, John was a Managing Director at Citigroup in London where he worked as the Regional Head of Global Markets Operations, EMEA, and spent 10 years with Standard Chartered Bank in Singapore where his last role was as Head of Wholesale Bank Operations covering both financial markets and transactional banking products.

John began his working career as a graduate engineer for British Steel before moving to Price Waterhouse Coopers.  He is a Chartered Accountant and holds a Bachelor of Science degree from the University of Birmingham in the UK.

Tel +852 2531 6512
jball@gfma.org

Policy and Regulatory Affairs

 

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Matthew Chan

Executive Director – Head of Policy and Regulatory Affairs

Matthew is based in Hong Kong and leads the association’s policy and regulatory initiatives throughout the region for its 115-plus member firms, which comprise banks, asset managers, professional services firms and market infrastructure providers.

Matthew has 20 years of experience across financial services, B2C and B2B brands, government, technology operations, and market infrastructure.  He has led and transformed teams in the UK and Asia Pacific, with responsibility for managing and growing businesses across diverse locations and cultures, strategy development and execution, navigating market structure change, regulatory affairs, operational risk management, and provision of fintech and regtech-based services.  Previously, Matthew was Executive Director – Head of Institutional Trade Processing (APAC) at the Depository Trust & Clearing Corporation (DTCC) and prior to that was Director, Corporate Strategy (Global) & Head of Strategy and Marketing (APAC) for Omgeo, an international joint venture between DTCC and Thomson Reuters.  He has also held corporate planning and strategy roles at PepsiCo International and Cadbury plc.

Matt graduated with a Master of Commerce degree from the Australian School of Business in 2004, and Bachelor of Engineering and Bachelor of Arts (Political Science) degrees from UNSW, Australia in 1998. In 2016, Matt completed the Asialink Leaders Program which brings together leaders from the corporate and government sectors to foster knowledge, skills and networks for effective business engagement across Asia Pacific.

Matthew holds British and Australian citizenship and qualified as a Graduate of the Australian Institute of Company Directors (GAICD) in 2018.

Tel +852 2531 6560
mchan@asifma.org

MJ Park

Analyst – Policy and Regulatory Affairs

Tel +852 2531 6561
mjpark@asifma.org