Yvonne Mok, SFC

Yvonne Mok

Director, Intermediaries Supervision
Securities and Futures Commission of Hong Kong (SFC)

Ms Yvonne Mok is a Director of the Intermediaries Supervision Department at the SFC. She joined the Department back in June 1989 fresh from London where she had worked as an auditor at KPMG, London, specialising in the financial services industry.

Throughout the years, Yvonne has accumulated great market and regulatory knowledge and learnt to apply them when helping to formulate policies governing intermediaries.  Recently she has turned her attention to IT-related matters, such as

a) cybersecurity, which covers

  • i) conducting a series of thematic reviews since 2013 and
  • ii) issuing the Guidelines for Reducing and Mitigating Risks Associated with Internet Trading in 2017 which, among other things, mandate two factor authentication for system login; and

b) data analytics, where her team has for some time been performing limited data analysis on a trial basis when conducting onsite inspections of selected investment banks with encouraging results. Her latest effort is the data analytics project working with external consultants which involves

  • i) formulating a strategic roadmap of deploying advanced data analytics to facilitate technology-enabled supervisory procedures; and
  • ii) developing a common industry standard, in close collaboration with the industry, prescribing the content and format of trading related data to be kept by firms, which can be easily uploaded to the SFC’s platform for testing of compliance with business conduct requirements such as best execution.
Patrick Pang, ASIFMAJames Phillips, VERMEG