AIMA Hong Kong Seminar: Updates On Latest SFC PB Circular

Hong Kong

AIMA invites you to attend an educational event on the latest SFC PB circular on Tuesday, 17 September 2019.

On Jun 10 SFC issued a circular which sets out the standards of conduct and internal controls the SFC expects of prime brokers, financial institutions providing prime services or those that are conducting related equity derivatives activities in Hong Kong.

In this dialogue sharing session, our panel of expert speakers will examine an overview of the prime services industry landscape in Hong Kong and share industry practices.


Speakers Biography:

John Timms, Head of Funding, APAC, UBS AG

John has been a part of the UBS Global Financing Services team since 2005 with tenures in London, New York and, since 2011, Hong Kong. John previously led the Asia Pacific risk management and portfolio pricing team before transitioning into his current role as head of funding and financial resources. John holds an undergraduate degree in History and Politics, an MBA in Finance, and is a CFA charter holder as well as a qualified Financial Risk Manager.

Ken Hon, Head of Prime Products and Trading, APAC, Credit Suisse

Mark Thatcher, Head of Prime Services Risk Asia, Goldman Sachs

Mark is the Head of Prime Services Risk Asia-Pac. Mark has been with Goldman for over 5 years and in PB risk in Hong Kong for over 12 years previously working at other Prime Brokers. Prior to working in Prime Brokerage Mark qualified as a Chartered Accountant in London in 2004.


Katherine Abrat, Chief Operating Officer, Arkkan Capital Management 

Katherine is the Chief Operating Officer, Arkkan Capital Management Limited, having joined the firm from Goldman Sachs Prime Services in April 2018.

Prior to joining Arkkan she was Managing Director and Head of Prime Services Consulting Asia Pacific for Goldman Sachs between June 2010 and January 2018.  Katherine has 16 years of Asian hedge fund experience and has lived and worked in Hong Kong since 2002 gaining extensive experience working with both Asian and global hedge funds to build and grow their businesses in Asia Pacific.

Katherine is Chair of the Alternative Investment Management Association (AIMA) Hong Kong, serves as a member of its Executive Committee and co-headed the Regulatory Committee from 2012-2018.

Katherine also serves as a member of the Securities and Futures Commission of Hong Kong’s Product Advisory Committee, by invitation.

In 2015 Katherine was an inaugural Hong Kong committee member of the Hedge Funds Care Hong Kong chapter, and she was appointed as an inaugural member of the University of Melbourne’s Asian Advisory Board in 2016.

Katherine earned a BSC and an LLB (Hons) from the University of Melbourne in 1998 and is admitted to practice law in the Supreme Court of Victoria and the High Court of Australia.



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