Josephine is an Of Counsel of Hauzen LLP. She is also the Director of CompliancePlus Consulting Limited where she heads its consulting team with over 20 consultants and analysts. Josephine also leads a research team covering the latest rules and regulatory requirements for mutual funds and hedge funds. Example of previous research projects include AIMA Best Practices and research on latest compliance issues for hedge fund managers.

Josephine was previously the Head of Legal and Compliance for Prudential Asset Management Hong Kong and had oversight of compliance and legal issues of investments for Prudential Asset Management Hong Kong Office (the investment management business of the UK Prudential Group).

With over 20 years of working experience with fund managers in asset management industry and regional exposure on legal issues and regulatory matters in Asia on mutual funds, Josephine is very familiar with licensing requirements of fund management business in the Region and has a complete understanding of the operation, setting up and internal control of a fund house.

Before joining Prudential, Josephine was legal counsel-VP with Citigroup Asset Management covering Hong Kong, Taiwan and Korea funds businesses and retail fund registrations and distribution issues across the region. She joined Citigroup Asset Management from Franklin Templeton Investments where she was a member of their Asia Legal Team.

She is fluent in Cantonese, English and Mandarin.

Education

Josephine obtained her Bachelor of Laws Degree and Postgraduate Certificate in Laws from the University of Hong Kong and subsequently obtained a Master of Laws from the People’s University of China in Beijing.

Experience

Licensing

  • Advising a top-tier hedge fund manager from PRC to obtain SFC Type 4 and 9 license  in Hong Kong.
  • Obtaining SFC Type 4 and 9 license for several hedge fund managers in Hong Kong.
  • Advising on SFC license process for several top tier mainland fund management companies establishing presence in Hong Kong.
  • Setting up of a US$200 million QFII fund domiciled in Korea.
  • Setting up of a Cayman domiciled multi-strategies hedge fund.
  • Advising on starting up of several Hong Kong based hedge fund managers.
  • Advising on a launch of a special situation fund in Asia.
  • Advising on a sovereign fund for establishing presence in Hong Kong handling all the related compliance and regulatory matters.

On-going Support

  • Providing on-going compliance support to a mega hedge fund with assets under management (AUM) of over USD 3 billion
  • Providing tailor-made monthly compliance services to an asset management company with exchange traded funds (ETFs) listed on the Hong Kong Stock Exchange for on-going compliance

On-site Review

  • Conducting a mock SFC visit to a billion dollar hedge fund and providing recommendations on improvement and implementation procedures.
  • Conducting mandated compliance review on behalf of investors on a Greater China hedge fund.
  • Assisting in regulatory review for a US based fund of funds manager.
  • Providing on-site regulatory inspection support to a local hedge fund manager with AUM of over USD 100 million.

Special Projects

  • Designing compliance monitoring plan and updating compliance manual for an established fund of funds manager in Asia.
  • Providing tailor-made compliance training and workshop to one of the world’s leading mutual fund companies with AUM of over USD 300 billion.
  • Assisting in regulatory updates to a leading UK insurance group on SFC regulatory changes.
  • Reviewing compliance manual and operation framework for an established fund of hedge funds.
  • Assisting a hedge fund client in resolving shareholders dispute and handling regulatory issues.
  • Assisting a leading Korean financial group on Chinese wall and handling of price-sensitive information.
Back to top
Privacy Preferences

When you visit our website, it may store information through your browser from specific services, usually in the form of cookies. Here you can change your Privacy preferences. It is worth noting that blocking some types of cookies may impact your experience on our website and the services we are able to offer.

Click to enable/disable Google Analytics tracking code.
Click to enable/disable Google Fonts.
Click to enable/disable Google Maps.
Click to enable/disable video embeds.
Our website uses cookies, mainly from 3rd party services. Define your Privacy Preferences and/or agree to our use of cookies.