Tom has extensive experience providing audit and advisory services to KPMG’s global banking, securities and asset management clients. He started his career with KPMG London and joined KPMG’s Hong Kong office in 2002.
Tom leads the Capital Markets side of KPMG’s Financial Services Regulatory Centre of Excellence for the Asia Pacific Region. He has worked with a number of clients to help them assess the impact of new capital requirements and the global OTC derivative reforms. Tom is “subject matter expert” on current and proposed trade reporting and clearing requirements across a number of Asia Pacific locations. Tom led a major advisory engagement for a regional regulator on the local implementation of the global OTC derivative reforms and on revisions to the securities legislation and has advised a number of regulators in the region on this area. Tom has advised a number of investment banks in connection with improvements to internal controls over their Asia Pacific equities and fixed income businesses.
Tom is also familiar with banking and securities regulations including Basel II, Basel III, and capital regimes for financial intermediaries in Hong Kong, Singapore, Australia, the United States and the United Kingdom.
Projects undertaken by Tom include statutory audits, regulatory compliance reviews, special investigations, GAAP conversion projects, internal audit assignments, SOX compliance work, internal controls review and improvement projects and market entry projects. Tom is familiar with the front to back office processes and internal controls over all major types of banking and securities business with a particular focus on investment banking operations. He has knowledge of financial instrument accounting under both IFRS and US GAAP.