Annie Chan has specialized in regulatory and financial crime compliance, forensic accounting and corporate advisory services for over 25 years.

Her specific focus and expertise are in the areas of corporate and fraud investigation, white collar crime investigation, regulatory compliance consulting, anti-money laundering, shareholder disputes, probate disputes, litigation support, insolvency and restructuring. Her experience also includes acting as liquidator, receiver and administrator.

She was previously Senior Manager, Enforcement Division, at the Securities and Futures Commission (“SFC”). She was also a partner and managing director in a Big 4 CPA firm as well as the Forensic and Investigation practice leader for Asia in an international CPA firm.

Annie works closely with attorneys and has been engaged in many diversified assignments. She assisted the audit committee of a US company to perform a forensic investigation into alleged falsification of revenue and business misconduct violating the Foreign Corrupt Practices Act of USA; has conducted investigations for the Board of a multinational company into the local senior management for diversion of company businesses; and has led the investigation into a local London gold financial scam, thereby assisting in the criminal prosecution of the fraudster.

She was engaged by the SFC in various internal compliance projects, she has also assisted various SFC registrants including brokerages, investment managers, corporate financial advisors and investment bankers in regulatory compliance, forensic investigation and internal control review assignments.

Annie was appointed by the financial regulator in Hong Kong to perform on-site AML/CFT inspections on 20 licensed financial corporations in Hong Kong. She performed the inspections and identified deficiencies including non-compliance with the applicable regulatory requirements pertaining to AML/CFT and assessment of the adequacy of AML/CFT compliance programs.

She was appointed by the World Bank to assist a major bank in China to review its AML policies and procedures, giving advice and assistance in planning and monitoring AML reviews and related programs as well as assisting in enhancing its AML programs.

She was retained by a major international bank and the regulator in Hong Kong to conduct a review of and report on its current internal control systems and its procedures and working practices on the Hong Kong Branch in relation to AML/CFT.

She was appointed by leading investment banks to provide AML advisory services. She provided advisory and consulting support to its compliance department for the implementation of the procedures and internal controls on KYC and AML.

In addition, Annie has prepared expert witness reports involving analysis of suspicious financial transactions, false accounting, money laundering activities, securities market misconduct and provision of false information to regulators. She has acted as the expert witness in court involving various major litigations and legal actions. She has also prepared reports on the conduct of company directors for regulators to consider taking legal proceedings on disqualification of directors.

Annie is an accomplished and experienced public speaker. She has made numerous presentations on forensic accounting, fraud investigation, fraud detection and prevention, internal controls, Anti-money laundering and on regulatory updates for clients, solicitors, bankers and accountants.

Annie speaks fluent English, Cantonese and Mandarin.