PERSONAL INFORMATION

Name

:

Alfred WONG Teck Chit (王德捷)

Citizenship

E-mail Address

:

:

Singapore Citizen

adrd70@r.postjobfree.com / adrd70@r.postjobfree.com

Singapore Passport / NRIC

:

K1678773K / S1733632J

HK ID (HK Permanent Resident)

:

R 606481 (6)

Marital Status

:

Married (have 3 children: 24yo, 22yo, 20yo)

Contacts:

Hong Kong Mobile (852-****-****

Singapore Mobile (65) 9789-5792

China Mobile (86-139-*****-***

IMPORTANT CAREER CORPORATE MILESTONES ACHIEVED THROUGHOUT WORKING HISTORY

Over 30 years of regional (HK, PRC, Singapore) work experience, held key positions/offices of <1> Managing Director, General Manager, Chief Investment Officer (CIO), Head of Asset Management, <2> Authorised Public Fund Manager (Singapore, PRC, HK), <3> QDII Fund Manager (PRC), <4> Hedge Fund Manager, <5> Director, Portfolio Management, Private Banking <6> Investment Analyst, <7> Management Consultant, <8> Accountant, <9> Auditor.

High cultural adaptability, competence, worked and managed teams in Singapore, Hong Kong and PRC. Extensive international network/resources. See overleaf.

Team Leader (managed department/teams of 10-15 people) as well as Individual Contributor. Pioneering start-up work experience, team building, groom juniors etc.. See overleaf.

Impressive consistent investment track record: Multiple (13) Award winning Authorised Public Fund Manager in Multiple Categories (Singapore Investment Fund Award, Morningstar, The Edge-Lipper Singapore Unit Trust Award) in Multiple Years (2001-2007). See Appendix 1.

Proven (audited, public) consistent top quartile track record in both bull & bear markets, managing Benchmark Funds, Absolute return Funds, Equity Funds, Fixed Income Funds, Global mandates, Asia mandates & Sector mandates etc. See Appendix 2.

Demonstrated proven ability to lead, grow a very profitable and prominent Business unit. Grew Flagship fund’s assets under management (AUM) size 20-fold. Funds marketed multiple platforms: Citibank, Standard Chartered, Fundsupermart, Aviva, CIMB-GK, Providend, DMG, Phillip Securities, Hong Leong Finance, ICBC, Agricultural Bank, Bank of Communication etc. Funds sold regionally in multiple countries Singapore, Malaysia, Taiwan, PRC, Taiwan, Korea etc. See overleaf.

Experience launching (5 Funds) and managing (7 Funds) Authorised Public Funds (Benchmark, Absolute, Equity, Bond) in all 3 jurisdictions/countries: Singapore MAS, PRC CSRC, HK SFC. Licensed Representative by HK SFC, HK MA, Singapore MAS & PRC CSRC. HK SFC Responsible Officer (RO, unconditional, sole) for Type 4 & Type 9 activities. HK SFC Key Investment Personnel (KIP) & Approved Person (AP) for launch of HK SFC Authorised Public Funds. See overleaf.

Renowned Global Academic Qualifications & Professional Accreditations (USA, UK, Australia, Singapore, HK, PRC): BCom, CPA, MBA, CFA. Appendix 3.

Goodwill media publicity. Besides tangible profits, also earned valuable intangible benefits, raise corporate profile & created substantial corporate milestones for the firms I worked for. Appendix 4.

Multiple Linguist, Language competence: Write & Speak (2) English & Putonghua/Mandarin; Speak (5) Dialects: Hainanese, Cantonese, Hokkien, Teochew, Malay.

REGIONAL WORK EXPERIENCE (OVER 30 YEARS: HK, PRC, SINGAPORE)

Period

Name of Organisation / Position Held

Jan 2018 – current

Zenith Innovation Financial Group Limited (previous Way Fook International Group Limited) /

Pearl River Finance Holdings Limited

Executive Director (ED), General Manager (GM), Chief Investment Officer (CIO), RO

Major Responsibilities / Achievements

Zenith is a licensed and regulated by HK SFC entity for Type 4 (Advising on Securities) and Type 9 (Asset Management) activities. SFC CE. No. AWI430. She has also a sister company Grand Fortune Allied Company Limited who is licensed and regulated by HK SFC entity for Type 1 (Dealing in Securities) activities, SFC CE. No BLI355. Both Way Fook & Grand Fortune are wholly owned subsidiaries of holding company Pearl River Finance Holdings Limited, PRC family office headquartered in Guangzhou. There are plans to also add on a SFC Type 6 (Corporate Finance) licensed activities, SFC Type 2 & 5 (Futures) licenses activities, Money Lending, Insurance business etc. All with intention to list holding company Pear River Finance Holdings Limited, within the next 3 to 5 years on the HKEx Main Board.

Worked with consultant CompliancePlus to apply SFC licenses for Zenith (Way Fook), high efficiency, secured AIP ahead of schedule SFC own performance standards.

HK SFC Responsible Officer (RO, sole, unconditional) and Licensed Representative (LR) for Type 4 (Advising on Securities) & Type 9 (Asset Management). HK SFC Central entity number: AWF438

ED / GM / CIO / RO managed a 7-10 person Zenith department team; overseeing Portfolio Management, Research, Trading, Risk Management, Product Design & Marketing.

Managed to set up a Cayman (CIMA) Private Fund, Segregated Portfolio Company (SPC)/SP1: Zenith Innovation Investment Fund SPC (ZIIF) / Zenith New Economy Investment Fund SP. Int’l Lawyer King & Wood Mallesons, Cayman Counsel: Walkers. Fund Administrator/Custodian: DBS. Auditor: RSM Cayman

CIMA SPC/SP2: ZIIF SPC / Pearl River Zenith Global Private Equity Fund SP. Int’l Lawyer: Allbright, Cayman Counsel: Harney, Custodian: SPDB, Administrator: Avia Fund Services. Auditor: RSM Cayman.

CIMA SPC/SP3: ZIIF SPC / Zenith Global Gems Fund SP (work-in-progress). Int’l Lawyer: Stephenson Harwood, Cayman Counsel: Walkers, Administrator: Avia Fund Services, Custodian: DBS, Auditor: RSM Cayman

CIMA GP-LP: Great Wall Zenith Innovation Special Situation Investment Fund, L.P. Int’l Lawyer: Paul Hastings, Cayman Counsel: Ogier, Custodian: DBS, Administrator: Apex Fund Services. Auditor: Ernst & Young.

Discretionary Managed Account. EAM/IAM. Collaboration with CICC, CITIC, Bank of S’pore, BOC, Guotai Junan, Astrum etc.

Other business: <1> Private Funds: (a) Pre-IPO Fund (b) Quantitative Artificial Intelligence Fund <2> Discretionary Portfolio Management <3> Financial planning (Retirement planning, Children Education planning, Estate & Succession planning, Trust services), <4> Insurance (Life insurance, Critical illness, Medical insurance), <4> Corporate Services (Corporate administration, Accounting & Tax planning, Corporate Investment planning, Group Insurance), <5> Others (MPF, Property Mortgage & Refinancing, CIES)

General Manager (GM) of Pearl River Finance Holdings Limited which will roll out group’s ambitious plan for a fully integrated financial platform in HK. Responsible for setting up whole HK office from scratch: application & securing SFC licenses, liaison with business associates: Regulators (SFC, HKEx), Consultants (CompliancePlus, ComplianceDirect), Bankers (Wing Lung Bank, DBS), Lawyers (King & Wood Mallesons, Stephenson Harwood, Allbright, Kwok Yik Chan, Walkers, Harney), Auditors (BDO, RSM, Ernst & Young, General); seek office premises, renovation, setting up hardware & software solutions, hiring of staff, compliance, office system in place etc.

Liaison with Headquarters in Guangzhou.

Tasked to build the regional Asset Management business. Potential joint-venture with overseas Asset Management business: PRC, South East Asia, Japan, US, Europe, Middle East etc. using the unique footprint niche competitive advantage of each joint venture partner.

Reasons for Leaving:

Period

Name of Organisation / Position Held

Dec 2016 – Nov 2017

W. Falcon Asset Management (Asia) Limited

Executive Director (ED), General Manager (GM), Chief Investment Officer (CIO), RO

Major Responsibilities / Achievements

W Falcon is a licensed and regulated by HK SFC entity for Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) activities. It is a member of the Professional Insurance Brokers Association (PIBA Membership No.: 0163), and a registered intermediary with Hong Kong Mandatory Provident Fund Scheme Authority (MPFA, Membership No.: IC000405).

Core business: <1> Investment services (Private Banking advisory, Unit trust & Mutual funds, Offshore investment, Asset Management, Discretionary Portfolio Management Services, Alternative investment, Pre-development Land investment), <2> Financial planning (Retirement planning, Children Education planning, Estate & Succession planning, Trust services), <3> Insurance (Life insurance, Critical illness, Medical insurance), <4> Corporate Services (Corporate administration, Accounting & Tax planning, Corporate Investment planning, Group Insurance), <5> Others (MPF, Property Mortgage & Refinancing, CIES)

Alliance & Partners: Aviva, AXA, Bupa, Friends Provident International, Generali International, iFast Financial, QBE, Skandia International, Sun Life Financial, Walton, etc.

ED / GM / CIO managed a 9-person Asset Management HK department team; overseeing Portfolio Management, Research, Trading, Risk Management, Product Design & Marketing.

HK SFC Responsible Officer (RO, sole, unconditional) and Licensed Representative (LR) for Type 4 (Advising on Securities) & Type 9 (Asset Management). HK SFC Central entity number: AWF438

Tasked to build the regional Asset Management business. Potential joint-venture with overseas Asset Management business: PRC, South East Asia, Japan, US, Europe, Middle East etc. using the unique footprint niche competitive advantage of each joint venture partner.

Reasons for Leaving: Better prospects. I worked with a consultant CompliancePlus to apply SFC Type 9 & Type 4 licenses for a PRC Family Office: Zenith (Way Fook) / Pearl River. Obtained SFC licenses efficiently, ahead of scheduled timeline. See above.

Period

Name of Organisation / Position Held

Apr 2015 – Mar 2016

Yue Xiu Asset Management Limited (YXAM), HK

General Manager (GM) / Chief Investment Officer (CIO) / Managing Director (MD)

Major Responsibilities / Achievements

Yue Xiu Group is the largest state-owned enterprise in Guangdong/PRC, total assets 400 billion RMB. In HK, they are have the following SFC regulated entities: Yue Xiu Asset Management, Yue Xiu Securities & Yue Xiu Futures. YX Group also have listed entities: Yue Xiu Property (123 HK), Yue Xiu REIT (405 HK), Yue Xiu Transport Infrastructure (1052 HK) & Chong Hing Bank (1111 HK)

GM / CIO / MD managed a 10-person Asset Management HK department team; overseeing Portfolio Management, Research, Trading, Risk Management, Product Design & Marketing.

Board Director (1 of 3) of YXAM. Hired with directive to internationalise YXAM. Grow YXAM’s AUM, raise profitability, public profile of YXAM. In charge of Asset Management Department, given PnL responsibilities. Ready YX Securities Holdings (YXAM) for public listing on Main Board of Stock Exchange of HK.

AUM US$ 600 million, Onshore & Offshore Mandates/Funds: Cayman registered (CIMA) Private Funds, Equity Funds, Balanced Funds, CIES Funds, Absolute returns, RQFII Funds, Discretionary Portfolio Management, Private Equity etc.

HK SFC Responsible Officer (RO, sole, unconditional) and Licensed Representative (LR) for Type 9 (Asset Management) & Type 4 (Advising in Securities). HK SFC Central entity number: AWF438.

Assist Company to apply obtain promptly Type 4 (Advising on Securities) licensing activities, in capacity of Responsible Officer (RO).

Liaison & familiar with HK SFC, Lawyers (Deacons, Baker & McKenzie, Appleby, Zhonglun, Simmons & Simmons, King & Wood Mallessons), Auditors (PWC), Administrators (Intertrust, Apex) and Consultants (Mazars).

Assist Company to utilise SAFE’S RQFII RMB 1 billion quota. Explore familiar with QDII, RQDII, QDIE, QFLP.

Assist Company to organise whole Asset Management Department up to industry standard to ready for HK SFC Audit.

Pre-market to secure a Long-short A-H Equity Fund mandate with Otkritie Bank. One of Russia’s largest Private Bank with Assets of 56 billion USD, 3 billion USD in Private Individual Accounts.

Pre-market a Yue Xiu Fixed Income Leverage Fund with varying investor classes/return: preference class with fixed rate return vs subordinated class with floating rate return.

Pre-market a Yue Xiu Tsing Yuan Venture Capital Fund to invest in PRC companies: pre-IPO, growth, angel stages.

Pre-market an Infrastructure Fund along the ‘One Belt One Road’ / ‘New Silk Road’ theme with Russian partners (ICDI, FCPF) & YX Transport Infrastructure.

Assist Company to launch HK SFC Authorised Public Fund to be sold through Yue Xiu’s subsidiary Chong Hing Bank & other Distributors.

Assist Chong Hing Bank to offer Discretionary Portfolio Services to their High Network Individuals.

Assist Company to grow International business, secure strategic partners in Malaysia (Kenanga Investors Berhad), US, Europe, Japan, Middle East etc. In Malaysia, as YXAM representative, delivered keynote address as well as signed a Strategic Co-operation Agreement (SCA) with Kenanga to explore joint Asset Management opportunities.

Reasons for Leaving: As introduced by Headhunter, I accepted an offer from Company A, contract signed by both parties. During my resignation notice period, Company A had some restructuring & informed Headhunter to cancel the offer. All these can be verified – signed contract as well as Headhunter to ascertain these events.

Period

Name of Organisation / Position Held

Nov 2014 – Mar 2015

Coutts & Co Ltd, HK / Director, Portfolio Management, Investment Office

(Tailor Portfolio Management Services: Investment Adviser/Consultant/Portfolio Manager)

Major Responsibilities / Achievements

Coutts & Co was part of the Royal Bank of Scotland (RBS) group, which was eventually sold to UBP Asset Management.

Discretionary Portfolio Manager for HNIs/PIs/AIs, Trusts, Association, Charitable Organisations, Religious Bodies, Family Offices, CIES (Immigration) etc.

Manage ~ 20 Discretionary accounts, AUM~ US$ 100 million. Clients: Expatriates (UK, Australia, South Africa, US etc.), HK, PRC, Singapore, Malaysian, Taiwan, Corporates.

Mandates: Conservative, Balanced, Aggressive, Customised. Successful pitch, won Global Balanced mandate.

Familiar with Multi-Asset Classes: Equity, Equity Funds, Fixed Income, Fixed Income Funds, Alternatives Hedge Funds, Commodities, Indices, Structured Products; used in Portfolio construction, balancing return & risk to achieve Client’s mandates.

Familiar with Avaloq Portfolio Management System: Trading, Portfolio construction, Risk Analytics, Performance attribution.

Member of Coutts TPMS Board (meets fortnightly): Product/Funds selection, Asset allocation, Security selection, Risk management.

HK Monetary Authority (HK MA) License Representative (LR): Type 1 (Dealing in Securities), Type 4 (Advising on Securities), Type 9 (Asset management). Registration number assigned by HKMA: AG 5667

Reasons for Leaving: Joined Coutts as I wanted to gain work experience in real Private Banking / Wealth Management setting. Pending announcement of Coutts sale by Royal Bank of Scotland, lots of staff departure in Discretionary Portfolio Services and Private Bankers. Uncertainty of new Owner’s intention, integration risk. Had opening to return to Asset Fund Management industry, resume CIO position, in-charge grow PRC State Enterprise subsidiary’s Asset Management business.

Period

Name of Organisation / Position Held

Oct 2011 – Mar 2014

Shenwan Hongyuan Asia Management (Asia) Limited (previous Shenyin Wanguo Asset Management (Asia) Limited)

Chief Investment Officer (CIO) / Head of Asset Management

Major Responsibilities / Achievements

Shenyin Wanguo Asset Management (SWAM, now renamed as Shenwan Hongyuan) is licensed and regulated by HK SFC for Type 4 (Advising on Securities), and Type 9 (Asset Management) and wholly owned by SWS. Shenyin is one of the earliest and prominent 4 Chinese Security Houses alongside CICC, Haitong Securites and Guotai Junan Securities. SWS is also licensed and regulated by the HK SFC for RA 1 activities (Trading in Securities) and for RA 6 activities (Advising on Corporate Finance).

CIO managed a 15-person Asset Management HK (12) & PRC (3) team; overseeing Portfolio Management (Mandates Indices Relative return: HSCEI, MSCI Golden Dragon, ChinaBond Fullprice Composite, SHCOMP, SHSZ300. Absolute return. Asset class: Equity, Fixed Income, Balanced Funds etc.), Research, Trading, Marketing & Product Design, Risk Management etc. SWAM had HK SFC Audit in Oct 2012 and EY FY 2012 Audit, no issues found, testify of well run HK SFC Authorised Public Fund, Asset Management set-up.

HK SFC Responsible Officer (RO, sole, unconditional) and Licensed Representative (LR) for Type 4 (Advising on Securities) & Type 9 (Asset Management). HK SFC CE No.: AWF438

SWAM AUM US$700 millon, (prior my tenure was US$300m) comprising HK SFC Authorised Public Funds, Private Funds (CIMA), Institutional, Advisory, Discretionary Portfolio Management and Immigration Funds etc.

Investors: Institutional, Professional Investors (PIs), Retail. Client base: HK, PRC, Taiwan, Japan, Korea, Asia etc.

Key Person & Registered (Launch) Fund Manager for SWAM’s (1st) 2 HK SFC Authorised Public Funds: (1) SW RMB Mainland Investment Fund, RQFII Fund, (Bond & Equities) & (2) SW China Policy Focus Fund (Equities).

SW RMB Mainland Investment Fund (RQFII). <1> Last 2 years, RQFII consistently achieved top 1/3 percentile in ranking (amongst 21 peers), Markowitz Efficient Frontier North-West quadrant. <2> Unbroken record since Fund launch, 7 consecutive quarters of dividend payment, dividends all paid out of earned income (not capital).

SW China Policy Focus Fund (CPF). <1> FY 2013: CPF +11% (vs HSCEI -5%). FY 2012 (March to Dec): CPF +10% (vs HSCEI -1%). <2> CPF obtained prompt approval HK Immigration Capital Investment Entrant Scheme (CIES) status, testimony of its consistency, good risk-adjusted returns.

Reasons for Leaving: Finished work assignment (in 2.5 years vs projected 3-4 years) given by ex CEO (HKer). Change in Management. New CEO (PRC) wants ‘new blood, transfusion, loyalty’. Departure/Replacement many/all Head of Department.

Period

Name of Organisation / Position Held

Dec 2010 – Mar 2011

Galaxy Asset Management (HK)

Managing Director / Hedge Fund Manager

Major Responsibilities / Achievements

Galaxy is one of the first alternative investment companies established in Hong Kong, started in 1998. Focus on Greater China with over USD 1 billion assets under management in 2007.

Galaxy is licensed and regulated by the HK SFC for RA 4 (Advising on Securities), RA 5 (Advising on Futures Contracts) and RA 9 (Asset Management), and is also licensed as a manager of mutual fund under the Mutual Funds Acts, 1996 of the Territory of the Virgin Islands. Galaxy Capital Limited also has HK SFC RA 6 (Advising on Corporate Finance).

Galaxy has offices in Hong Kong and Shanghai. Galaxy’s has 26 professionals, 17 people in investment team and 9 people in the marketing / middle office team.

Galaxy won accolades: (1) AsianInvestor 2010 Hedge Fund – Greater China (2) AsianHedge 2009 New Fund of the Year.

HK SFC Licensed Representative (LR) for Type 4, Type 5 & Type 9 licensed activities. HK SFC Central entity number: AWF438

Fund Manager for Galaxy Commodity UCITS (Undertaking for Collective Investment in Transferable Securities) Fund.

Reasons for Leaving: Due to European Debt Crisis market volatility, cornerstone investors who earlier agreed then decided not to fund the project, unable to seed and start Fund.

Period

Name of Organisation / Position Held

Apr 2009 – Nov 2010

GF Fund Management Co. Ltd (Guangzhou, PRC)

QDII Fund Manager

Major Responsibilities / Achievements

GuangFa (GF) is ranked 5th (AUM) amongst 70+ Chinese Asset Management (AMCs) in PRC.

2010 AUMs USD 17.8 bn (formed in 2003 FUMs USD 300 mn, grown in 2007 FUMs USD 20 bn)

GF set up their Global Markets Division which will handle both their future QDII & QFII business.

GF hired me in Feb/Mar 2009, to spearhead their QDII initiative to comply with CSRC’s “1+3” QDII Fund concept. Launch GF’s 1st QDII Product/Fund, support GF’s future QDII &QFII initiatives. CSRC’s “1+3” concept: 1 Fund Manager (mandatory with minimum 5 years of Fund management experience, I’ve got more than 10 years) and 3 supporting Investment Analysts (each with minimum 3 years of Analysts experience.) to form a QDII team.

Due diligence for GF’s 1st QDII Product/Fund: feasibility study of various Fund proposals, preparatory groundwork, liaising with relevant authorities (internal & external) CSRC, SAFE etc.

Bloomberg (POMS/AIMS) Trading & Testing, Settlements etc.

Nationwide Putonghua/Mandarin Marketing: <1> Bank Sales Force (ICBC, AgBank etc.,), <2> High Network Individuals (ICBC, AgBank etc.), <3> Institutional Investors(SIG, GZ Securities, Essence Securities, Haitong Securities, Huarong Securities, Qilu Securities, Guodo Securities, Dongxing Securities, Everbright Securities, BOC Int’l etc.), <4> Interviews with Newspapers, Magazines (China Security Times, Financial Times, Economic Times), <5> TV/Web based (EastMoney, Sohu), etc. During 3 weeks, we managed to raise RMB 543 mn (~US$ 80 millon)

Registered (Launch) Fund Manager for GF’s 1st QDII Fund:. Guangfa Asia Pacific Ex Japan Selective Equity Fund (Bloomberg: GFAPXJS CH) 广发亚太 除日本 精选股票型证券投资基金 基金代码 270023 . B/m: MSCI AC Asia Pacific ex-Japan Index. 1st Singaporean QDII Fund Manager.

Reasons for Leaving: Headhunted (2x offers) back to HK, better career prospects.

Period

Name of Organisation / Position Held

Oct 2007 – Dec 2008

Unifund International (Hong Kong)

Hedge Fund Senior Portfolio Manager (Public & Private Equity)

Major Responsibilities / Achievements

Unifund is a Swiss based Family (Egyptian, Said, Oxford-Said Business School) Office, operates like a Hedge Fund. FUM US$5bn. Group Strategy: <1> Public Equity <2> Private Equity. Head Office: Geneva, Switzerland. Satellite offices: HK, Beijing, NY, Bangkok, Sao Paolo, Riyadh, Moscow.

Public Equity Strategy: <1> In-House manage Portfolios employ (a) Equity Long/Short, (b) Equity Market Neutral (c) Event-driven, (d) Merger Arbitrage (e) Macro (f) Structured products etc. <2> Use External Managers: Value Partners, Deutsche, ING, ABN, RAB, Atlantis, etc.

Each local office operates as an autonomous unit, own P&L. Staff Bonus formula computed on Absolute return out-performance, formalised on Employment Contract. Bonus payout: ranging from 0/Nil, to maximum payout capped at 4 years of annual compensation package.

Private Equity Strategy Tie-ups: <1> Texas Pacific Group (TPG), <2> Carlyle Group <3> CIC <4> Blackstone <5> Value Partner <6> Bain <7> CVC <8> DLJ <9> Omaha <10> GP Capital etc.

Private Equity Due-diligence <1> Coking Coal project in Inner Mongolia, Nov-Dec 07 <2> Golden Mediatech Blood Cord Bank, Jul-Aug 08

Reasons for Leaving: Financial tsunami, closure of HK office (last outpost, left only Geneva HQ)

Period

Name of Organisation / Position Held

Jan 1996 - Sept 2007

UOB Asset Management (Singapore)

Senior Equity Portfolio Manager

Major Responsibilities / Achievements

Award-winning Equity Portfolio/Fund Manager, Singapore MAS Public Authorised Funds: Won Multiple-Awards (13 Investment Fund Awards) in Multiple-Categories (The Edge-Lipper Singapore Unit Trust Fund Award, Singapore Investment Fund Award, Morningstar) and Multiple-Years (2001–2007). Consistent top quartile track record, test-proven Fund Manager in both Bull & Bear markets. See Appendix 2.

Funds managed: United Gold & General Fund (UGGF), UOB Optimix Contrarian Fund (UOCF), United Global Resource Fund (UGRF) and UOB Optimix Gold & Resource Fund (UOGRF)

Relative return Benchmark: MSCI All-Country (AC) World Free Index (Mgm fee 1.5% p.a.), FT Gold Mines & HSBC Global Mining Index (Mgm fee 1.5% p.a.)

Absolute return mandate: 6% hurdle rate (Mgm fee 1.5% p.a., Performance fee 25%)

United Gold & General Fund (UGGF): Annualised Return 11.4%, Sharpe 0.4x, Sortino 0.6x

<1> Morningstar 4-star Fund

<2> Singapore Investment Fund Awards

<3> The Edge-Lipper Singapore Unit Trust Awards

<4> Lipper Leader Awards: (a) Consistent Return (b) Total Return

<5> Successful turnaround of once ailing/under-performing fund to become an Award-winning Fund.

<6> During 9 years tenure of UGGF: UGGF Out-performed benchmark 7 years out of 9 years.

<7> Successfully re-launched UGGF on 3rd trial/insistence (Gold US$280/oz, US$320/oz, US$350/oz)

<8> Fund launch US$12m, went down to US$7m, when I left it grew to US$150m. Hence grew FUMs more than 20 times, potent cycle: consistent out-performance against benchmark, won investment fund awards, media publicity, marketing road shows (Singapore, Malaysia, Taiwan etc.)

<9> UGGF approved for distribution in multi-countries: Malaysia, Taiwan, Singapore etc. and multi-platforms: Citibank, Standard Chartered, HSBC, CIMB-GK, Phillips, iFAST/Fundsupermart, Navigators-Aviva, Provident, ABN Amro etc)

UOB Optimix Contrarian Fund (UOCF): Annualised Return 33.2%, Sharpe 2.1x, Sortino 2.8x

<1> Morningstar 5-star Fund

<2> Lipper Leader Award: (a) Consistent Return (b) Total Return

<3> In 2005, UOCF is the best performing Global Equity Fund in Singapore. UOCF +35% vs B/m +11%, i.e. Out-performance/Alpha +25%.

<5> UOCF consistent top-quartile performer amongst its peers.

<4> UOCF approved for distribution in Singapore: Citibank, Standard Chartered, HSBC, CIMB-GK, Phillips, iFAST/Fundsupermart, Navigators-Aviva, ABN Amro etc.

United Global Resource Fund (UGRF): Annualised Return 28.8%, Sharpe 1.5x, Sortino 2.1x

<1> My pet project/fund. Managed to launch UOBAM 1st Absolute return ~ Hedge Fund. Hurdle rate is 6% p.a. Management fees 1.5% p.a. and Performance fees 25%.

<2> FY 2007, UGRF +30% vs B/m +6%, i.e. Out-performance/Alpha +24% (huge performance fees$)

<3> Worked with Advertising agencies, create Product Billboard, Newspaper Advertisement, Brochures.

<4> UGRF approved for distribution in Singapore: Citibank, Standard Chartered, HSBC, CIMB-GK, Phillips, iFAST/Fundsupermart, Navigators-Aviva, ABN Amro etc.

UOB Optimix Gold & Resource Fund (UOGRF): Annualised Return 29.8%, Sharpe 1.2x, Sortino 1.8x

<1> The Edge-Lipper Singapore Unit Trust Award

Country Coverage: <1> North & South Asia <2> Australia & New Zealand <3> US <4> Europe

Sector coverage: <1> Financials – Australia, Nordic, UK & Ireland <2> Healthcare & Pharmaceuticals – US, Europe, Australia, Asia. <3> Property – Asia <4> Plantation – Asia

Portfolio/Account Manager/Advisory for High net-worth Individuals (HNWI). I handled 8-15 accounts, ranging from Risk profiles: Conservative, Moderate, and Agggressive. Regular monthly (some weekly) Client interfacing. Maintained good relationship, today still kept in contact, friends (e.g. Dentist, Business Entrepreneur, Datok/Datin, Pastor, etc.).

Worked extensively with UOB Privileged & Priority Banking. Speaking engagement for 3 consecutive years at Client’s Seminar in Singapore & Malaysia. I spoke about investment outlook, strategy, and investment products etc.

Secretary for UOBAM Weekly Strategy Meeting (1998-2003)

Marketing savvy/confident: Speaking engagement: private audience (3 Relationship Managers) to public seminar (300 public audiences), varying sophistication & ability. Grew Flagship Funds Under Management (FUMs) more than 20 times.

Media goodwill publicity for UOBAM: Bloomberg TV, CNBC Asia, Channel NewsAsia, Asian Central Banker, Smart Investor, The Edge, Fundsupermart, New Paper, Business Times, Singapore Tattler etc. See Appendix 4.

Reasons for Leaving: Done all there is to do in Singapore: Won Awards, AUM growth, Marketing etc. Wanted to experience Hedge Fund industry as well as dynamism of Greater China region. Headhunted to HK, Hedge Fund, better career prospects.

Period

Name of Organisation / Position Held

Mar 1995 - Oct 1995

BZW Pacific Union (Singapore) (Barclays de Zoete Wedd)

Investment Analyst

Major Responsibilities / Achievements

Sell-side Investment Analyst covering the Electronics, Engineering & Technology sectors

Build financial models: Profit & Loss Statement, Balance Sheet, Cashflow Statement etc.

Visit Corporates’ and keep abreast of Industry development.

Write Investment Reports on Industry as well as Companies. Make Stock recommendations.

Liaison with Buy-side Analysts as well as Portfolio Managers.

Reasons for Leaving: Wanted to embark on career on Buy-side, Fund Management.

Period

Name of Organisation / Position Held

Dec 1993 - Feb 1995

Ernst & Young Management Consultants

Senior Consultant (Finance)

Major Responsibilities / Achievements

Due-diligence for Corporates desiring to do M&A, undergoing public listing, implement management accountant systems

Merger & Acquisitions (M&As), assess net worth of business.

Financial modeling, profit forecasting etc. for companies desiring public listing on SES.

Implement Management Accounting System (MAS) for Corporates, Government bodies etc.

SAP systems

Won Group Award for Best Project Management.

Reasons for Leaving: Wanted to embark on career on Sell-side, Research/Brokering.

Period

Name of Organization / Position Held

Feb 1993 - Nov 1993

Tri-M Technologies (Singapore)

Accountant Analyst

Major Responsibilities / Achievements

Accountant cum Analyst for Printed Circuit Board Assembly (PCBA) Manufacturing firm

Management accounting: prepare full set of Accounts for Board of Directors

Financial accounting: liaison with Merchant bankers, Lawyers etc. – undergoing public listing exercise on SES Main board.

Reasons for Leaving: Wanted to practice MBA, join Management Consultancy industry.

Period

Name of Organisation / Position Held

Dec 1989 - Jan 1993

Deloitte Touche Tohmatsu (Singapore)

Audit Senior

Major Responsibilities / Achievements

Audit Senior – Audit / Tax / Accounting / Special investigations fraud etc.

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