The One Team

Professional Bio:  A seasoned leader with nearly 20 years of experience in the financial and compliance industry, as well as the co-founder of ComplianceOne.

In 2007, Tao joined Haitong International (was known as “Tai Fook Securities”), where he gained extensive operational and management experience across various departments. He holds a BSc in Business Administration and Finance from University of Kansas.

With a deep understanding of compliance requirement set by regulatory bodies such as the SFC, IA, Customs, and other government agencies. Tao excels in designing strategic plans, providing tailored compliance advice, and offering operational solutions for FIs.

Under Tao’s leadership, ComplianceOne has served nearly 1,000 FIs from diverse backgrounds, including SOEs, Securities Firms, AMCs, Listed Companies, Insurance Companies, Money Lenders, MSOs and DPMS.

Tao has also been instrumental in developing compliance technology solutions such as MoneyOne Exchange System and Screen-X AML/CRM Solutions, providing innovative services to meet the needs of FIs.

Professional Bio:  An experienced compliance professional with a strong focus on the SFC-related compliance sector. Tommy possesses extensive expertise in managing large-scale projects in the financial industry.

After graduating from the University of Dublin in Business Studies, Tommy joined ComplianceOne in 2018. With years of hands-on experience working with licensed corporations and the SFC, he has an in-depth understanding of SFC guidelines & codes, Fit and Proper Guidelines , SFO, AMLO, Fund Manager Code of Conduct and other relevant regulations.

Tommy excels in structuring organizational frameworks and streamlining operational processes for license FIs. He is adept at establishing review protocols, assessing policies and documentation, implementing controls and providing corrective measures to rectify deficiencies or non-compliant practices. His deep expertise in regulatory compliance for licensed corporations is highly regarded.

Tommy has led his team in providing consultancy services to hundreds of clients, assisting dozens of licensed corporations with ongoing compliance support and operational matters such as independent reviews, dealing with on-site inspections, license applications and other FIs license-related matters as required by the SFC.

Professional Bio:  Sam Huang graduated from Peking University's Law program in 2008. Over the past 20 years, he has been involved in various types of enterprises, handling various types of financial services, including private equity investments, financing, management, and exits.

At the same time, Sam also has experience in managing companies and has previously managed a team of 100 people. He was primarily responsible for overall planning, architectural design, personnel arrangements, daily administrative tasks, and marketing for the company.

Sam has a background in both mainland China and Hong Kong, and has a deep understanding and knowledge of the development of the financial industry in both regions.

Professional Bio:   Graduated with a Master of Economics, Edwin Chu began his career in the finance industry back in 1995.  He had taken roles in senior management in several licensed corporations, and had acquired extensive experience in operation, compliance and risk management.  With 25 years of hands-on experience, Edwin is particular specialized in applying the compliance and operation knowledge to practical uses. 

Professional Bio:  Graduated with a MBA from University of Macquarie, Divina Yam started her career in an IT team of an investment bank, and was later promoted to join the finance team as AVP specialized in compliance and internal; Divina is versatile in revamping overall operation in property and insurance business, establishing new business in trusting service, private funds; and is specifically well-versed in advising and developing corporate finance activities such as CDs, bonds, due diligence and compliance field.

She has also been Responsible Officer for RA1, 4, 9 licensed corporation, Head of Legal and Compliance department for RA6 licensed corporation for years. Divina has also been the Head of Legal and Compliance for a licensed Insurance Broker company.

Projects that led by Divina includes setup insurance brokers from scratch and apply appropriate licenses, conduct mock inspections, uplift licenses, establish compliance scheme of performing dual licenses, and re-organize and amend customers’ manuals and compliance policies.

Professional Bio:   Graduated with a degree of sociology in the University of Hull in 2016, Bobo now has co-handled dozens of MSO Licensing cases since she joined the company. Her focus lies on applying Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) to provide consultancy services to clients.

Professional Bio:   Graduated from the University of Hong Kong, Ivan Lo began his career as a surveying professional. He served as the Executive Director of the Institute of Compliance Officers (ICO) from 2017–2021, assisting ICO in its efforts to expand its business development and assist licensed corporations in complying with the regulatory compliance requirements. He has conducted over 50 online and offline seminars and organized four 36-hour financial compliance training courses for over 200 students. In 2020, Ivan successfully co-organized three financial compliance courses with the School of Continuing and Professional Education (SCOPE) of the City University of Hong Kong. Two courses were recognized by the Hong Kong Qualifications Framework (HKQF) at Level 5 (university level) and one course at Level 4 (associate degree level). 

Ivan is now concentrating his efforts on providing anti-money laundering consulting and independent external audit to licensed money lenders. He is well-recognized by the industry for having established anti-money laundering internal procedures.