HKEx appoints David Graham as first Chief Regulatory Officer

Mr Graham will oversee its Listing Division among other functions.

According to a release, Hong Kong Exchanges and Clearing Limited (HKEx) has created the new position of Chief Regulatory Officer to oversee its Listing Division and all other regulatory, legal and compliance functions across HKEx.

HKEx has appointed David Graham to be its first Chief Regulatory Officer. In this new position, Mr Graham will be Head of Listing (Designate) initially and will succeed current Head of Listing Mark Dickens upon Mr Dickens’ scheduled retirement in July 2013. HKEx expects Mr Graham to join the company in early January next year.

Mr Graham has over 30 years of experience in legal and financial services. He started his career with Freshfields Bruckhaus Deringer in the UK in 1982, was promoted to Partner in 1991 and moved to Hong Kong in 1999. Mr Graham joined Morgan Stanley as General Counsel, Asia ex Japan in 2001 and has been working in the financial services sector since then. He was with UBS for several years and joined Nomura in 2011 as Global Head of Legal and General Counsel, Wholesale Division.

Mr Graham was a member of the Securities and Futures Commission’s Takeovers Panel from 2001 to 2011 and served as a Deputy Chairman of the Panel from 2005 to 2012.

Mr Graham holds an MA degree in Jurisprudence from Oxford University in the UK.