Ernest Yiu Head, Financial Services

Qualifications

  • Member of American Institute of Certified Public Accountants
  • Master of Professional Accounting, University of Texas at Austin
  • Bachelor of Business Administration, University of Texas at Austin

Background

Ernest is the Head of Financial Services for Mazars Hong Kong. He has over 20 years of consulting and audit experience from Big-4 accounting firms, providing risk and regulatory advisory services to the financial services sector. 

He is experienced in advising different types of financial institutions including retail banks, corporate banks, investment banks, private banks, virtual banks, securities brokers, asset managers, insurance companies and regulators (such as the Hong Kong Monetary Authority, the Securities and Futures Commission and the Insurance Authority). 

Ernest specialises in a wide range of risk and regulatory areas including corporate governance, investment product suitability and selling process, conduct risk, client asset protection, compliance framework, risk management framework, anti-money laundering, etc.

The nature of work that Ernest covers include regulatory reviews, investigations or internal control reviews, advice or assistance on licensing and new business establishment, advice on impact of new rules and regulations, advice on regulatory inspection preparation, independent examinations commissioned by regulators, etc.

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