DAVID CHAN

UOB Kay Hian Private Limited

Vice President [July 2016 – December 2018]

Remisier [January 2019 – Present]

Trading and execution in equities, ETFs and bonds markets covering Singapore, Hong Kong, Shanghai Shenzhen, USA, Thailand, Vietnam, Malaysia, Australia, UK, Japan and Toronto. Prospect and acquire new High Net Worth and Ultra Net Worth clients and service their investment needs through our range of products such as Asian equities and global equities, bonds, CFD, Leveraged Forex, Equity Linked Notes, Fixed Coupons Notes, options and unit trust.

Total port of clients: 1900 (Including offshore clients from Malaysia, China, Indonesia, Hong Kong, Australia, UK, Japan and Vietnam)

Largest trade contract amount: 7M USD

● My scope in dealing and trading are spanned across 14 countries and exchanges around the world, proficient in the following markets:

● My main areas of responsibilities are:

6) Manage and maintain accurate records of all client transactions and communications.

7) I also, from time to time conduct market presentations and investment seminars to brief clients on market mechanisms, trading knowledge and strategies. Attend industry conferences and networking events to stay connected with colleagues and potential clients.

Main systems used are:

2) Advisor Trader Trading Platform and Order Management System

3) Reuters and Google Finance, Utrade Delta CFD

• Actively acquire and prospect new Premier Banking Onshore and Offshore customers, develop and strengthen their relationships with the Bank in accordance with relevant business goals
• Handling High Net Worth Individual Clients accounts of Listed companies like Soo Kee Group, Moneymax, 800 Super and other High net worth individuals
• Acquire new accounts and grow the bank's portfolio in terms of AUM and Fee based income
• Provide dedicated wealth management advisory service to Premier banking clients and market the bank's financial solutions in line with the clients' goals
• Manage customer relationship and enhance the assets portfolio through professional consultative financial analysis as well as assist customers on bank products and service inquiries and requests, assess customers' interest in investments (Unit trusts), insurance and treasury products (Dual Currency, Bonds) and Forex
• Contribute to the bottom-line of Premier Banking through the accomplishment of profit and growth targets
• Up-sell, cross-sell and provide regular market information updates and trend analysis to these customers
• Total port of clients: 100
• Assets under Management: 50M

• Trading and execution in both the equity and bond markets covering Singapore, Hong Kong, Shanghai Shenzhen, US, Thailand, Malaysia, Australia and UK
• Prospect and acquire new High Net Worth clients and service their investment needs through our range of products such as Asian equities and global equities, bonds, CFD, LFX, Equity Linked Notes and unit trust
• Total port of clients: 1500 (Including offshore clients from Malaysia, China, Indonesia, Hong Kong, Australia, UK and Ukraine)
• Largest trade contract amount: 13M HKD
• My scope in dealing and trading are spanned across 14 countries and exchanges around the world, proficient in the following markets: Asian Equities (SGX, HKEX, Bursa, TSE, IDX, SET) ASX, NZX NYSE, NASDAQ, AMEX, OTC, LSE, European Markets (Night Desk)
• My main areas of responsibilities are: Dealing in Equity markets by executing client's trade instructions
• Sourcing for best available quotes for Fixed Income/Bonds executions through OTC transactions with counterparty brokers
• Provide trading/dealing expertise to internal and external clients
• These are in the form of value-added news flow, market briefs and updates, and chart technical and fundamental analysis on a daily basis
• Handling Share Borrowing and Lending activities according to clients Requirements and instructions
• Liaise with various regional brokers on a daily basis on order management and trade executions; as well as following up on any trade-related issues relating to the operations department and counterparty brokers / clients
• I also, from time to time conduct market presentations and investment seminars to brief clients on market mechanisms, trading knowledge and strategies
• Main systems used are: Bloomberg & Bloomberg Execution Management System (EMSX) Gl Trading Platform and Order Management System Reuters and Google Finance, Utrade CFD GL

• Provide prudent financial advisory and investment solutions to meet the financial planning needs and requirements of UOB's customers
• Achieved Personal Best Revenue of 70K revenue in balanced business of Investment (Unit Trust) and Insurance for the month of May 2013
• Achieved Highest revenue of 43.8k in balanced business of Investment (Unit Trust, Structured Products) and Insurance in branch for the month of August
• Awarded Rotary Club for the month of May 2013 in achieving 100,080Ape (Annualized Regular Premium) for insurance sales
• Achieved 1.2 million investment volume (Unit Trusts) in a month
• 2nd Runner up of Top Personal Banker (Group 1 Core banking) with revenue of 70k for a month.

• Taking up and fulfilling the role as the main in-house insurance specialist for the wealth management team
• Supporting the branch regular premium sales revenue in evaluating customer's needs and providing solutions in the areas of wealth protection and accumulation, retirement planning, estate preservation and endowment planning.
• 2nd Quarter Regular premium revenue (May and June) : 63,919 Rev

• Financial planning on life insurance, Health and personal accident plans
• Marketing of Life Insurance and Investment-Linked Products and unit trusts.

• Managing individual's wealth portfolio through employing sound instruments to meet short or long term financial objectives
• Handling assets of retail and high net worth clients
• Building a strong relationship with them for expansion of client tel base.

• Financial planning on life insurance, Health and personal accident plans
• Marketing of, Insurance and Investment-Linked Products.

• Providing full range of supply chain solutions to help global and offshore OEMs, EMS address component shortages, cost saving opportunities as well as material inspection and environmental compliance needs
• Expanding and managing existing multiple Velocity Electronics customer accounts such as Benchmark Electronics, Venture Singapore, Pepper & Fuchs, Venture (Penang), Smart-Modular (Penang) and other overseas OEM accounts
• Source for components from the open market as and when there is a need to support client's production line down or urgent shortage requirements
• Hitting quota of Gross profit of USD21,000 plus in the 4th month.