Fred has extensive experience in conducting complex forensic investigations in matters related to regulatory compliance, breaches, FCPA compliance due diligence, shareholders’ dispute advisory, internal investigations, audit committee inquiries, investigations pertaining to theft of proprietary design, intellectual property, financial reporting frauds, employee ethical issues, and whistleblower allegations. His forensic analysis experience includes analysis of computer systems, network servers, financial reporting systems, and digital evidences in response to data breach incidents, electronic discovery response, and fraud investigations.
Fred has worked in many locations around the world and in Asia in countries including mainland China, Hong Kong, Taiwan, Dubai, India, Indonesia, Japan, Kuwait, Pakistan, Philippine, Singapore, South Korea, Thailand, and Vietnam. Fred is fluent in Cantonese, Mandarin, and English.
Fred’s professional experience includes:
Digital Forensics, eDiscovery, and Cyber Breach Investigation
- eDiscovery Support to Compliance Investigations – Leading a team of over 20 professionals providing full eDiscovery support to clients in financial services industry and counsel, both internal and external, covering preservation, collection, processing, review, and production of electronic data for investigations in connection with sanctions violation, market manipulation, regulatory compliance breaches, anti-bribery, anti-corruption, and internal investigations. Providing document review platform support to over 300 concurrent reviewers in multiple jurisdictions.
- Data Breach – As a local team lead of the firm’s incident response team assisting in response to data breach incident in China and the Asia region. Working with internal experts team in the US and the UK to perform evidence preservation of compromised systems and forensic analysis into suspicious activities.
- Theft of Product Design and Technology – Fred often served as the project leader of the investigation into theft of proprietary product design and technology for clients in manufacturing and high technology sector. Team’s experience includes last scale evidence preservation of R&D center, urgent evidence preservation, forensic analysis to identify source of the information leak, and assisted counsel in subsequent civil proceedings against parties involved.
- Anton Pillar Order Support – Fred has been frequently engaged by counsel to provide technical support in ESI preservation during the execution of Anton Pillar Orders (search and seize order) against alleged IP infringing parties in Hong Kong since late 90s. Working with counsel, Fred’s team also conducted technical data analysis and forensic accounting review in support of subsequent civil proceedings.
Regulatory Compliance and Fraud Investigations
- Special Committee Investigations – Served as a team lead of the forensic investigation team commissioned by the independent special committee of three companies listed on the NYSE via reverse takeover (RTO) all with major operations in Mainland China. Scope of investigations including alleged accounting fraud related to revenue, accounts receivable, inventory, misappropriation of funds, and alleged falsification of underlying records and bank statements. Work involved in country preservation of electronic data and analysis of physical records, transaction data, and investigative review to control systems.
- FCPA Investigations – Fred has long years of experience in leading field investigation in anti-bribery investigations in Asia and, in particular, China for Fortune 500 company clients. The team has strong experience in conducting interviews with whistleblowers, employees, and distributors and analyzing business transactions, accounting records, control systems and processes, and electronic data forensic preservation and analysis.
- Global Distribution Channels FCPA Compliance Program Review and Implementation – Fred was a key member of the team assisting a global medical instruments provider rolling out a post-investigation distributors’ compliance program audit covering 40 countries on five continents.
- Third-Party Due Diligence – Fred has conducted numerous investigative due diligence projects into business partners, suppliers, and distributors on global basis for Fortune 500 companies in various industries in China and in the region.
- Fund Accounting Review – Served as the Asia team leader assisting the trust manager of a major pension fund in the region to conduct a forensic accounting review into the fund bankruptcy caused by accumulated investment loss of over US$1 billion. Reviewed records of all sub-funds throughout its life span of over 10 years.