Dr. Alan Lok 盧俊東博士 CFA, FRM

Director, Ethics Education & Professional Standards, Asian Pacific

道德教育及職業標準總監

Dr. Lok is responsible for nurturing ethics trainers, producing ethics bite-size media as well as facilitating member societies to promote ethical behavior in their local capital markets. In his role, Dr. Lok engages with the local charters to advance the awareness and adoption of CFA Institute ethics and professional standards. The engagement takes the form of outreach to local stakeholders, including the industry, financial regulator, and the public across the APAC markets. Dr. Lok also manages ethics related events together with society leaders as well as facilitating their outreach activities on the Asia-Pacific Research Exchange (ARX) post publication.

Dr. Lok initially joined CFA Institute in February 2014 as the Director of Capital Markets Policy within the Standards & Advocacy Division. In that role, Dr. Lok has built up close working relationships with society leaders and volunteers in the APAC region. Dr Lok was also responsible for directing the establishment of the Asia-Pacific Research Exchange (ARX). Over the years, he co-authored two monographs on portfolio pumping and market manipulation, submitted numerous regulatory consultation papers, written many journal articles and supported the CFA Singapore Society in their Industry Research series that was published on the Singapore Business Times.

During the decade prior to joining CFA Institute, Dr. Lok had served as the senior investment manager of a Chinese solar-energy conglomerate as well as taken on the roles of buy and sell-side research analyst in Singapore. Dr. Lok also served as the Adjunct head of two modules in Nanyang Technological University (南阳理工学院) as well as the module leaders for various universities in Hong Kong SAR, Mainland China, and Singapore.

Dr. Lok graduated with a degree in Electrical & Electronic Engineering from the Nanyang Technological University in Singapore in 2003. Subsequently, he went on to read his MBA at the University of Manchester in 2013. He obtained the FRM certification from the Global Association of Risk Professionals in 2007 and was subsequently awarded the CFA certification from the CFA Institute in 2008. Dr Lok was recently awarded a doctorate degree from the University of Middlesex, London in 2021. His latest publication was a co-authorship with ACCA entitled “21 Sector Analysis: A Questioning Framework for Investors”.