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We are frequently engaged by clients to manage regulatory relations where a breach of law or regulation is suspected, where an adverse regulatory enquiry has been received or where regulatory enforcement proceedings have commenced.
We represent our clients before regulators, statutory tribunals, the courts and other government bodies in relation to disciplinary proceedings, market misconduct proceedings and other proceedings. We regularly manage potential client litigation and regulatory enforcement action.
Representative Experience
Advising a Fortune Global 200 bank in relation to possible breaches of securities by it of securities licensing requirements Advising a Fortune Global 200 bank in relation to possible breaches of by it and its staff of market manipulation laws. Representing a Fortune Global 200 financial institution in relation to possible breaches by it of local Hong Kong securities regulatory capital requirements Representing a leading regional investment bank in relation to breaches of client asset custody rules Defending a regulatory investigation for alleged breach of insider dealing laws Defending a regulatory investigation for alleged breach of securities offering requirements Representing a US based hedge fund in relation to breaches by it of securities disclosure of interest requirements.
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Asia-Pacific Legal 500 - "Highly commended" in financial services regulatory
Timothy Loh
+852 2899.0179
tloh@timothyloh.com
Gavin Cumming
+852 2899.0149
gcumming@timothyloh.com
SFC Guidance on Requirements for Licensing under the Law: Reliable or Not
New Proposals to Regulate Mis-Selling of Investment Funds & Structured Products in Hong Kong: Right or Wrong?
Challenging the SFC: What Every Compliance Officer Needs to Know
SFAT Casts Doubt on Legality of Introduction Arrangements between Hong Kong Brokers and their Offshore Affiliates
Responding to SFC Enforcement Action: New Tactics?
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