A reputation for excellence

"Highly commended by clients" -- Asia Pacific Legal 500

Investigations. Disciplinary action.

Clients instruct us 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.

White Collar Crime

We have extensive experience representing clients in contentious regulatory proceedings involving possible criminal prosecution. Our experience includes:

Representing a US based hedge fund in relation to breaches by it of securities disclosure of interest requirements.
Representing a ultra high net worth individual in respect of a regulatory investigation for alleged breach of insider dealing laws
Representing an international consumer services company in respect of a regulatory investigation for alleged breach of securities offering requirements

Regulatory Defence

We are experienced advocates in regulatory investigations and disciplinary proceedings. We act for clients in proceedings before the Securities and Futures Commission, the Stock Exchange of Hong Kong and the Takeovers Panel. Our lawyers' experience includes:

Representing a Fortune Global 200 financial institution in relation to possible breaches by it of local Hong Kong regulatory capital requirements
Representing a leading regional investment bank in relation to breaches of client asset custody rules
Acting for a company listed on the Stock Exchange of Hong Kong in connection with proceedings before the Takeovers Panel following a failed takeover
Representing an SFC licensed financial adviser in connection with disciplinary proceedings arising from allegations of breaches of the Code of Conduct

Non-Transactional
Advisory
Litigation