Litigation Against a Prime Broker by a Hedge Fund
Lead counsel to a hedge fund against its prime broker following the insolvency of the prime broker’s corporate group during the Global Financial Crisis.
Restructuring of Hedge Fund
Lead counsel in connection with the restructuring of a hedge fund following the insolvency of its prime broker during the Global Financial Crisis.
Internal Investigation of Market Market for Fortune Global 200 Financial Institution
Lead counsel to a Fortune Global 200 financial institution in the conduct of an internal investigation relating to possible market manipulation.
Acquisition of Trading Membership in Stock Exchange of Hong Kong for U.S Based Global Institution
Lead counsel to a US based global institutional agency broker in connection with the acquisition of a Trading Right and the application to become an Exchange Participant and the establishment of third party clearing arrangements.
Establishment of Broking-Dealing Office in Hong Kong for a Fortune Global 200 Financial Institution
Lead counsel to a Fortune Global 200 financial institution in relation to the establishment of a non-equities broking and dealing business in Hong Kong.
Global Corporate Re-Organization of Financial Institution
Hong Kong counsel to a Fortune Global 200 financial institution advising on complex tax and securities and insurance regulatory issues in connection with a global re-organization in connection with US Government TARP funding.
Defence of HKMA Enforcement Action Alleging Mis-Selling
Lead counsel to a Hong Kong bank facing an investigation by the HKMA focused on possible mis-selling of accumulators, a structured financial product.
Defence of SFC Investigation into Sales Practices and Breaches of Client Custody and Client Reporting Requirements
Lead counsel to an SFC licensed wealth management firm in the defence of an investigation focused on possible breaches of conduct of business requirements relating to sales practices, custody of client assets and client reporting requirements.
EUR7 Million Cross-Border Asset Sale and Purchase
Lead counsel to a global technology company in connection with its sale by asset transfer of international business operations.
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