Regulatory Enforcement and Investigations
Capital Markets Hong Kong IPOs: A Broken Regime?
Chambers and Partners Identifies Firm Managing Partner as Leading Lawyer for 2020
Credit Rating Services: Does the Decision of the Securities and Futures Appeals Tribunal Over-Reach?
Credit Ratings and the SFC’s Disciplinary Jurisdiction: Revisiting the Moody’s Decision at the Court of Appeal
D&O Insurance in Hong Kong: What To Know In The Event Of SFC Enforcement Action
Financial Services Regulatory
Front-Loaded Regulation: The Implications for Listed Companies
Heightened Regulation of the Stock Market: What Directors of Listed Companies Need to Know
Inside Information and the Market Misconduct Tribunal: A Guide to Defending SFC Enforcement Action
Market Manipulation: Safe Harbour For Wash Trades And Matched Orders Upheld
Market Misconduct Tribunal: A Guide to Penalties and Other Consequences for Misuse of Insider Information
Pitfalls of Non-Compliance: A New Landscape for Listed Companies
Regulatory Enforcement and Investigations
Responding To SFC Enforcement Action: New Tactics?
Section 179 of the SFO and the Role of the SFC as Front-Line Regulator of Listed Companies
Seminar: Defending An SFC Investigation (May, 2018)
Seminar: Defending An SFC Investigation: 2019 Annual Review
Seminar: How to Handle Mis-Selling Claims
Seminar: How to Handle Thematic and Periodic SFC Inspections
Seminar: How to Handle Thematic and Periodic SFC Inspections