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.
我们的银行业务被知名法律评级机构《国际金融法律评论》(IFLR1000) 评为香港地区一流银行与金融业务。
我们为众多银行业客户提供法律服务,包括企业银行、商人银行、投资银行与私人银行。我们与银行业客户合作紧密,从战略性商业活动到日常交易事项,我们助力其业务的各个方面。
我们的服务范围涵盖:
企业融资, ,包括股票发行、供股、公开募股(及承销)、证券私人配售与其它股票资本市场交易,以及债券发行、可转换债券发行与其它债券资本市场的交易
个人及家族财富管理,包括提供证券交易服务、投资建议与全权资产管理服务,以及建立并管理信托(例如家庭信托、全权信托)
贷款与债务融资,包括就融资形式及交易结构提供建议,开展法律尽职调查,准备贷款与融资协议 (例如双边贷款协议、银团贷款协议),以及追讨债务
担保与抵押,包括担保权益(例如固定与浮动抵押、按揭以及质押)的创设与执行,以及抵押、担保与赔偿形式的转让
企业破产与重组,包括债务重组、公司周转与公司重组、重组安排计划以及合同债务解决方案
监管合规,包括持续遵守《银行业条例》、《证券及期货条例》以及香港金融管理局与香港证监会不时发布的守则、指引及通函
协助客户履行为客户提供合理适当建议的责任,包括遵守与新产品引入 、投资产品销售、提供投资建议、产品尽职调查、产品建议或招揽、售前披露及进行风险评估有关的规定和程序,以及遵守香港金融管理局与香港证监会施加的合适性规定
遵守香港反洗钱、打击恐怖分子资金筹集及经济制裁的法律与监管规定(例如有关开设账户、客户尽职审查及了解你的客户(KYC)的政策与程序),并就香港联合财富情报组在反洗钱法律下报告及冻结财产的义务提供法律意见
Lead counsel to a Hong Kong bank facing an investigation by the HKMA focused on possible mis-selling of accumulators, a structured financial product.
Lead counsel to HKSFC licensed corporate finance adviser with a client base of over 100 Hong Kong listed companies in connection with an SFC investigation of due diligence in connection with an IPO sponsorship.
Lead counsel to a state bank in connection with the recovery of monies following a cyber fraud resulting in a multi-million US dollar loss. Advised on mareva injunction, Bankers Trust and bank disclosure orders and inter-pleader proceedings.
Lead counsel to former employee of a US based bank in respect of suspicions of fraud and dishonesty arising from trading activities. Advised on potential criminal offences and prepared submissions which ultimately resulted in no prosecution moving forward.
Lead counsel to bank in connection with the restructuring of a distressed US$240 million investment into a Hong Kong based joint venture and the sale of its interest in that joint venture.
金融服务业监管
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“杰出个人”
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金融服务业监管
“积极评价”
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“被认可律师”
金融服务业监管
“杰出个人”
金融服务业监管
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HKCFI rules letters of no consent regime unconstitutional; Hong Kong Police & JFIU cannot issue LNCs to freeze bank accounts before STR filing
Market Misconduct Tribunal proceedings for mishandling of insider information can result in fines and disgorgement orders
The Securities and Futures Commission has prioritized listed company malfeasance for enforcement action. As a result, listed companies and their...
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