Our Regulatory Defence team defends and represents companies and individuals both regionally and internationally.
We handle a range of investigations conducted by financial products regulators worldwide including the Financial Services Authority (FSA) in the United Kingdom, the Hong Kong Securities and Futures Commission (SFC), and the Hong Kong Monetary Authority (HKMA).
Our team is experienced in dealing with regulatory investigations and disciplinary actions by the Stock Exchange of Hong Kong and the SFC into suspected market misconduct of listed companies and their directors and officers, and Independent Commission Against Corruption (ICAC) and Commercial Crimes Bureau investigations for issues of suspected fraud or corruption.
Clients depend on us for insightful advice on sophisticated regulatory matters, financial regulatory agency relationships, risk assessment and complex financial enforcement issues.
We are experienced in advising clients who are regulated by the SFC, the Insurance Authority (IA) and/or other regulatory bodies in handling the following regulatory defence matters:
- Attending interviews
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Civil and criminal investigations
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Disciplinary actions
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Enforcements proceedings
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Market Misconduct Tribunal/insider dealing
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Prosecutions
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Listing rules and SFC compliance
Work highlights
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Representing several Hong Kong Stock Exchange Main Board (Main Board) and Growth Enterprise Market (GEM) listed companies, their executive directors, non-executive directors and special committees in relation to the Stock Exchange disciplinary committee and SFC investigations, disciplinary proceedings and other regulatory actions.
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Advising several Main Board and GEM listed companies on transaction-specific regulatory disclosure, clearance requirements and related Main Board and GEM listing rule compliance issues.
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Representing listed and private companies and their directors and officers in transaction-related ICAC and Commercial Crimes Bureau investigations.
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Representing a subsidiary of a Main Board listed company on legislative and regulatory issues in relation to the set-up of private columbariums in Hong Kong.