Regulatory & Investigation

What We Do

We have substantial experience in representing and advising corporate and individual clients, either in making applications to or defending against inquiries, investigations or legal actions commenced by regulators including the Securities and Futures Commission (SFC), the Hong Kong Stock Exchange (HKEX), the Hong Kong Monetary Authority (HKMA) and Accounting and Financial Reporting Council (AFRC).

We also regularly advise and represent clients in investigations and prosecutions by the Independent Commission Against Corruption (ICAC), the Hong Kong Police Force, the Hong Kong Labour Department, the Immigration Department etc.

Notable

  • Acting for a Main Board listed company in handling F7 and disciplinary actions in relation to misleading information and breaches of director’s duties.
  • Acting for former directors of a listed company in defending an action commenced by the SFC, seeking disqualification orders against them.
  • Acting for a former director of a listed company in proceedings before the Market Misconduct Tribunal for suspected disclosure of false or misleading information in the company’s prospectus and annual reports.
  • Acting for a licensed sponsor in handling the SFC’s investigations in relation to suspected false trading, price rigging, stock market manipulation and failure to disclose interest.  Addressing the SFC’s notice to produce records and documents.
  • Acting for a listed company in handling AFRC’s request to produce records and documents for the alleged misconduct  of its auditor.
  • Acting for a former compliance officer of a bank in the HKMA’s investigations in relation to suspected breaches of anti-money laundering laws and regulations.
  • Acting for a former director of a large construction company in attending interviews at the ICAC for suspected bribery related offences.
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