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We provide legal advice and guidance to clients on various regulatory matters, and if the worst happens and you find you’re under investigation, we also provide representation for regulatory interviews, prosecutions, proceedings at tribunals and courts, appeals, judicial reviews etc.
We have a track record in representing clients in wide range of regulatory matters and at various stages of regulatory procedures. Our team has rich and diversified experience in supporting and working alongside a broad and varied range of clients including company directors, licensed persons, licensed entities, private companies, listed companies etc.
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.
- 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.
Attention
Our team is ready and able to assist clients at odd hours and on urgent basis, such as representing clients at sudden dawn raids by regulators, so that clients can receive immediate and timely advice.
We are also able to assist with cross-border regulatory compliance and enforcement issues and provide strategic advice relating to investigations and legal actions by various regulators.
Recognitions
Ince has been awarded the Port & Terminal Law Firm of the Year 2026 – Hong Kong Award presented by the Lawyers Worldwide Awards Magazine of the UK.
Ince has been awarded the China Business Law Awards 2026 in the sector of “Shipping” category.
Ince has been awarded the China Business Law Awards 2026 in the practice area of “Restructuring and Insolvency” category.
Anderson Siu has been recognized as a Future Star in her personal ranking.
Rosita Lau has been recognized as a Litigation Star in her personal ranking.
Ince recognised as a Recommended firm for Construction in the Benchmark Litigation 2026.
Ince recognised as a Recommended firm for Commercial and Transactions in the Benchmark Litigation 2026.
Ince ranked Tier 3 for Shipping in the Benchmark Litigation 2026 rankings.
Rosita Lau has been selected and awarded as the “Shipping Law Expert of the Year 2026 in Hong Kong Award”.
Rosita Lau has been ranked as a Band 1 lawyer in the Insurance: Contentious ranking.
CFA rules on Milmo Rule and Priority Rights under Land Registration: Lessons from To Sze On
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Limitation on Statutory Rights Arising from Holding Listco Shares Through Brokers
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A Director’s Duty Runs to the Company, Not the Group
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