With extensive experience in representing large international financial institutions, investment funds, family offices and high-net-worth individuals in shareholders, boardroom, complex commercial and investments-related disputes, and proficiency acting in regulatory investigations, I bring regulatory insight and in-depth knowledge of the dynamics and operations of the financial markets in my approach to protecting clients from significant financial and reputational exposure.
Well-versed in litigation, arbitration, alternative dispute resolution (including mediation), and crisis management, my practice also has a particular focus on dispute avoidance and achieving structured solutions.
Career Highlights
Financial Services
- Acting in private equity investment disputes involving allegations of breach of duties of directors and employees.
- Acting in shareholders disputes arising from take-private transactions.
- Acting in disputes concerning significant investment losses arising from complex investment products, including accumulator contracts and complex FX structured products.
- Acting in disputes arising from stock-secured financing agreements involving multiple injunctions on allegations of fraud.
- Acting in high value disputes arising from termination of senior personnel and issues arising from separation arrangements, involving complex compensation structures at international banks and investment funds
Regulatory
- Acting for directors, senior management, listed companies, SFC-licensed persons in regulatory investigations commenced by the SFC (including dawn raids), on matters relating to allegations of corporate fraud, bribery, corruption, insider dealing, market manipulation, misleading reporting of transactions, short seller attacks, and institutional regulatory failures
- Acting for listed companies in investigations commenced by the Hong Kong Stock Exchange concerning issues including chronic breach of public float requirements and related regulatory matters
- Acting for individuals in investigations commenced by the ICAC (including dawn raids)
- Acting for administrators of an escrow fund established for the defence of certain executives and senior management of a commodities corporation following its high-profile collapse, providing strategic advice relating to investigations commenced by the Monetary Authority of Singapore
- Advising and acting for law firms in defence of offshore and Hong Kong regulatory investigations concerning their roles in transactions under investigation and allegations of fraud.
- Advising and training company senior managers and legal departments, developing protocol and emergency response to dawn raids and investigations.
Commercial Litigation and Arbitration
- Defending a prominent US law firm against a claim of over US$160 million arising from its involvement in a complex acquisition transaction comprising a series of financing arrangements
- Acting in high-stakes boardroom disputes of listed companies and private equity portfolio companies, involving Hong Kong and offshore litigation (including applications to obtain as well as to discharge injunctions) and arbitration
- Acting in litigation involving issues of historical mental capacity and the management of trusts established in multiple jurisdictions
- Acting in litigation concerning historical issues of user restrictions of a prominent luxury development involving complex financing issues
- Acting in arbitration for a global commodities corporation in relation to a fraud insurance recovery claim under a fidelity insurance policy
- Acting for a Hong Kong regulator in a defamation claim involving an injunction against a senior employee based in the PRC
- Acting in disputes involving allegations of breach of profit guarantee terms arising from the sale of a prominent medical practice to a listed company involving complex accounting claims
