I am a commercial litigator who understands clients’ objective to prevent litigation and the requirement of have a strategy to solve dispute efficiently in a cost effectively manner. I have experience in handling complex litigation involving corporate and securities laws, agency laws, contractual disputes, cross-border proceedings with multiple parties, etc.
I have extensive expensive in handling regulatory investigations and enforcement actions. I have successfully helped clients in convincing regulators not to institute enforcement actions, or reaching favourable settlements. In cases where alternative dispute resolution is not possible, I represented listed companies, directors, and other individuals in regulatory investigations and proceedings brought by the Securities and Futures Commission (the “SFC”), The Stock Exchange of Hong Kong Limited, the Financial Reporting Council, etc.
In the field of white collar crime, I have advised or represented individuals, including professionals and company directors, who were facing internal investigations, investigations commenced by the Independent Commission Against Corruption (ICAC), the Commercial Crime Bureau of the Hong Kong Police and/or other financial regulators. I advise companies and individuals on corporate fraud, theft, bribery, corruption, money laundering, personal privacy, insider dealing, market manipulation, price rigging, etc., including white collar crime defence and anti-corruption policies and practices.
I support technological innovation in the legal practice and our client’s businesses, including Fintech and InsurTech. For example, we understand and use technology on large document review project to help clients achieve results cost effectively.
- Advising and acting for two executive directors of Hong Kong Airlines (in the midst of a highly contested shareholder dispute) against whom an injunction order was made, among other things, restraining or limiting them from performing their management duties
- Acting for various clients who were in dispute with banks in relation to significant investment loss arising from Accumulator Contracts
- Advising Independent Non-executive Directors of a Hong Kong listed Sino-foreign company in conducting an independent investigation into anonymous allegations, and advising on internal controls and matters relating to resumption of trading in its shares after a prolonged suspension
- Advising a Hong Kong listed company on strategies to handle issues encountered during the annual audit, and successfully addressed concerns of the auditors without causing delays to publication of financial results
SFC investigations and disciplinary proceedings
- Advising and representing SFC licensed persons and Hong Kong listed companies and directors, in a variety of investigations and disciplinary proceedings (as the case may be) commenced by the SFC in relation to, among other things, allegations of disclosure of false or misleading information, delay in Part XIVA disclosures, unlicensed activities, insider dealing, or other market misconduct or offences.
Market Misconduct Tribunal Proceedings
- Advising and acting for a listed company in Market Misconduct Tribunal proceedings in relation to whether the publication of a “no material adverse change” statement constituted the market misconduct of disclosing false or misleading information inducing transactions within the meaning of section 277 of the Securities and Futures Ordinance
Criminal Investigation and Prosecution
- Advising individuals, including insurance brokers, accountants, architects, directors, etc. who were involved in criminal investigations by the ICAC in relation to allegations of fraud, false declarations, conflict of interest, etc.
- Defending an individual who dealt in shares in a company while acting as a representative of the controlling shareholders in takeover negotiations and was prosecuted for the offence of insider dealing in the Magistrates’ Courts, Court of First Instance and the Court of Final Appeal
- Acted for an investor charged with short selling and resulted in discontinuation of the prosecution by the SFC
HKEx Compliance Matters and Disciplinary Proceedings
- Representing listed companies and directors in disciplinary proceedings commenced by the Listing Division, Enforcement Department of the HKEx, and/or resolving the relevant compliance issue by way of settlement