I have extensive experience in handling a variety of financial services regulatory matters, including regulatory investigations and “dawn raids”, securities regulatory related legal proceedings and independent corporate investigations.
I also have extensive experience in assisting individual and corporate clients in handling litigation matters, with a particular focus on commercial disputes, contentious probate cases and estate administration actions.
Financial Services Regulatory
- Assisted in acting for the former executive directors of Magic Holdings International Limited in the Market Misconduct Tribunal in the first regulatory case in Hong Kong for alleged breaches of the disclosure requirements under Part XIVA of the Securities and Futures Ordinance in a “takeovers” scenario
- Assisted in acting for CITIC Limited in the Market Misconduct Tribunal and successfully defended CITIC Limited in the first regulatory case in Hong Kong for disclosing false or misleading information inducing transactions in breach of Section 277 of the Securities and Futures Ordinance based on a statement of no material adverse change
- Assisted in a variety of independent investigations of Hong Kong listed companies, including an independent investigation resulting in successful resumption of trading in a Hong Kong listed company’s shares after a prolonged suspension
- Advising various individuals and companies (including multinational corporations) in financial services regulatory investigations (including dawn raids)
Probate and Estate Administration
- Assisted in advising the executors of the Estate of Chen Din Hwa (the founder of the Nan Fung group) in relation to a variety of complex estate administration issues
- Assisted in advising PricewaterhouseCoopers, the administrators of the Estate of Li Chung, in relation to various estate administration issues and litigations between the estate and the beneficiaries
- Assisted in acting for China Resources Power Holdings Limited and successfully defended it against claims brought by minority shareholders based on allegations of misfeasance in relation to a RMB 10 billion natural resource project in Shanxi province
- Assisted in acting for a high net worth Hong Kong individual against HSBC Private Bank (Suisse) SA in HCA 406/2010, an action concerning losses suffered as a result of the structured derivative products