I have extensive experience in handling a variety of financial services regulatory investigations and related proceedings, and in corporate investigations of listed companies.
I also have extensive experience in contentious probate and estate administration actions, and other commercial litigation matters.
- Advising/advised various listed companies and their senior management in a variety of internal investigations, including an internal investigation resulting in successful resumption of trading in a Hong Kong listed company’s shares after a prolonged suspension
- Advising/advised various individuals and companies (including multinational corporations) in financial services regulatory investigations (including dawn raids)
- Acted 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
- Acted 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
Probate and Estate Administration
- 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
- 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
- Advising the executor of the Estate of the founder of Lai Sun Group, in a contested probate dispute
- Acting/acted for the Hong Kong Competition Commission in various enforcement actions in the Hong Kong Competition Tribunal
- Acted 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
- Acted 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