I have experience in various court proceedings including contentious and non-contentious probate and administration, shareholders’ disputes, contractual disputes and debt recovery.
I regularly represent individual and corporate clients in regulatory investigations and proceedings commenced by regulators such as the Securities and Futures Commission and The Stock Exchange of Hong Kong Limited
The following are a list of representative matters in which I assisted in:
General Commercial Litigation
- Acted for a corporate shareholder in defending a winding up petition (on just and equitable grounds) and an application for appointment of provisional liquidators brought against a company operating a chain of Japanese-style restaurant businesses in Hong Kong.
- Acted for a minority shareholder petitioner in an unfair prejudice petition presented pursuant to sections 724 and 725 of the Companies Ordinance (Cap. 622) involving asset holding family-owned companies worth over HK$700 million.
- Acted for a listed company in defending a shares sale and purchase agreement dispute involving allegations of fraudulent misrepresentation up to trial.
- Acted for a Switzerland-based international consumer goods company in successfully defending a claim for goods sold and delivered and defective products.
- Acted for a plaintiff in seeking specific performance of a shares sale and purchase agreement, in which the defence was that performance of the agreement would be illegal under PRC laws.
- Acted for a listed, SFC-licensed securities broker in an action commenced by its client for alleged failure to properly execute instructions relating to American Depository Shares held by the broker as custodian.
- Acted for a respondent in defending HKIAC-administered emergency arbitration proceedings for injunctive relief freezing shares in a German-listed baby products company.
- Acted for trustees of a bankrupt in obtaining order for sale of a property co-owned by the bankrupt.
Estate administration and related proceedings
- Acted for the estate of a high-net-worth PRC individual in multiple actions to recover and account for the estate’s interest in multiple companies and a general partnership in Hong Kong. One of the actions involved a derivative action commenced seeking reversal of an undervalued share transfer to a third-party company.
- Acted for executors and beneficiaries of local family tycoons in estate administration and non-contentious probate proceedings.
- Acted for executors in a sale by public tender of multiple co-owned residential units pursuant to the Partition Ordinance (Cap. 352)
- Acted for former directors and company secretary in Market Misconduct Tribunal proceedings invoking the safe harbour defences under Part XIVA of the Securities and Futures Ordinance (Cap. 571) (‘SFO’).
- Acted for individuals, listed companies, SFC-licensed intermediaries in regulatory investigations commenced by the SFC involving failure to timely disclose of inside information in accordance with Part XIVA of the SFO, insider dealing, ‘fit and properness’ of SFC-licensed intermediaries, carrying out regulated activities without license, etc.
- Acted for a leading cryptocurrency exchange in regulatory investigations commenced by the SFC, and advised on licensing requirements relating to virtual assets and related investment products.
- Acted for directors and listed companies in investigations commenced by HKEX Enforcement, disciplinary proceedings before the Listing (Disciplinary) Committee involving failure to comply with Chapter 14 of the Listing Rules and allegations that inadequate steps were taken to ensure ‘no material adverse change’ statement in an IPO prospectus was accurate, complete and not misleading, and subsequent appeals to the Listing (Disciplinary Review) Committee.
- Acted for listed companies or their independent non-executive directors in independent internal investigations involving misappropriation of funds, inability of publish financial statements, etc. These listed companies are often in financial distress and under prolonged suspension. Examples include China Gas Industry Investment Holdings Co., Limited (1940), Evergreen International Holdings Limited (238, delisted), National Agricultural Holdings Limited (1236, delisted), Tenwow International Holdings Limited (1219, delisted), China Huiyuan Justice Group Limited (1886, delisted).
- Acted for one of the largest unlisted property developers in Hong Kong in an internal investigation involving leakage of confidential information belonging to the company.
- Acted for the Financial Reporting Council in legal vetting of Audit Investigation Board investigation reports.