Dispute Resolution

Financial Services Regulatory

We have one of the leading contentious financial services regulatory practices in Hong Kong.

We advise and represent clients in regulatory investigations by the

  • SFC
  • HKMA
  • Financial Reporting Council

We also advise and represent clients in a wide range of regulatory enforcement proceedings, including :

  • criminal ("white-collar" crime) proceedings
  • court proceedings brought by the SFC under sections 212, 213 and 214 of the Securities and Futures Ordinance
  • Market Misconduct Tribunal proceedings
  • SFC, HKMA and Stock Exchange disciplinary proceedings

We regularly act in judicial review proceedings brought by and against regulators in connection with the discharge of their regulatory functions.

In addition to acting for private and public companies, and private individuals, we act for a number of major regulators, including the Stock Exchange, the Financial Reporting Council, the Hong Kong Institute of Certified Public Accountants, the Hong Kong Federation of Insurers, and the Competition Commission.

We have an extensive track record in contentious financial services regulatory matters, having conducted many of the leading and most high-profile cases in the jurisdiction.

Our team has conducted approximately one third of all insider dealing and market misconduct proceedings carried out to date by the Market Misconduct Tribunal and its predecessor the Insider Dealing Tribunal.

Between 2014 and 2018, our team acted in approximately 150 investigations commenced by different financial regulators and law enforcement agencies in Hong Kong.