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Securities, Regulatory & Disciplinary Matters

Haldanes has a strong practice in handling securities regulatory investigations and disciplinary proceedings by the Securities and Futures Commission ("SFC"), the Stock Exchange of Hong Kong (“SEHK”) and the Hong Kong Monetary Authority (“HKMA”) which cover a broad spectrum of issues such as insider dealing, market misconduct, financial fraud, disclosure of interests and compliance matters relating to the Securities & Futures Ordinance and the Listing Rules.  We also have extensive experience in advising leading financial institutions, listed companies, directors and senior management, intermediaries and professionals on Notice for Interview, Notice to Produce Documents and Records and Search Warrants issued by these authorities.

In addition, we have represented institutions and professionals in disciplinary proceedings taken out by other regulatory bodies and professional councils such as the Medical Council of Hong Kong, the Chinese Medical Council of Hong Kong, the Law Society of Hong Kong, the Estate Agents Authority, the Insurance Agents Registration Board and the Office of Communications Authority.


Lawyers who practise in this area


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