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PRACTICE AREA

Securities, Regulatory & Disciplinary Matters

We have a strong practice in handling financial regulatory investigations and proceedings commenced by the Securities and Futures Commission ("SFC"), the Stock Exchange of Hong Kong (“SEHK”), the Hong Kong Monetary Authority (“HKMA”) and the Takeovers and Mergers Panel which cover a broad spectrum of issues such as insider dealing, market misconduct, securities fraud, disclosure of interests, whitewash waiver and disciplinary matters relating to the Securities & Futures Ordinance, the Listing Rules and the Code on Takeovers and Mergers and Share Buy-backs.  


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 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, the Hong Kong Confederation of Insurance Brokers and the Association of Chartered Certified Accountants in the U.K.

LAWYERS WHO PRACTISE IN THIS AREA