Securities, Regulatory & Disciplinary Matters
Overview
Haldanes has a wealth of experience 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), the SFC Takeovers and Mergers Panel, the Accounting and Financial Reporting Council (AFRC), the Insurance Authority (IA), the Mandatory Provident Fund Schemes Authority (MPFA), the Estate Agents Authority (EAA), the Sale of First-hand Residential Properties Authority (SRPA), the Communications Authority and other regulatory bodies.
Our advice covers a broad spectrum of regulatory matters including securities fraud, stock market manipulation, insider dealing, market misconduct, disclosure of interests, whitewash waiver and disciplinary matters relating to the Securities & Futures Ordinance (SFO), the Listing Rules, the Code on Takeovers and Mergers and Share Buy-backs, Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) and other regulations.
Vast Experience in SFC, HKEX and HKMA Enforcement Actions and MMT and SFAT Proceedings
We also have extensive experience advising leading financial institutions, listed companies, directors and senior management, intermediaries and professionals on regulatory investigation matters including:
- SFC Section 183 Notice for Interview
- SFC Section 183 Notice to Produce Documents and Records
- “Dawn Raids” / Search Warrants issued by the relevant authorities
- SFC Section 194 “Fit and Proper Person” matters
- Market Misconduct Tribunal (MMT) proceedings
- Securities and Futures Appeals Tribunal (SFAT) proceedings
- Disciplinary actions
- Licensing applications
- Internal control, training and regulatory compliance relating to SFO together with its regulations, codes and guidelines
In addition, our legal team has represented institutions and professionals in disciplinary proceedings taken out by professional councils such as the Medical Council of Hong Kong, the Chinese Medical Council of Hong Kong, the Law Society of Hong Kong, the Hong Kong Chartered Governance Institute (HKCGI) and the Royal Institute of Chartered Surveyors.
International Expertise in SEC, CFTC and FCA Financial Investigations
On an international level, we have also collaborated with overseas lawyers to handle multi-jurisdictional investigations involving Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) in the United States, the Financial Conduct Authority (FCA) in the United Kingdom as well as Ontario Securities Commission (OSC) and British Columbia Securities Commission (BCSC) in Canada. We have also defended clients in cross-border investigations conducted by China Securities Regulatory Commission (CSRC).
Recognition
Geoffrey Booth
“A great lawyer and ADR expert”
“A very active and well-known name especially in commercial mediations.”
“One of the founders of mediation in Hong Kong.”
Felix Ng
“Besides his exceptional professionalism, Ng is compassionate, empathetic and attentive … gave me the needed trust and confidence throughout the entire process and made this unbearable investigation a lot more bearable.”
Andrew Powner
“Andrew is an excellent operator.”
“He has excellent client handling skills.”
“Andrew is calm and unruffled under pressure.”
Paul Wang
“Paul effortlessly understands the culture of multiple jurisdictions, enabling his clients to be sure they have the best representation in what may not be their home jurisdiction.”
“Paul is an experienced criminal lawyer who considers from the client’s perspective. Paul provides high-quality succinct advice to the client.”
Paul Wang
“Paul Wang was born and raised in the PRC and is a native Mandarin speaker. He is intelligent and intuitive with a positive, cheerful and outgoing personality. He provides a strong and safe link across the border for those in need of help on the other side. He is warm and caring towards even difficult clients and inspires their trust and confidence. He leads his team with good humour, but is forceful when the need arises.”
Paul Wang
“Native Mandarin and Cantonese-speaking partner Paul Wang has developed a strong reputation advising on complex commercial criminal matters often involving a significant nexus to the mainland, where he is appreciated for his ability to provide clear and pragmatic advice.”
Paul Wang
“Paul Wang is highly recommended by market observers for his intelligent understanding of clients’ cases and ability to effortlessly straddle the cultures of PRC and Hong Kong.”
Paul Wang
Paul Wang is a long-standing fixture in the market and receives extensive praise from market commentators who describe him as “a great strategist and one of the top criminal solicitor in town”
Felix Ng
“Felix Ng is singled out as a ‘highly professional and extraordinarily capable’ white-collar crime lawyer”
Felix Ng
“Felix Ng boasts a stellar reputation in the Asian legal market and, according to sources, leaves no stone unturned in preparing his client’s defence”
Felix Ng
“Besides his exceptional professionalism, Felix is compassionate, empathetic and attentive…gave me the needed trust and confidence throughout the entire process and made this unbearable investigation a lot more bearable”
Felix Ng
“Felix is held in high regard for his top-tier business crime defence practice advising domestic and international financial institutions and corporations in complex white collar crime and securities matters”
Timothy Wan
“What has impressed us the most is your efficiency and proficiency in handling the case. Your prompt responses in handling all the correspondences and your familiarity and experience with the procedure and process were truly impressive. They were the keys to the timely resolution of the case. In addition, your care for your clients in all aspects is respected and highly appreciated. You gave us the confidence that we desperately needed.”
Timothy Wan
“We greatly appreciate your clear explanation of the different legal options, invaluable suggestions on the preferred choice of option, and accurate prediction of the desirable outcome of the case.”
Timothy Wan
“Timothy, thank you again to help me throughout the year, and had me to be happy again.”
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