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.”
“The firm showcased their capability to effectively handle unexpected challenges and complications with a level of finesse and expertise that is unparalleled. They approached each obstacle with a solution-oriented mindset, ensuring that our best interests were always at the forefront of their actions.”
“The team at Haldanes was exceptionally responsive and communicative throughout my engagement with them. They ensured that I was always in the loop and understood each step of the legal process. Their prompt replies and clear explanations provided me with peace of mind during a stressful time. I was immensely impressed with the firm’s expertise and knowledge. The lawyers demonstrated a comprehensive understanding of the complexities involved and were adept at navigating the legal intricacies of my case. Their strategic approach and attention-to-detail were evident in every interaction. Based on my experience, I would wholeheartedly recommend Haldanes to anyone in need of legal assistance. Their proficiency and dedication to their clients are truly commendable.”
“They are very responsive whenever an issue arises and are well on top of the case. Their expertise is market-leading and the team is well-respected.”
“I am instructed by Haldanes in an extremely complex matter that frequently involves unexpected challenges and complications. They are always ready for the challenge. I can always recommend them.”
“This is an excellent firm intheir field.”
“Excellent responses provided by the partners here.”
“Excellent capabilities in construction/health and safety-related criminal cases in Hong Kong.”
“Haldanes is one of the leading criminal law firms in town, with a strong reputation in handling white-collar crime matters. It has a strong team of criminal practitioners able to help clients even in complex matters on short notice.”
“I write as someone who has frequently worked with the team in complex commercial criminal cases. Obviously extensive and meticulous preparation is needed both before and during the trial. The Haldanes team has always provided exceptional support. Their preparation is intelligent, well-organised and researched, thorough, flexible and ongoing. You could not ask for better. They are a happy and cohesive group who are a pleasure to work with. Their client care is exemplary. If I were facing criminal charges, this is where I would go for help. They are leaders in their field.”
“We belong to a very cutting-edge legal team in the industry, with legal knowledge that keeps pace with the times, especially in white-collar criminal litigation. Personnel respond to appeals 24/7 without discrimination. They were also very good at cooperating with barristers, and all paperwork was highly praised by barristers and even the judge.”
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.”
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