Our financial services regulatory and litigation team provides practical legal and regulatory advice to Securities and Futures Commission (“SFC”) licence applicants, SFC licensed firms, banks and listed companies (as well as their directors and management staff). We work closely with the management teams and legal/compliance officers of our clients, assisting them to discharge their day-to-day legal and compliance obligations and providing them with effective and practical solutions.
We have solid experience in advising clients on SFC licensing obligations/exemptions, seeking various types of SFC/HKMA licences and registrations (e.g. securities, futures, FX, advisory, ATS, corporate finance and fund management licences), advising clients on daily legal and compliance obligations, and dealing with legal/regulatory issues which may arise from clients’ businesses from time to time.
On the litigation aspect, we handle enquiries and investigations by securities regulators and government authorities. Examples are investigations and court proceedings brought by the SFC, the Hong Kong Monetary Authority, the Hong Kong Stock Exchange, the Police and the Independent Commission Against Corruption. We also handle other commercial litigations such as shareholders’ disputes, employment disputes, contractual disputes and “mis-selling” claims.
We have solid experience in defending listed companies’ directors (on insider dealing and other market misconduct offences), securities brokerage firms, warrant market makers, securities analysts, investment banks and retail banks.
The team is led by Mr. Philson HO (Partner), a lawyer and certified public accountant who has more than 20 years of experience in legal, compliance, finance, audit and listed companies’ regulations. A former litigation partner of a major international law firm in Hong Kong, Mr. HO used to work in the SFC mainly responsible for licensing and compliance of Hong Kong financial services intermediaries.
Communicating with any of our solicitors by email or mail does not create a solicitor-client relationship until the terms of our engagement letter has been expressly agreed. All correspondence by email or mail pursuant to this website does not constitute an advice until a solicitor-client relationship has been established and the advice is expressly communicated as such by a solicitor of this firm.