Our Securities Compliance and Enforcement team advises financial institutions, listed companies, directors, INED’s and other market participants on a wide range of regulatory matters, including compliance with new and existing regulatory requirements and disciplinary issues and enquiries.

Our firm regularly represents listed companies, public and private companies, financial practitioners and other market participants in inquiries and investigations of suspected securities violations brought by the Securities and Futures Commission, the Hong Kong Monetary Authority, the Hong Kong Police Force (including the Commercial Crimes Bureau) and the Independent Commission Against Corruption covering the following key areas:

  • financial services licensing and regulatory activities
  • industry sector regulation
  • privacy, data protection and information exchange
  • mis-selling of financial products
  • conflicts of interest
  • sponsors due diligence
  • insider dealing
  • market manipulation
  • false trading
  • price rigging
  • disclosure of false and misleading information
  • improper marketing practices
  • other market misconduct
  • supervision and internal control issues

We have experienced litigators capable of handling the full range of civil, criminal and regulatory investigations and enforcement actions arising from issues of compliance with the securities and futures laws and regulations in Hong Kong. We understand the workings of the local regulators and the concerns of our clients, whether they be multi-national corporations or individuals participating in the financial market. We are able to provide pragmatic and efficient advice and legal representation.



For further information on this area, please contact: