We act for a cross-section of multinational and local banking corporations, insurance institutions, manufacturing, trading, property and construction companies, institutions, NGOs, statutory bodies as well as various businesses.

SERVICES PROVIDED INCLUDE:

• Banking regulation and compliance

  Advising banks and securities companies on regulatory and compliance matters in relation to banking, securities and regulated activities including issues relating to the Banking Ordinance, HKMA circulars and guidelines, Code of Banking Practice, Listing Rules and SFO-related compliance

  Advising banks and financial institutions on compliance issues, complaints and investigation by regulatory authorities, such as product due diligence (PDD), know-your-customer (KYC) process, customer risk profiling, anti-money laundering (AML) and counter-terrorist financing (CFT)

• SFC compliance and licensing

  Advising licensed corporations on SFC compliance matters, Securities and Futures Ordinance, SFC Code of Conduct as well as other codes and guidelines issued by the SFC, to review internal control systems and policies. We also assist client in obtaining SFC licences

• Listing compliance

  Advising listed companies and their directors on compliance and regulatory matters relating to the Listing Rules and the Securities and Futures Ordinance: please refer to our Corporate and M&A Practice for details)

• General compliance

  Advising listed companies, other business corporations, tertiary institutions and NGOs on various compliance issues, including the Listing Rules, competition law, personal data (privacy), discrimination and other relevant laws and regulations governing various types of businesses and institutions

• Commercial and cybercrimes

  • Advising clients on various types of investigation by the Commercial Crime Bureau (CCB), Independent Commission Against Corruption (ICAC), Securities and Futures Commission (SFC) and other regulatory authorities, representing clients in any subsequent prosecution and court proceedings
  • Acting for senior management of corporations in conducting internal audit and investigation in suspected fraud
  • Advising and acting for cybercrime victims in making reports to the relevant authorities and in bringing civil proceedings for recovery of the misappropriated funds

• Disciplinary proceedings

  • Representing professionals in disciplinary board investigations and subsequent disciplinary proceedings
  • Representing clients in Stock Exchange disciplinary matters involving breach of Listing Rules
  • Acting for institutions and corporations in internal disciplinary proceedings, advising on procedures and handling any subsequent legal and procedural challenges

• Discrimination

  • Significant experience in anti-discrimination laws and implementation of various codes of practice
  • Advising banks, listed companies, tertiary institutions and NGOs on anti-discrimination laws; acting for clients in court, internal disciplinary proceedings, mediation and other types of alternative dispute resolution (ADR) procedures, providing strategic advice and drafting documentation

• Privacy and personal data

  • Significant experience in privacy and data protection, and implementation of various codes of practice
  • Advising banks, listed companies, tertiary institutions and NGOs on privacy and data protection; acting for clients in court, internal disciplinary proceedings, mediation and other types of alternative dispute resolution (ADR) procedures, providing strategic advice and drafting documentation

• Securities (regulatory matters and investigation)

  • Advising publicly listed companies and their boards in various regulatory matters
  • Representing publicly listed companies and their directors or related parties in securities investigations by the Securities and Futures Commission and any prosecution and court proceedings