Regulatory & Compliance

"The firm is able to fight against all the odds in the regulatory jungles and successfully convinced the opposite party of the points we tried to strike."  Client testimonial in IFLR1000 2021

 

Our regulatory team advises on both contentious and non-contentious matters, and often in both capacities for the same clients; therefore making us unique in our ability to work with clients on all of their regulatory and compliance needs.


Our clients include banks, brokers, listed companies, asset managers, financial advisors, start-ups, "fintech" companies, insurance companies and established businesses.  We also advise senior management such as directors, responsible and executive officers, chief executives and licensed individuals.

 

Key areas of practice include: 

 

  • Financial crime
  • Market misconduct
  • Breach of directors’ duties
  • Inadequate corporate governance
  • Weaknesses in internal controls
  • Inadequate management or supervision of business
  • Breaches of regulations, codes and guidelines
  • Unlicensed activities
  • Breach of Hong Kong Listing Rules
  • Deficiencies in fund management and valuation of assets
  • Non-compliance with accounting or professional standards
  • Breaches of privacy legislation
  • Licensing
  • Business conduct
  • Internal controls, policies and corporate governance
  • Hong Kong listing rules
  • Entry and exit from Hong Kong
  • Client documentation
  • Data protection and outsourcing
  • Competition law
  • Retail/electronic payment systems, ICOs, e-wallets, stored value facilities, credit/charge cards, clearing and settlement systems, virtual banks
  • Strategic matters, such as major regulatory changes including liaison with regulatory bodies.


Key Partners:

Jill Wong; Desmond Lee; William Wong