Our Team

Work Experience Includes Representation of:

Contentious Financial Services Regulatory Proceedings

• the board of directors of a Hong Kong listed company in parallel HKEx and SFC investigation concerning arising of qualified auditors’ opinion in its annual reports.
• a Hong Kong listed company in an investigation brought by the SFC concerning alleged misstatements in its IPO prospectus.
• a leading PRC investment bank in disciplinary proceedings brought by the SFC concerning alleged due diligence failures as IPO sponsor and settlement negotiation with the SFC.
• a licensed person in disciplinary proceedings brought by the SFC concerning facilitation of false trading.
• a licensed person in an investigation brought by the SFC concerning alleged use of fraudulent or deceptive devices in trading of securities contrary to section 300 of the SFO.
• a director of a Hong Kong listed company in an investigation brought by the SFC concerning alleged insider dealing.
• a substantial shareholder of a Hong Kong listed company in an investigation brought by the SFC concerning alleged failure to disclose interests contrary to Part XV of the SFO.
• a licensed corporation served with a letter of mindedness by the SFC seeking to revoke its licenses for carrying out regulated activities.
• a major PRC securities brokerage firm and a listed company in search operations conducted by the SFC.

Non-Contentious Financial Services Regulatory Advice

• a major PRC investment bank in relation to its due diligence obligations as an IPO sponsor.
• a major PRC securities firm in relation to its potential risk exposures for false trading and market manipulation arising from a proposed share swap.
• a licensed corporation in respect of its obligations under the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules (Cap. 571Q).
• a leading hedge fund in connection with a fraudulent website.
• an individual in respect of the offence of carrying on the business of advising on securities without license under section 114 of the SFO.

Civil And Commercial Litigation

Pre-Action Dispute Management

• a leading health care company in relation to a dispute concerning the distribution of COVID-19 testing kits in Zimbabwe and Ivory Coast.
• a Hong Kong listed company in relation to a dispute concerning its acquisition of certain land use rights in Macau.
• a Hong Kong listed company in relation to a dispute concerning a shareholders’ agreement.
• two companies in relation to disputes arising out of note instruments issued by a Hong Kong listed company.
• a leading utility products manufacturer in relation to a dispute concerning purchase of defective products supplied by a PRC company.
• the Private Wealth Management division of a leading investment bank in relation to client complaints.

Interim Relief Applications

• a PRC high net worth individual in an application for interim injunction prohibiting dissipation of assets in aid of a HKIAC arbitration concerning a private equity investment worth USD 70 million.
• a PRC partnership in application for the appointment of receivers in aid of an ICC arbitration concerning private equity investments worth over USD 740 million.
• a PRC high net worth individual against an asset management firm in an application for interim proprietary injunction prohibiting dissipation of funds and seeking ancillary disclosure in aid of an intended HKIAC arbitration.
• an individual client in an application for interim injunction prohibiting dissipation of shares held in a Hong Kong listed company through a BVI company in aid of substantive action in BVI to rectify registers of directors, shareholders and registered agent.

General Commercial/Civil Litigations and Arbitrations

• a leading PRC medical beauty products company in respect of a SIAC arbitration concerning a JV agreement.
• a group of individual investors in a High Court action concerning a real estate investment project worth over HKD 21 million.
• a state-owned enterprise in a HKIAC arbitration concerning various share subscription agreements.
• a Hong Kong listed company in a High Court action concerning a sale of goods contract and subsequent enforcement proceedings.
• a renowned French winery in a High Court action concerning a service agreement and subsequent enforcement proceedings.
• a licensed money lender in various High Court actions concerning various defaulted loans.
• a licensed corporation in a High Court action concerning a defaulted margin facility.
• two individuals in High Court actions against a licensed corporation concerning stock borrowing agreements and related settlement negotiations.
• a Canadian real estate portfolio manager in a High Court action concerning a loan agreement and subsequent enforcement proceedings.
• a film actress in defending a HKIAC arbitration brought against her under an artiste management agreement.

Judicial Review Proceedings

• two companies in judicial review proceedings against the Inland Revenue Department concerning profits tax assessments.

Insolvency

• the Joint and Provisional Liquidators appointed to a Hong Kong listed company by the Bermuda Court in their application for the Hong Kong Court’s recognition of their appointment.
• a Hong Kong listed company in provisional liquidation in respect of a proposed scheme of arrangement.
• a various Hong Kong listed companies in resisting a winding up petitions.
• a various parties (including the Hong Kong Competition Commission) in winding up proceedings against debtors.

Criminal Proceedings

• a private company director and a high net worth individual arrested by the Hong Kong Police Force in relation to allegations of using forged documents.
• a renowned French winery in its criminal complaint against one of its service providers for theft and forgery of documents.
• a PRC partnership in its criminal complaint against a fund manager for perjury.
• a high net worth individual in its criminal complaint for money laundering.
• a Hong Kong listed company in its criminal complaint against a former employee for money laundering.
• an individual in a trial for theft in the Eastern Magistrates’ Court, and the subsequent appeal to the Court of First Instance.