Regulatory Investigations & Proceedings
Our Regulatory Investigations and Proceedings team has substantial experience in dealing with enquiries and investigations by the Securities and Futures Commission (SFC), the Hong Kong Monetary Authority, the Hong Kong Stock Exchange and the Confederation of Insurance Brokers. In addition, we have acted in several cases of prosecutions before the Market Misconduct Tribunal, in proceedings in the Securities and Futures Appeals Tribunal and in various contested proceedings pursued by the SFC in its regulatory watchdog role.
We also work closely with our Criminal and Commercial Crime Department on more serious investigations undertaken by the regulatory authorities in the Territory.
Awards & Recognition
Regulation and Investigations Law Firm of the Year Finalist
ALB Hong Kong Law Awards, Asian Legal Business
2025
Recommended Domestic Firm, White-collar Crime
Benchmark Litigation Asia-Pacific
2025
Litigation Star, White-collar Crime
Benchmark Litigation Asia-Pacific
2025
Preeminent Hong Kong White Collar Crime, Corporate Crime & Regulatory Investigations Lawyer
Doyle's Guide
2025
Leading Hong Kong White Collar Crime, Corporate Crime & Regulatory Investigations Lawyer
Doyle's Guide
2025
Global Elite Thought Leader, Business Crime Defence (Individuals)
Lexology Index
2024
Preeminent Hong Kong White Collar Crime, Corporate Crime & Regulatory Investigations Lawyer
Doyle's Guide
2025
Leading Hong Kong White Collar Crime, Corporate Crime & Regulatory Investigations Lawyer
Doyle's Guide
2025
Global Elite Thought Leader, Business Crime Defence (Individuals)
Lexology Index
2024
Thought Leader of Mainland China, Hong Kong SAR and Macao SAR (Business Crime Defence)
Lexology Index
2024
Global Elite Thought Leader (Client Choice), Business Crime Defence
Lexology Index
2024
Recommended Lawyer of Mainland China, Hong Kong SAR and Macao SAR (Business Crime Defence & Investigations)
Lexology Index
2024
Experience
