Regulatory Investigations & Enforcement

• Advising global financial institutions, funds, listed companies, and corporations on investigations and enforcement actions by regulators in the US (including the SEC and DOJ), Hong Kong and across Asia, on a wide array of issues, including market manipulation/misconduct, securities fraud, accounting fraud, listing sponsor obligations, the Foreign Corrupt Practices Act, and insider trading.
• Regulatory advice to major financial institutions in Hong Kong on a wide variety of issues, including licensing, electronic trading, market misconduct, compliance with rules and regulations issued by the SFC, SEHK, and HKMA, including the SFC Code of Conduct, the Securities and Futures Ordinance and its subsidiary legislation.

Litigation, Arbitration & Dispute Resolution

• Representing major banks, funds and corporations in an array of matters in the US and Hong Kong, including US securities litigation, Hong Kong arbitrations, and complex commercial disputes.

Corporate Governance & Compliance

• Conducting internal reviews and advising listed companies and their boards on risk management, corporate governance, cybersecurity event preparedness and other key matters.
• Conducting internal investigations on behalf of companies, boards of directors, and independent directors in the energy and financial sectors.