Securities, Regulatory & Disciplinary Matters
Overview
Haldanes has a wealth of experience handling financial regulatory investigations and proceedings opened by the Securities and Futures Commission (SFC), the Stock Exchange of Hong Kong (SEHK), the Hong Kong Monetary Authority (HKMA) and the Takeovers and Mergers Panel.
These range from insider dealing, market misconduct, securities fraud, disclosure of interests, whitewash waiver and disciplinary matters relating to the Securities & Futures Ordinance, the Listing Rules and the Code on Takeovers and Mergers and Share Buy-backs.
Vast Experience in SFC, HKEX and HKMA Enforcement Actions and Proceedings
We also have extensive experience advising leading financial institutions, listed companies, directors and senior management, intermediaries and professionals on Notice for Interview, Notice to Produce Documents and Records and Search Warrants issued by these authorities.
Our legal team has represented institutions and professionals in disciplinary proceedings taken out by regulatory bodies and professional councils like the Medical Council of Hong Kong, the Chinese Medical Council of Hong Kong, the Law Society of Hong Kong, the Estate Agents Authority, the Insurance Agents Registration Board, the Hong Kong Confederation of Insurance Brokers and the Association of Chartered Certified Accountants in the U.K.
Recognition
Geoffrey Booth
“A great lawyer and ADR expert”
“A very active and well-known name especially in commercial mediations.”
“One of the founders of mediation in Hong Kong.”
Felix Ng
“Besides his exceptional professionalism, Ng is compassionate, empathetic and attentive … gave me the needed trust and confidence throughout the entire process and made this unbearable investigation a lot more bearable.”
Andrew Powner
“Andrew is an excellent operator.”
“He has excellent client handling skills.”
“Andrew is calm and unruffled under pressure.”
Paul Wang
“Paul effortlessly understands the culture of multiple jurisdictions, enabling his clients to be sure they have the best representation in what may not be their home jurisdiction.”
“Paul is an experienced criminal lawyer who considers from the client’s perspective. Paul provides high-quality succinct advice to the client.”
Paul Wang
“Paul Wang was born and raised in the PRC and is a native Mandarin speaker. He is intelligent and intuitive with a positive, cheerful and outgoing personality. He provides a strong and safe link across the border for those in need of help on the other side. He is warm and caring towards even difficult clients and inspires their trust and confidence. He leads his team with good humour, but is forceful when the need arises.”
Paul Wang
“Native Mandarin and Cantonese-speaking partner Paul Wang has developed a strong reputation advising on complex commercial criminal matters often involving a significant nexus to the mainland, where he is appreciated for his ability to provide clear and pragmatic advice.”
Paul Wang
“Paul Wang is highly recommended by market observers for his intelligent understanding of clients’ cases and ability to effortlessly straddle the cultures of PRC and Hong Kong.”
Paul Wang
Paul Wang is a long-standing fixture in the market and receives extensive praise from market commentators who describe him as “a great strategist and one of the top criminal solicitor in town”
Felix Ng
“Felix Ng is singled out as a ‘highly professional and extraordinarily capable’ white-collar crime lawyer”
Felix Ng
“Felix Ng boasts a stellar reputation in the Asian legal market and, according to sources, leaves no stone unturned in preparing his client’s defence”
Felix Ng
“Besides his exceptional professionalism, Felix is compassionate, empathetic and attentive…gave me the needed trust and confidence throughout the entire process and made this unbearable investigation a lot more bearable”
Felix Ng
“Felix is held in high regard for his top-tier business crime defence practice advising domestic and international financial institutions and corporations in complex white collar crime and securities matters”
Timothy Wan
“What has impressed us the most is your efficiency and proficiency in handling the case. Your prompt responses in handling all the correspondences and your familiarity and experience with the procedure and process were truly impressive. They were the keys to the timely resolution of the case. In addition, your care for your clients in all aspects is respected and highly appreciated. You gave us the confidence that we desperately needed.”
Timothy Wan
“We greatly appreciate your clear explanation of the different legal options, invaluable suggestions on the preferred choice of option, and accurate prediction of the desirable outcome of the case.”
Timothy Wan
“Timothy, thank you again to help me throughout the year, and had me to be happy again.”
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