Compliance & Regulatory

We have a leading practice in non-contentious regulatory investigation, compliance and enforcement issues arising from the regulatory and financial institutions, listed companies and their directors and senior management, intermediaries and professionals in the securities market. The ever evolving regulatory and securities markets mean that you need a team of lawyers and professionals who are always keeping up with the changing pace and climate. Our team is hands on, easy to access and be able to advise at all times issues not only around the laws and regulations, but to assist in mitigating potential fines and penalties, reputational risks and loss of professional livelihood. Our team can also assist listed companies and directors in a number of day-to-day compliance and regulatory issues and disclosures.

Our partners have the capabilities and expertise in handling all kinds of regulatory investigation and enquiries, which may or may not lead to disciplinary proceedings and regulatory prosecutions. We have a solution-oriented team, approaching the issues practically and combining our technical knowledge with our extensive knowledge and understanding in the prevailing and ever changing market practice.

Our services include advising on the following:

  • Compliance with the Main Board and GEM Listing Rules, securities and companies legislations, the Codes on Takeover and Mergers and Share Buy-backs
  • SFC investigation and enquiries – “persons under investigation” and “persons assisting” in investigations by the SFC; managing interviews/meetings with the SFC and other regulatory bodies
  • Disclosure of price sensitive information
  • Disclosure and production of information and records required by the SFC
  • Results announcements, annual and interim reports
  • Monthly reporting
  • Disclosure of interests reporting
  • General meeting procedures and shareholders’ requisitions
  • Appointment and removal of directors and senior executives
  • Obtaining SFC and money lenders licences, and compliance with licensing requirements
  • Disciplinary proceedings by the Stock Exchange and other regulatory bodies