Recent transactions Read more
Appointed by the SFC as an expert in relation to IPO sponsor work and sponsor duties Advice on best practices for a proposed ICO (Hong Kong) Provide advisory report on Hong Kong corporate governance Shareholder protections for joint venture in Shenzen, China Advise on regulatory positioning of a crowdfunding platform Establish capital holding structure for resort development (South East Asia) Shareholder investment structure and capital raising for a Hong Kong SME Corporate structure for foreign investment to Mainland China (U.S./HK/Shanghai) Negotiate unwinding of a Mainland China/HK joint venture Investment & shareholder agreements in relation to property development (Indonesia) Incorporate one of HK’s first redeemable shareholding investment structures under new Companies Ordinance (HK) Disposal of solar farm (Australia) Disposal of a hotel by owner/operator (South East Asia) Establish joint venture for development of technology (HK/Shenzhen) Disposal of majority shareholding in specialist engineering company Solar farm development investment (Thailand)
Selected publications Read more
Dec 2019 – Alibaba, HKEX & ESG: Progress and missed opportunities to lead (International Financial Law Review forthcoming December/January 2020) Aug 2019 – Regulating Cryptoexchanges (Hong Kong Lawyer Aug 2019) Read article Jul 2019 – IPO Sponsor Duties and the SFC’s Recent Disciplinary Actions (Hong Kong Lawyer Jul 2019) Read article Apr 2019 – Requisites for Development of a Regulated Secondary Market in Digital Assets (AIIFL working paper No. 33) Read article Jan 2019 – Taxonomies of digital assets: recursive or progressive? (Stanford J. Blockchain L. & Policy 1, 1-7 Jan 2019) Read article Nov 2018 – How can Cryptographic Consensus Technology be Regulated? (Hong Kong Lawyer Nov 2018) Read article Oct 2018 – Regulating Cryptographic Consensus Technology – Oxymoron or Necessity? (AIIFL working paper No. 32) Read article Jul 2018 – A red flag for the licensing regime (AIIFL working paper No. 29) Read article Mar 2018 – ICO Utility tokens and the relevance of securities laws (Hong Kong Lawyer March 2018) Read article Dec 2017 – Report on improving corporate governance in Hong Kong (HKICPA Dec 2017) Read the report Oct 2017 – Moving forward on listing reform (AIIFL working paper No. 22 Nov 2017) Read article Jul 2017 – The CITIC case and transparency of information in the market (Hong Kong Lawyer March 2018) Read article Apr 2017 – Credit Ratings – The Moody’s Case (HKLJ Vol 47(1) 2017 pp.193-219) Read article Nov 2016 – A principles-based response to the reform of listing regulation (Submission to SFC/HKEX AIIFL working paper No. 19 Nov 2016) Read article Aug 2016 – Oxford Business Law Blog Read article Jul 2016 – A red flag for Hong Kong credit ratings (AIIFL working paper No. 18) Read article Apr 2016 – Equity crowdfunding (IFLR) Read article Apr 2016 – Deconstructing sponsor prospectus liability (HKLJ Vol 46 2016 pp.255-286) Read article Mar 2016 – BOOK: Financial markets in Hong Kong: Law and Practice (Oxford University Press, 2nd ed, 2016) See book flyer Aug 2015 – Prospectus Liability of IPO sponsors (AIIFL.com) Read article May 2015 – Weighted voting rights on the HK Exchange (May 2015) (IFLR) Read article Dec 2014 – Regulation of Corporate Finance * Oct 2014 – Fundamentals of Securities and Futures Regulation * Sep 2013 – Regulation of IPO sponsors under the new regime * May 2011 – Regulation of Credit Rating Agencies * Spring 2009 – Are regulations becoming too much red tape? (Momentum) Read article Jul 2009 – Regulation of Asset Management * May 2009 – Accountability of securities regulators (IFLR) Read article Feb 2009 – The Lehman Brothers Minibonds crisis Read article May 2006 – International Securities Regulation – Hong Kong Read article 2006 – Financial markets in Hong Kong – developing regulation, HKLJ, Law Lectures for Practitioners, pp 101-122 2006 – Financial Markets in HK: Law and Practice (Oxford University Press, 1st ed, 2006) * available from the Hong Kong Securities and Investment Institute HKSI.org
Knowledge related Read more
Sep 2019 – Deliver seminar on IPO sponsor duties (HK Law Society CPD) Sep 2019 – Commence lecturing on HKU LLM courses: Aug 2019 – Provide workshop training on securities law and stock exchange regulations to a statutory regulatory body Aug 2019 – Deliver seminar on regulating cryptoexchanges and the secondary market in digital assets (HK Law Society CPD) Jul 2019 – Speaker at SPOT conference at HKEX Connect Hall See SPOT Jul 2019 – Deliver seminar on digital assets and United States commodities and securities laws (HK Law Society CPD) Jun 2019 – Quoted in Medium (on digital assets) Read article Jun 2019 – Deliver seminar on cryptos at University of Padua, Italy See flyer May 2019 – Quoted in Medium (on digital assets) Read article Apr 2019 – Deliver seminar on digital assests at Stanford University Law School’s Blockchain@FutureLaw conference See flyer Feb 2019 – Provide training on U.S. securities and commodities laws to a leading global Bitcoin trading platform Feb 2019 – Speaker at Interlaw 2019 Asia Pacific Regional Meeting (Fintech/Cryptocurrency) Jan 2019 – Commence lecturing on HKU LLM courses: Nov 2018 – Convenor & Speaker – half day conference on secondary market for digital assets Opening speech See poster See slides Nov 2018 – Quoted in SCMP on Cathay Pacific’s disclosure of insider information (data breach) Read article Oct 2018 – Staff training on securities law for statutory regulatory body Oct 2018 – Provide a seminar on Hong Kong securities case law to a leading U.S. law firm Sep 2018 – Appear on CNBC Watch CNBC interview Sep 2018 – Speech at HKICPA on improving Hong Kong’s corporate governance system Watch video (starts at 5 mins in) See flyer Sep 2018 – Commence lecturing on HKU LLM courses: Aug 2018 – Quoted in IFLR cover story on corporate governance in Asia Read article Aug 2018 – Deliver seminar on ICOs (Law Society CPD) July 2018 – Thought leadership on independent non-executive directors – article in Aplus Read article July 2018 – Provide a public seminar to HKICPA (Hong Kong Institute of Certified Public Accountants) See flyer May 2018 – Panel speaker on Fintech challenges and opportunities – Deacons 10th Annual Investment Products and Regulatory Forum See programme May 2018 – Quoted in media coverage of corporate governance recommendations See media coverage Apr 2018 – Deliver seminar on the legal and regulatory treatment of cryptos, tokens and ICOs (Law Society CPD) Mar 2018 – Convenor/speaker – half day conference on ICO best practices See flyer Feb 2018 – Quoted in Hong Kong Economic Journal on Weighted Voting Rights reform Read article Jan 2018 – Commence lecturing on HKU LLM courses: Nov 17 – Corporate governance and personal responsibility – Panel speaker at 6th Compliance Summit Asia See flyer Oct 17 – Fintech – Panel speaker at Deacons In-House Corporate Counsel Forum See flyer Sep 17 – Mis-selling financial products – quoted in Thomson Reuters Regulatory Intelligence Read article Sep 2017 – Commence lecturing on HKU LLM courses: Apr-Jun 2017 – Provide a series of seminars on Hong Kong securities law to a leading U.S. law firm Nov 2016-Apr 2017 – Public lecture series on compliance at HKU and HKSI See details Mar 2017 – Money laundering – quoted in Thomson Reuters Regulatory Intelligence (Public lecture series in compliance) Read article Feb 2017 – Cited by HKSAR Legislative Council Panel on Financial Affairs (6 Feb 2017) Listen (3:40:50 to end) Feb 2017 – Commence lecturing on HKU LLM courses: Oct 2016 – Stock market listing regulation – Panel speaker at APSA/AIIFL Roundtable discussion on listing regulation Read article Oct 2016 – Short-selling and the Citron/Andrew Left case – quoted in Thomson Reuters Regulatory Intelligence Read article Oct 2016 – Deliver seminar on Fintech (Law Society CPD) Sep 2016 – Deliver seminar on Investment Products (Law Society CPD) Sep 2016 – Commence lecturing on HKU LLM courses: Aug 2016 – Quoted in Financial Times “Hong Kong negative research crackdown fuels free speech fears” Read article Aug 2016 – IPOs and listing reform – quoted in Thomson Reuters Regulatory Intelligence Read article Aug 2016 – Oxford Business Law Read article Mar 2016 – Appointed by a HK institute to undertake 13 month study on regulation of HK listed companies Feb 2016 – Staff training on Corporate Finance for statutory regulatory body Jan 2016 – Commence lecturing on HKU LLM courses: Financial Markets in HK: Law and Practice (Oxford University Press, 2nd ed, 2016) Nov 2015 – Deliver seminar on Investment Products (Law Society CPD seminar) Nov 2015 – Staff training on securities law for statutory regulatory body Oct 2015 – Deliver half day seminar on Hong Kong’s regulatory framework (Law Society CPD seminar) Sep 2015 – Sponsor liability for IPO work – quoted in GlobalCapital | ASIAMONEY Read article Sep 2015 – Commence lecturing on HKU LLM courses: Aug 2015 – Are IPO sponsors subject to prospectus liability? Read article Aug 2015 – Provide an update on OTC Derivatives rules (HK client) Aug 2015 – Deliver workshop on HK regulatory framework (HK client in Central) May 2015 – Quoted in Asian Wall Street Journal (HK regulator investigating Hanergy Thin Film Power) May 2015 – Provide an update on Shanghai/HK Stock Connect trading platform (HK client) May 2015 – Weighted voting rights on the HK stock exchange (IFLR) Read article Feb 2015 – quoted in CBN Weekly (Alibaba’s privatization and voting rights structure) Feb 2015 -Commence lecturing on HKU LLM courses: Apr 2014 – Quoted in China Economic Review (Alibaba and investor rights) Read article
