Regulatory Investigations

• Representing two international investment banks in connection with Hong Kong IPO sponsorship investigations by the SFC
• Representing an international investment bank in an SFC investigation regarding conflicts of interest in Hong Kong IPOs
• Representing an international investment bank in an SFC investigation regarding cornerstone independence
• Representing Hong Kong-listed companies in internal investigations and in SEHK and SFC investigations related to financial disclosure and management misconduct
• Representing an international investment bank in an SFC investigation regarding sales misconduct
• Representing the CTO of a technology company in a U.S. SEC investigation into securities trading activities
• Representing the CEO of a technology company in a U.S. SEC investigation regarding delinquent filings
• Advising a leading U.S. technology company on an investigation into alleged Foreign Corrupt Practices Act (FCPA) violations in its procurement and marketing operations in China
• Conducting internal investigations on behalf of a global pharmaceutical company regarding anti-corruption compliance in its China operations
• Advising international and PRC investment banks on sponsor reviews and SFC audits
• Advising multiple Chinese technology companies on U.S. sanctions and export control compliance

Contentious Matters

• Advising an international private equity fund on Hong Kong law disputes related to an investment in a fintech company
• Representing a U.S.-listed company in a dispute brought by its shareholder arising from a private placement and M&A
• Handling various arbitrations related to the purchase of investment products, credit agreements, and share subscriptions

Licensing & Fintech

• Advising clients on complex licensing matters related to cross-border M&As of financial institutions and licensing issues
• Advising multiple virtual asset platform operators on Hong Kong regulatory compliance and licensing matters