Kenneth has extensive experience in handling regulatory investigations and enforcement actions by different regulatory bodies, including the Securities and Futures Commission (SFC), the Hong Kong Stock Exchange (HKEx), Accounting and Financial Reporting Council (AFRC), Commercial Crime Bureau (CCB) and the Independent Commission Against Corruption (ICAC).
Kenneth advises on all aspects of contentious regulatory matters and enforcement actions, such as investigations and Court proceedings under sections 183 and 214 of the Securities and Futures Ordinance (SFO) respectively, and applications in the Securities and Futures Appeals Tribunal. Kenneth also represents listed companies and licensed corporations to conduct independent investigations in respect of suspected non-compliance under the SFO and listing rules.
Apart from regulatory matters, Kenneth also advises on general commercial disputes and company matters, such as unfair prejudice petition under section 724 of the Companies Ordinance.
Professional QualificationsSolicitor of the High Court of Hong Kong
EXPERIENCE
Handling investigations and prosecutions relating to market misconducts, including insider dealing, market manipulation and mis-selling of financial products.
Representing listed companies, financial institutions and auditors in regulatory and criminal investigations in connection with commercial crimes (e.g. securities market misconducts, money laundering and complex commercial crime etc.).
Handling contentious regulatory actions and non-contentious regulatory enquiries.
Advising clients in general regulatory matters, including licensing on SFC regulated activities and compliance with the Listing Rules.
Languages
English
Chinese (Mandarin)
Chinese (Cantonese)
Education
The University of Warwick (BA in Law and Business Studies)