SFC
APPELLATE

We have a market leading practice handling appeals from SFC enforcement action. Through our Financial Services Regulatory practice, we are one of a small number of Hong Kong law firms who have represented clients in landmark appellate cases and multiple appeals from SFC prosecutions from the Market Misconduct Tribunal (“MMT”) to the Court of Appeal (“CA”) and the Court of Final Appeal (“CFA”), the highest appellate court in Hong Kong.

Our appellate work in this area has set precedents in several significant areas of securities law in Hong Kong, including in respect of the scope and application of the professional investors exemption under section 103 of the Securities and Futures Ordinance (“SFO”) and the standard of care in respect of the disclosure of false or misleading information inducing transactions under section 277 of the SFO.

We routinely advise clients in SFC investigations and prosecutions as to the likelihood of success before the Hong Kong courts or the Securities and Futures Appeals Tribunal (“SFAT”) should they contest liability for breaches alleged by the SFC

Leveraging more than twenty years of experience serving clients in the financial sector, our firm has carved out a formidable standing as the preferred organisation for businesses in search of tailored and inventive legal guidance.