Wing is a Legal Director in our Hong Kong office, specialising in disputes, investigations and financial services regulatory matters.
He advises on a wide range of regulatory and enforcement matters, from compliance advisory, inspections, internal investigations to regulatory enquiries and enforcement actions, including those initiated by the Hong Kong Monetary Authority, the Securities and Futures Commission, the Stock Exchange of Hong Kong, the Competition Commission, the Independent Commission against Corruption and the Office of the Privacy Commissioner for Personal Data, covering a variety of issues including mis-selling of financial products, IPO sponsor work, fund management, market misconduct, anti-money laundering, bribery, fraud, anti-competitive conduct, data breach, employee misconduct, regulatory breaches, internal controls and senior management responsibility.
Before re-joining the firm in 2023, Wing was a Senior Manager in the Enforcement Division of the Securities and Futures Commission (“SFC”), advising on investigations and enforcement actions, with a focus on intermediary misconduct. During his time at the SFC, he was also involved in strategic projects relating to the SFC’s policy initiatives and enforcement work.
In addition to his experience as a regulator, and as a litigator by training, Wing is also experienced in advising clients on a wide range of commercial disputes, including banking and financial services litigation, contractual disputes, joint venture and shareholders’ disputes, breaches of duties by directors and employees, fraud and asset tracing claims and matters arising from receivership and insolvency proceedings.
His client includes financial institutions, licensed intermediaries, fintech start-ups, listed and multi-national companies, senior management of the above and insolvency practitioners.
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Wing’s notable experience in regulatory matters includes:
- advising a financial institution on a portfolio of customer complaints and related regulatory inquiries in relation to alleged mis-selling of FX accumulator products
- advising a financial institution and its senior officers on an investigation into alleged breaches of with anti-money laundering legislation
- advising a listed company and its senior management in concurrent regulatory and criminal investigations in relation to allegations of mis-use of IPO proceeds
- advising a financial institution on its internal investigation and related regulatory enquiries arising from a data breach incident working with the in-house legal team of a financial institution on a pioneer project to design and prepare a set of FAQs, decision trees and guidance notes for routine legal enquiries to enhance operational efficiency
Wing’s notable experience in commercial disputes includes:
- defending a private bank against a claim for misrepresentations and breach of duties in relation to the sale of equity-linked structured products
- advising an international company on the investigation and urgent legal action following an authorised push payment fraud incident, and successfully recovered the majority of the remitted funds for the client
- advising the former directors of a listed company in their claims against the company for breach of the share option scheme rules, representing the clients in a 13-day trial and appeal proceedings up to the Court of Final Appeal acting for the plaintiff in a multi-jurisdictional fraud and assets tracing claim, working with legal teams in 4 different jurisdictions in a co-ordinated effort to investigate, trace and enforce a judgment on available assets, including obtaining freezing injunctions, an Anton Piller order and a receivership order in Hong Kong representing the court-appointed receivers in multiple legal proceedings with other shareholders of a listed company on the control and conduct of business by the listed company