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Regulatory Compliance


We understand the importance of ensuring that clients (both private and listed companies) are in compliance with a wide range of legal and regulatory compliance obligations. Our lawyers have extensive background and knowledge on regulatory compliance from past experiences working at regulatory bodies such as the HKSE and SFC. Our lawyers are able to provide insightful interpretations of the rules and regulations applicable to our clients.


Our expertise in this area includes:

  • Advising listed companies on their compliance with the Listing Rules, Takeovers Code, and Companies Ordinance

  • Restricted license applications from the SFC

  • Annual mandate for listed companies

  • Dealing with the HKEX and the SFC for possible breaches of the regulatory requirements

  • Preparing interim and annual reports and other documents for AGMs and EGMs

  • Directors training and compliance training

  • Advising on notifiable transactions and connected transactions

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