Fluent in English, Mandarin and Cantonese, Vicky advises international and major Chinese financial institutions on a wide range of dispute resolution matters, including general commercial litigation, corporate crime, internal and regulatory investigations by overseas and local regulators, such as the HKMA and HK SFC (including search warrants and s.182 and 183 investigation notices), and covert raids (police and HK SFC).
Vicky also advises clients on non-contentious regulatory and compliance matters, including financial services licensing issues, anti-money laundering (AML) regulation and compliance. Vicky’s contentious experience includes advising on insider dealing, unauthorised trading, sponsor obligations, regulatory reporting and mis-selling, and administrative challenges, conflicts of interest, employee conduct issues, systems and controls breaches.
During her recent secondment to the HSF London office, Vicky had been advising a UK listed company on a Serious Fraud Office investigation, a UK headquartered bank on a potential damages claim against it and an European headquartered investment bank on post-Brexit transitional arrangements.
Vicky graduated from the University of Hong Kong with a Bachelor of Social Sciences (Government and Laws) (First Class Honours) degree, and a Bachelor of Laws (Honours) degree, before completing the Postgraduate Certificate in Laws at the same university. Vicky is qualified as a solicitor in Hong Kong and in England & Wales.
Vicky has been advising:
- a global investment bank in its defence of allegations by a former client that certain transactions in its account were entered into without its authority
- a major Chinese financial institution on two separated investigations and queries by market regulators, including SFC and HKMA, in relation to a complaint by its customer that certain transactions in its account were entered into without its authority
- a global investment bank in relation to proceedings by the liquidators of a Chinese company for its liabilities as a joint sponsor in its IPO
- a global tobacco products manufacturer in an administrative challenge to tobacco control regulatory measures (increase in graphic health warnings, ban on e-cigarettes) proposed by the Hong Kong Government
- a major Chinese securities firm on a client complaint filed with the SFC and their relevant Hong Kong regulatory implications
- a global financial institution in respect of a SFC regulatory investigation regarding possible proceedings before the Market Misconduct Tribunal, the Court of First Instance and disciplinary proceedings
- a global investment bank on responses to enquiries by all of the market regulators, including the Hong Kong Securities and Futures Commission, the Hong Kong Monetary Authority and the Commercial Crime Bureau, followed by full-scale investigations. Our work involved Hong Kong IPO sponsor due diligence, potential Hong Kong regulatory issues arising from the marketing and the sale of certain FX structured financial products offered globally, and alleged unauthorised trading.
Vicky graduated from the University of Hong Kong with bachelor's degrees in law and social sciences (government and laws), before completing the Postgraduate Certificate in Laws at the same university. Vicky is qualified as a solicitor in Hong Kong and in England & Wales and speaks fluent English, Cantonese and Mandarin.