Regulatory and Compliance Law

Legal Advice and Representation in Hong Kong

Tanner De Witt’s lawyers have significant experience in dealing with and advising upon clients’ legal needs concerning financial services regulation within Hong Kong and internationally. Our Financial Services Regulatory Group gives legal advice on contentious and non-contentious matters. These include compliance, licensing, investigations and prosecutions, regulation based claims, money laundering and related white collar criminal aspects.

Our lawyers within the regulatory practice deal with both Hong Kong and overseas financial regulators including: the Hong Kong Securities and Futures Commission (SFC); the Hong Kong Monetary Authority (HKMA); the Confederation of Insurance Brokers (CIB); and overseas regulators such as the Korean Financial Supervisory Services (FSS).

Tanner De Witt Solicitors acts for regulated individuals, brokerages, private equity funds, independent financial advisers and Industry Groups/Associations within the wider financial services and insurance industry. Several of the firm’s lawyers also have direct industry experience having previously worked in house with major financial institutions.

Non-Contentious Areas of Practice

Licensing and supervision:

  • Securities and Futures Ordinance (SFO)
  • Banking Ordinance (BO)
  • Money Lenders Ordinance (MLO)
  • Money Service Operators (MSO)
  • Insurance Ordinance (IO)
  • Stored Value Facility (SVF)


  • Competition Ordinance
  • Data privacy
  • AML
  • Anti-bribery and corruption
  • ICO / Listing rules

Contentious Areas of Practice

Enquiries, investigation and prosecution:

  • SFC
  • HKMA
  • ICAC
  • Customs & Excise
  • Privacy Commissioner for Personal Data (PCPD)
  • HKEx
  • MMT
  • Insurance Authority


  • Police / Company Registry / Inland Revenue Departments
  • Labour Department / Environmental Department / Food and Environmental Hygiene Department (FEHD)

Regulation and Compliance – Our Legal Services

Tanner De Witt’s lawyers provide legal advice and representation to both Hong Kong based and international corporations and individuals in a wide range of domestic and cross-border regulatory matters. Some examples include:

  • Advising on general banking and financial compliance matters including implementation of new regulatory and anti-money laundering measures
  • Lobbying, advising and commenting on financial regulatory consultations with regard to implementation of new regulations and practices, including OTC Derivatives
  • Advising on compliance with substantial shareholder filings regulations and requirements within the banking and wider financial services industry
  • Advising on financial industry licensing matters including applications for SFC licenses (both corporations and individuals/representatives) and the implications of overseas investigations
  • Advising and acting in regulatory investigations and enforcement actions by Hong Kong and overseas regulators
  • Defending SFC and other financial regulators’ criminal prosecutions including accusations of financial misconduct, misselling, money laundering, false trading, market manipulation and related allegations
  • Advising SFC investigations and disciplinary proceedings and appeals to the SFC appeals tribunal in response to fines, licence bans, prison sentences and other reprimands imposed by financial regulatory bodies
  • Judicial review proceedings against regulators and regulatory decisions.
  • Advising on whether various property based investment schemes constitute a “Collective Investment Scheme” (CIS)
  • Advising on general compliance issues, including as to capital adequacy requirements and regulated activity