Senior Regulatory Solicitor

09Apr2020

Senior Regulatory and Compliance Solicitor (8-15 PQE)

Tanner De Witt is seeking a highly experienced Regulatory Lawyer to champion the Regulation and Compliance Practice, further expanding the depth of our Corporate and Commercial Group. The Partnership will provide further resources and assistance in marketing and attracting additional regulatory work.

The ideal candidate is a Senior Associate, Special Counsel or Partner level Solicitor seeking a long term home for their practice in Hong Kong.

We seek colleagues who are not only known in their industry for their work and well regarded by their clients but are additionally an active presence in the Hong Kong community.

Further, if you enjoy mentoring junior lawyers and seeing them develop their talent into being exceptional professional advisors, and people, then you will excel here.

Contact

If the above interests you, please contact Brianna Jordan, assistant to Partner Russell Bennett at 852 2573 5000 or by e-mail to briannajordan@tannerdewitt.com.

Further role details

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).

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)

Compliance:

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

Contentious Areas of Practice

Enquiries, investigation and prosecution:

  • SFC – Securities and Futures Commission
  • HKMA – Hong Kong Monetary Authority
  • ICAC – Independent Commission Against Corruption
  • Customs & Excise
  • Privacy Commissioner for Personal Data (PCPD)
  • HKEx – Hong Kong Exchanges and Clearing
  • MMT – Market Misconduct Tribunal
  • Insurance Authority

Summonses:

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