John Siu Email & Phone Number

A former in-house counsel at the Securities and Futures Commission, John advises on a wide range of regulatory, investigatory and compliance matters. He has particular expertise in advising on conducts like insider dealing, false trading, price rigging, false and misleading information, unlicensed activity, late/non-disclosure of interest, fraud and deception, etc.John has been closely involved in different variety of matters that arise from the Securities and Futures Ordinance, including search warrant, s.183 investigation notice, criminal prosecution at Magistrate's Court, Market Misconduct Tribunal proceedings and civil proceedings in the High Court (in particular, proceedings under sections 184, 213 and 214). Previous cases handled by John involved parties such as multi-national and local financial institutions, IPO sponsors, financial advisers, large and small intermediaries, asset management companies, listed companies, substantial and minority shareholders, directors and officers, lawyers, auditors, licensed persons, responsible officers, brokers, dealers, traders, local and overseas investors / speculators, etc.

Listed skills include Financial Services Regulatory, Alternative Dispute Resolution, Anti Bribery And Corruption, Banking Litigation And Financial Services Disputes, and 8 others.