- reviewed listing applications from various perspectives, including, without limitation, their business viability, accounts validity, disclosure adequacy, regulatory compliance- detected possible financial misstatements and non-compliance with the HK listing rules, the Securities and Futures Ordinance, the various codes of conduct issued by the Securities and Futures Commission and other Hong Kong laws and regulations- supervised team members in the vetting of listing applications and the detection of non-compliance

- researched international securities regulations for ad hoc purposes and long-term policy work, e.g. disclosure obligations as required under overseas securities regulations, IOSCO, UK Listing Rules, Australian Exchange Rules, disciplinary approach of the HK Stock Exchange to breaches of the HK Listing Rules- Visited UK FSA and Australian ASX and ASIC- Participated in the drafting of new rules and regulations

- Analysed the regulatory issues affecting banks, investment banks, corporate finance advisors and listed companies and the pros and cons of different regulatory options, including the Code of Conduct for Corporate Finance Advisors and dual regulation of banks- Liaised with the regulatory bodies on post-Minibond Legco investigation

- Conducted firm’s internal investigation on audit clients involved in alleged accounting scandals - Led audit teams to conduct audit on financial statements- Evaluated the effectiveness of internal control systems of clients and identified risks and other operational issues of clients with a view to providing recommendations or management recommendation letters, special-purpose reports on findings of agreed-upon procedures