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Profile
Stephen is admitted to practice law in Hong Kong, England and Wales, and New Zealand. He has extensive experience in contentious and non-contentious regulatory matters, including those of a civil and criminal nature, and in the provision of legal and regulatory advice to Government Departments and regulatory bodies in Hong Kong. Earlier in his career, Stephen advised the Hong Kong securities, banking and insurance regulators, before joining the Securities and Futures Commission (SFC) as Senior Counsel in 1990.
Stephen played a significant role in the policy development and drafting of the Securities and Futures Ordinance. He held the position of Director, Intermediaries at the SFC before taking on the role of Senior Director, Head of Licensing and Conduct from 2007 to 2014. During this time, Stephen was a member of the SFC’s Executive Committee and reported to the SFC’s Chief Executive Officer.
In 2014, Stephen returned to private practice. He focuses his practice on advising the financial services industry on Hong Kong’s securities law and regulations.
Highlights
The rationalization and reform of the Hong Kong laws governing the securities, futures and leveraged foreign exchange industries and their consolidation into a single statute.
Engagement by the Mandatory Provident Fund Schemes Authority in Hong Kong to conduct an extensive study of the law governing MPF schemes in Hong Kong, with particular emphasis on the role and conduct of the approved trustees of such schemes.
Litigation, including the preparation and conduct of trials and appeals at the highest levels, notably in criminal law, including major corporate fraud, as well as commercial, civil and regulatory litigation.
Stephen played a significant role in the policy development and drafting of the Securities and Futures Ordinance. He held the position of Director, Intermediaries at the SFC before taking on the role of Senior Director, Head of Licensing and Conduct from 2007 to 2014. During this time, Stephen was a member of the SFC’s Executive Committee and reported to the SFC’s Chief Executive Officer.
In 2014, Stephen returned to private practice. He focuses his practice on advising the financial services industry on Hong Kong’s securities law and regulations.
Highlights
The rationalization and reform of the Hong Kong laws governing the securities, futures and leveraged foreign exchange industries and their consolidation into a single statute.
Engagement by the Mandatory Provident Fund Schemes Authority in Hong Kong to conduct an extensive study of the law governing MPF schemes in Hong Kong, with particular emphasis on the role and conduct of the approved trustees of such schemes.
Litigation, including the preparation and conduct of trials and appeals at the highest levels, notably in criminal law, including major corporate fraud, as well as commercial, civil and regulatory litigation.
