Leading coverage of APAC Capital Markets Legal (ECM and DCM)
Providing coverage in connection with M&A and Research matters
Acting as Representative of Internal Committees for Investment Banking Matters in APAC
Providing Legal and Compliance advice in relation to Hong Kong and APAC banking and securities regulations (including Hong Kong SFC Code of Conduct, Listing Rules, Securities and Futures Ordinance, Takeovers Code, Sponsor and Manager-In-Charge regime, Hong Kong licensing regime, CSRC and NDRC regulations, regional shareholding reporting regulations, US Outbound Investment Rule)
Formulating and implementing Compliance Policies and Control Framework in connection with Investment Banking and general compliance matters (Hong Kong and APAC); secondment to Investment Banking Compliance department
Handling Regulatory Inquiries and Investigations (including Insider Dealing, IPO sponsor, and Manager-In-Charge regime)
Participating in Industry Fora to formulate industry practice and steer regulatory development (e.g. Hong Kong SFC Market Sounding Guideline)
Acting as a Manager
Assistant Vice President of Banking Legal (APAC)
Barclays Capital
04.2014 - 10.2015
Providing Legal coverage for Investment Banking matters in APAC region
Coverage including ECM, DCM and M&A
Providing Legal and Compliance advice in relation to Hong Kong and APAC laws and regulations
Associate
Herbert Smith Freehills
11.2009 - 03.2014
(i) Regulatory Compliance and Interaction:
Advising Mayer International, MGM China, Fosun International, ENN Holdings Limited, Chinachem Group, Cheung Kong Holdings, Zhejiang Expressway, Orange Sky Golden Harvest, ASM Pacific, CNOOC on general Legal and Compliance matters in connection with Hong Kong Listing Rules and SFC regulations
Interacting with Hong Kong regulators (including Hong Kong Stock Exchange and Securities and Futures Commission) in connection with corporate transactions and compliance matters
(ii) Capital Markets: Key transactions include:
Advising J.P. Morgan, CICC, Goldman Sachs, Morgan Stanley, Deutsche Bank, Macquarie and ABCI Securities as joint sponsors, joint bookrunners and joint lead managers of the US$22.1 billion listing of A and H shares of Agricultural Bank of China Limited on the Hong Kong Stock Exchange
Advising Federal Reserve Bank of New York, a major creditor of American International Group (AIG), on the HK$159 billion (US$20.5 billion) IPO of AIA Group, a pan-Asian life insurer and the Asian insurance unit of AIG, on the Hong Kong Stock Exchange
Advising Morgan Stanley as the sole sponsor on the dual-primary listing on the Hong Kong Stock Exchange of Sound Global, a Singapore incorporated and Singapore-listed provider of water and wastewater treatment services in China, by way of introduction. Advising Morgan Stanley as the sole bookrunner on the RMB 885 million (US$133 million) accelerated book build, Regulation S offering of RMB-denominated and US dollar-settled convertible bonds by Sound Global shortly before its listing on the Hong Kong Stock Exchange
Advising J.P. Morgan, Morgan Stanley, CCBI, BOCI and Deutsche Bank as joint bookrunners on the HK$14 billion (US$1.8 billion) IPO on the Hong Kong Stock Exchange and Rule 144A/Regulation S global offering of China Rongsheng Heavy Industries Group, a PRC heavy industries group engaged in shipbuilding, offshore engineering, marine engine building and engineering machinery
Advising Morgan Stanley on the offering of shares of Central China Real Estate Limited, a PRC-property company in a Hong Kong IPO and a Rule 144A/Regulation S international offering
Advising Morgan Stanley and Goldman Sachs on the offering of shares of Sino Ocean Land Holdings, a PRC-based property company in a Hong Kong IPO and a Rule 144A/Regulation S international offering
Advising Citigroup Global Markets Asia, as financial advisor, on the HK$523,695,095 rights issue of 1,066,588,790 rights shares of Pou Sheng International (Holdings) Limited
Advising Goldman Sachs on the US$294 million placing of H shares of Zhuzhou CSR Times Electric, a Hong Kong-listed company engaged in manufacture of railway power equipment in the PRC
Advising Shunfeng Photovoltaic International, a Hong Kong-listed company engaged in solar power business in PRC, as issuer on a HK$1,120 million placing under specific mandate
Advising Mayer International, a Hong Kong-listed leading department store chain in China, on its HK$1.04 billion (US$133.62 million) top-up placing of 273 million shares
Advising Mayer International on the HK$1.17 billion (US$150 million) Regulation S offering of convertible bonds, with J.P. Morgan as sole bookrunner and arranger of the transaction
Advising J.P. Morgan, Agricultural Bank of China Limited, Bank of China, CCBI, CICC and Credit Suisse as joint lead managers on the Regulation S international offering of US$400 million 6.0% senior notes due 2023 by China Taiping New Horizon Limited
(iii) M&A: Key transactions include:
Advising Samling Strategic Corporation Sdn. Bhd. on its US$400 million 'triple scheme privatisation' involving, concurrently, a privatisation of Samling Global Limited, a listed company in Hong Kong, a privatisation of Lingui Developments Berhad (a subsidiary of SGL and a company listed on Bursa Malaysia Securities Berhad) and a privatisation of Glenealy Plantations (Malaya) Berhad (an associate of SGL and a company listed on Bursa Malaysia Securities Berhad), by SGL by way of schemes of arrangement under the Companies Act of Bermuda and Companies Act of Malaysia respectively
Advising Fosun International, a listed company in Hong Kong and one of China's largest private conglomerates, on its HK$2.5 billion (US$320 million) privatisation of Shanghai Forte Land, by way of voluntary conditional offer. Upon completion of the privatisation, Shanghai Forte Land delisted from the Hong Kong Stock Exchange
Advising Fastmart (a special purpose vehicle wholly owned by Mr. Cheng Kin Ming) on the acquisition of 29.65% shares in Shunfeng Photovoltaic International, a company listed on the Hong Kong Stock Exchange
Advising eForce, a Hong Kong listed company, on its very substantial acquisition of the PT Bara coal mine near the town of Ampah, Indonesia, for a consideration of HK$500 million (US$64 million) payable in form of two series of convertible bonds
Advising Chinese Food and Beverage, a listed company in Hong Kong, on its very substantial acquisition regarding subscription and exercise of HK$200 million convertible bonds in respect of its investment in the Fook Lam Moon business
Trainee Solicitor
Herbert Smith Freehills
09.2007 - 08.2009
Finance Department (London office) – fourth seat (6 months)
Advising banks such as Bank of Scotland plc. on loan transactions (including project financing and syndicated loans)
Litigation / Financial Services Regulatory Group (Hong Kong office) – third seat (6 months)
Advising banks on investigation by regulators such as the Securities and Futures Commission and Hong Kong Monetary Authority, court proceedings, clients’ complaints in relation to alleged mis-selling of Lehman-related products
Advising on private wealth management clients’ complaints in relation to investment products such as accumulators
Corporate Department (Hong Kong and Shanghai office) - first and second seat (1 year)
Education
Qualified as Solicitor of High Court -
01.2010 -
PCLL -
The University of Hong Kong
01.2006 - 1 2007
LLB Law -
London School of Economics And Political Science
01.2003 - 1 2006
HKAL -
Hong Kong Advanced Level Examination
01.2003 -
GCE A Level
01-2003
HKCEE - Physics, Chemistry, Biology, Mathematics, Use of English, Chinese Language, Economics, History, Religious Studies
Hong Kong Certificate of Education Examination
01.2001 -
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St Paul's Co-educational College
01.1996 - 1 2003
Summer Internships
Summer 2005 Linklaters – Summer Intern
Summer 2005 Herbert Smith Freehills – Summer Intern
Summer 2004 Mayer Brown Johnson Stokes & Master – Summer Intern
2003 – 2005 LSE Conferences - Steward
Summer 2003 Chui & Lau Solicitors – Summer Intern
Awards
2008 Jerome Chan Prize for PCLL Students, 2004 Dr. Li Fook Wo Scholarship, 2003 Ng Heung Yau Memorial Prize for Religious Studies, 2003 General Scholastic Achievements, 2003 Government Scholarships for Sixth Form, 2003 St Paul's Co-educational College Alumni Association (Ontario) Scholarship
Timeline
Vice President of Investment Banking Legal (APAC)
J.P. Morgan
11.2015 - Current
Assistant Vice President of Banking Legal (APAC)
Barclays Capital
04.2014 - 10.2015
Qualified as Solicitor of High Court -
01.2010 -
Associate
Herbert Smith Freehills
11.2009 - 03.2014
Trainee Solicitor
Herbert Smith Freehills
09.2007 - 08.2009
PCLL -
The University of Hong Kong
01.2006 - 1 2007
LLB Law -
London School of Economics And Political Science
01.2003 - 1 2006
HKAL -
Hong Kong Advanced Level Examination
01.2003 -
HKCEE - Physics, Chemistry, Biology, Mathematics, Use of English, Chinese Language, Economics, History, Religious Studies
Vice President & Legal Counsel – APAC at Sterling Information Resources India Pvt. Ltd.Vice President & Legal Counsel – APAC at Sterling Information Resources India Pvt. Ltd.