Jimmy spent 14 years with the Hong Kong Securities and Futures Commission (SFC), where he served as Director and Head of International and Policy of the Enforcement Division. In this role, he worked closely with international financial regulators, including the China Securities Regulatory Commission and the US Securities and Exchange Commission, and handled international cross-border investigations. He also has substantial experience in listed company investigations and SFC disciplinary proceedings involving financial intermediaries, appearing before the Securities and Futures Appeals Tribunal.  He received the SFC Individual Outstanding Award twice for his work on disciplinary appeals and Lehman Minibond investigations.  

Since returning to private practice, he has successfully represented licensed corporations, listed companies and their directors in HKEx’s enquiries and SFC’s investigations.  He has also assisted a listed company in lifting a trading suspension imposed by the SFC under the Securities and Futures (Stock Market Listing) Rules.

Jimmy studied law at the University of Hong Kong and obtained postgraduate law degrees from University College London (Chevening Scholar) and Harvard Law School (Harvard HKJC Postgraduate Scholar).  He is qualified as a solicitor in Hong Kong and England and Wales, and as an attorney in the State of New York.  He has been a contributing editor of Sweet & Maxwell’s Securities and Futures Ordinance: Commentary and Annotations.