recent publications

Feb 2021 – Applying ‘Deep ESG’ to Asian private equity (with Frederick J. Long) (Journal of Sustainable Finance & Investment, Feb 2021) Read paper

Oct 2020 – Joint Submission to HKEX’s Consultation on Paperless Listing Read paper

Jun 2020 – Secondary Markets in Digital Assets: Rethinking Regulatory Policy in Centralized and Decentralized Environments, (Stanford J. Blockchain L. & Policy 3(2) Jun 2020) Read article

May 2020 – Inhabiting Different Realities: Incrementalism, Paradigms and the New Prospect Read paper

Mar 2020 – Stanford Law School podcast for Stanford Codex Blockchain Group and Tech4Good Listen here Read transcript

Feb 2020 – “A viral warning for change. COVID-19 versus the Red Cross: better solutions via blockchain and artificial intelligence” Read article

Jan 2020 – Fintech Regulation in Asia (Chapter in ‘Diritto del Fintech’, eds M. Cian and C. Sandei, Wolters Kluwer Italia, 2020) (in English and Italian) Book

Jan 2020 – Hong Kong’s paperless prospectus law (Hong Kong Lawyer, January 2020)

Dec 2019 – Alibaba, HKEX & ESG: Missed leadership opportunities (International Financial Law Review, December 2019) Read article

Aug 2019 – Regulating Cryptoexchanges (Hong Kong Lawyer, Aug 2019) Read article

Jul 2019 – IPO Sponsor Duties and the SFC’s Recent Disciplinary Actions (Hong Kong Lawyer, Jul 2019) Read article

Apr 2019 – Requisites for Development of a Regulated Secondary Market in Digital Assets (AIIFL working paper No. 33) Read article

Jan 2019 – Taxonomies of digital assets: recursive or progressive? (Stanford J. Blockchain L. & Policy 1, 1-7 Jan 2019) Read article

Nov 2018 – How can Cryptographic Consensus Technology be Regulated? (Hong Kong Lawyer, Nov 2018) Read article

Oct 2018 – Regulating Cryptographic Consensus Technology – Oxymoron or Necessity? (AIIFL working paper No. 32) Read article

Jul 2018 – A red flag for the licensing regime (AIIFL working paper No. 29) Read article

Mar 2018 – ICO Utility tokens and the relevance of securities laws (Hong Kong Lawyer March 2018) Read article

Dec 2017 – Report on improving corporate governance in Hong Kong (HKICPA Dec 2017) Read the report

Oct 2017 – Moving forward on listing reform (AIIFL working paper No. 22 Nov 2017) Read article

Jul 2017 – The CITIC case and transparency of information in the market (Hong Kong Lawyer March 2018) Read article

Apr 2017 – Credit Ratings – The Moody’s Case (HKLJ Vol 47(1) 2017 pp.193-219) Read article

Nov 2016 – A principles-based response to the reform of listing regulation (Submission to SFC/HKEX AIIFL working paper No. 19 Nov 2016) Read article

Aug 2016 – Oxford Business Law Blog Read article

Jul 2016 – A red flag for Hong Kong credit ratings (AIIFL working paper No. 18) Read article

Apr 2016 – Equity crowdfunding: caveat emptor? (IFLR) Read article

Apr 2016 – Deconstructing sponsor prospectus liability (HKLJ Vol 46 2016 pp.255-286) HKLJ

Financial markets in HK: Law and Practice (Oxford University Press, 2nd ed, 2016) See book flyer

Aug 2015 – Prospectus Liability of IPO sponsors (AIIFL working paper 17 Aug 2015) Read article

May 2015 – Weighted voting rights on the HK Exchange (May 2015) (IFLR) Read article

Dec 2014 – Regulation of Corporate Finance *

Oct 2014 – Fundamentals of Securities and Futures Regulation *

Sep 2013 – Regulation of IPO sponsors under the new regime *

May 2011 – Regulation of Credit Rating Agencies *

Spring 2009 – Are regulations becoming too much red tape? (Momentum) Read article

Jul 2009 – Regulation of Asset Management *

May 2009 – Accountability of securities regulators (IFLR) Read article

Feb 2009 – The Lehman Brothers Minibonds crisis Read article

May 2006 – International Securities Regulation – Hong Kong Read article

2006 – Financial markets in Hong Kong – developing regulation, HKLJ, Law Lectures for Practitioners, pp 101-122

2006 – Financial Markets in HK: Law and Practice (Oxford University Press, 1st ed, 2006)

* available from the Hong Kong Securities and Investment Institute HKSI.org