Securities Law and Regulation
Experienced in US and Hong Kong securities law and regulation, including the regulation of broker/dealers, investment advisors and registered persons, David has a depth of experience investigating and prosecuting securities frauds, insider-trading, affinity frauds and deceptive schemes as the former Chief of the Enforcement Division of the New York Regional Office of the US Securities and Exchange Commission (1992-94), and the Director of Corporation Finance of the Hong Kong Securities and Futures Commission (1995-97).
General Counsel to NYSE-listed China Mobile, from 1999 through 2005, David was responsible for Sarbanes-Oxley Act compliance and information disclosure, as well as the preparation of SEC filings and the handling of substantial M&A transactions and capital raising exercises.