HONG KONG LAWYER the OFFICIAL JOURNAL of the LAW SOCIETY of HONG KONG 香港律師會會刊 H K - L a W Y E R

二零一四年三月 March 2014 HK$280 HONG KONG LAWYER THE OFFICIAL JOURNAL OF THE LAW SOCIETY OF HONG KONG 香港律師會會刊 h k - l a w y e r . org

“It used to be the case that the Chinese would avoid issues surrounding death.

M Such an attitude has arch changed over time.”

2014

「中國人對於談論死亡，向來都有所忌諱。然而，這一態度已慢慢有所改變。」

Cover Story 封面專題 Face to Face With 專訪 BILLY MA 馬華潤律師 Veteran Probate Practitioner and Partner, Hobson & Ma 資深遺囑認證執業者兼何柏生馬華潤律師行合夥人

PROFESSIONAL PRACTICE 專業實務 COMPANIES 公司 ADMIRALTY 海事法 The Solicitors Disciplinary Tribunal – The New Companies Ordinance – Ship Collision Liability in Hong Kong - Reflections on Decision Making and Highlights of Some Major Changes Dawn of a New Era? Process (a Companies Registry series) 與船舶碰撞法律責任有關之香港法例的律師紀律審裁組– 新公司條例 –主要改變概要新紀元？對裁決及相關過程的檢討 (公司註冊系列) HK Lawyer Mar 2014 (Generic).ai 1 18/02/2014 14:25:01

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Jenkin SF Chan 陳少勳三月期刊內容 Charles CC Chau 周致聰 Heidi KP Chu 朱潔冰 Steven B Gallagher Julienne Jen 任文慧 Dave Lau 劉子勁 George YC Mok 莫玄熾 Anne Scully-Hill Michele Tsang 曾憲薇 Adamas KS Wong 黃嘉晟 Cecilia KW Wong 黃吳潔華 Tony Yen 嚴元浩

THE COUNCIL OF THE LAW SOCIETY OF HONG KONG 香港律師會理事會 President 會長 Ambrose SK Lam 林新強

Vice-Presidents 副會長 Stephen WS Hung 熊運信 18 COVER STORY Thomas ST So 蘇紹聰 Council Members 理事會成員 Denis Brock 白樂德 Charles CC Chau 周致聰 Brian Gilchrist 喬柏仁 Junius KY Ho 何君堯 Angela WY Lee 李慧賢 Joseph CW Li 李超華 Michael J Lintern-Smith 史密夫 Peter CL Lo 羅志力 Billy WY Ma 馬華潤 Amirali B Nasir 黎雅明 Gavin P Nesbitt 倪廣恒 Kenneth SY Ng 伍成業 Melissa K Pang 彭韻僖 Sylvia WY Siu 蕭詠儀黃吳潔華 Cecilia KW Wong 36 PROFESSIONAL PRACTICE Huen Wong 王桂壎 Dieter LT Yih 葉禮德 Secretary-General 秘書長 4 EDITOR’S NOTE [PDF] [HKL online] 編者的話 [PDF] [HKL online] Heidi KP Chu 朱潔冰會長的話 Law Society’s Contact: www.hklawsoc.org.hk 6 PRESIDENT’S MESSAGE [PDF] [HKL online] [PDF] [HKL online] 與律師會聯繫 Tel: +852 2846 0500 8 CONTRIBUTORS [PDF] [HKL online] 投稿者 [PDF] [HKL online] 10 DISCIPLINARY DECISIONS 紀律裁決 [PDF] [HKL online] Annual Subscription 全年訂閱: HK$3,360 [PDF] [HKL online] 理事會議題 [PDF] [HKL online] Thomson Reuters 13 FROM THE COUNCIL TABLE 10/F, Cityplaza 3, Taikoo Shing, Hong Kong 14 LETTER TO HONG KONG LAWYER [PDF] [HKL 給《香港律師》的信 [PDF] [HKL online] Tel: +852 3762 3200 www.thomsonreuters.com 16 FROM THE SECRETARIAT [PDF] [HKL online] 律師會秘書處資訊 [PDF] [HKL online] ISSN 1025-9554 18 COVER STORY [PDF] [HKL online] 封面專題 [PDF] [HKL online] © Copyright is reserved throughout. No part of Face to Face With 專訪 this publication can be reproduced in whole or BILLY MA 馬華潤律師 part without the express permission of the editor. Veteran Probate Practitioner and Partner, Hobson & Ma 資深遺囑認證執業者兼何柏生馬華潤律師行合夥人 Contributions are invited, but copies of work should be kept, as Hong Kong Lawyer can accept no 26 LAW SOCIETY NEWS [PDF] [HKL online] 律師會新聞 [PDF] [HKL online] responsibility for loss. 36 PROFESSIONAL PRACTICE DF] [HKL online] 專業實務 [PDF] [HKL online] The Solicitors Disciplinary Tribunal – 律師紀律審裁組– Reflections on Decision Making and Process 對裁決及相關過程的檢討 March 2014 二零一四年三月 HK$280

Managing Editor 執行主編 46 CAMPANIES [PDF] [HKL online] 公司 [PDF] [HKL online] Vince Chong 張哲寧 The New Companies Ordinance – 新《公司條例》— [email protected] Highlights of Some Major Changes 主要改變概要 (a Companies Registry Series) (公司註冊系列） Chinese Editors 中文編輯 Natalie Lee 李頴琳 52 ADMIRALTY [PDF] [HKL online] 海事法 [PDF] [HKL online] 與船舶碰撞法律責任有關 Design and Production 設計及制作 Ship Collision Liability in Hong Kong - 之香港法例的新紀元？ Samson Pang 彭振生 Dawn of a New Era?

Sales and Marketing Director 銷售總監 58 INDUSTRY INSIGHTS [PDF] [HKL online] 業界透視 [PDF] [HKL online] Jane Lewis 劉真美 66 CASES IN BRIEF [PDF] [HKL online] 案例撮要 [PDF] [HKL online] Translation team 翻譯組: [PDF] [HKL online] 會員動向 [PDF] [HKL online] Info Power 74 PROFESSIONAL MOVES 78 ASIDEPDF] [HKL online] 隨筆 [PDF] [HKL online] Staff contributors 內部貢獻: 「唯與人聯繫，方能進步。」 Carmen Chu 朱慧敏 “When we’re connected to others, Vivian Leung 梁靜妍 we become better people.” 摘自Randy Pausch的《最後的演講》 Rocky So 蘇衍成 Randy Pausch, The Last Lecture

Special thanks to 82 CAMPUS VOICES [PDF] [HKL online] 法學院新聞 [PDF] [HKL online] Hong Kong Law Reports & Digest and 84 THE LAST WORD [PDF] [HKL online] 趣聞 [PDF] [HKL online] Reuters News 特別感謝香港法律彙報與摘錄及 86 LEGAL MARKET [PDF] [HKL online] 職場資訊 [PDF] [HKL online] 路透社新聞

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46 COMPANIES

All information and views expressed by contributors and advertisements in Hong Kong Lawyer do not necessarily reflect the official opinion of The Law 52 ADMIRALTY Society of Hong Kong. Whilst every effort is made to ensure editorial and commercial integrity, no responsibility is accepted by the Publisher or The Law Society of Hong Kong for the accuracy of material appearing in this journal. Members are encouraged to contribute but the Editorial Board of The Law Society of Hong Kong reserves the right to publish only material it deems appropriate. 78 ASIDE

• March 2014

EDITOR’S NOTE 編者的話

In October 2012 and February 2014, vessel collisions in Hong 2012年10月和2014年2月，香港發生撞船事件，令不少 Kong surprised, and perhaps even shocked, many in the city 以為在本港水域航行一向甚為安全的港人感到吃驚，甚 who thought maritime travel in local waters as safe as it could 或乎震驚。這些事故引發不同的問題，其中包括法律下 have been. The incidents threw up varying issues, including 的責任。今期其中一篇專題就以近期一宗海事案為例， liability under the law. In this month’s journal, we feature an analysis on this particular matter, based on a recent case that 為讀者分析這方面的法律，而該案正是首宗被告人被判 for the first time placed full liability on the defendants (pg. 52). 負上全部法律責任的案件(詳見第56頁)。

Elsewhere in the magazine, we talk to a veteran probate 另外，本刊邀得一名資深的遺囑認證律師與讀者探討， lawyer on an area of practice that is in the peculiar situation of 為何這個執業領域雖已漸為人所接受，即意味著業務具 being more widely accepted among individuals and families 增長潛力，但仍無法吸引新人投身這領域(詳見第23頁)。 - meaning potentially more business - while yet seemingly unable to attract new practitioners (pg. 18). 此外，今期另有兩篇專題，相信值得香港的廣大律師一 Also, there are two features that we believe will be worth a 讀：一文由公司註冊處撰文，簡述新《公司條例》的主 read for most, if not all, solicitors in Hong Kong - the first of 要變更，今期為三篇系列中的首篇(詳見第50頁)；另一文 three articles from the Companies Registry that highlight 由律師紀律審裁組執筆，為讀者剖析其決策過程(詳見第 major changes in the new companies law (pg. 46), and a piece from the Solicitors Disciplinary Tribunal that reflects on its 42頁)。 decision-making process (pg. 36).

Vince Chong 張哲寧 Editor, Hong Kong Lawyer 《香港律師》編輯 Managing Editor, Sweet & Maxwell Sweet & Maxwell 執行主編 Thomson Reuters 湯森路透 [email protected]

4 www.hk-lawyer.org

• March 2014

PRESIDENT’S MESSAGE 會長的話

mong the many duties as a Special Administrative Region of the A President, I consider the active People’s Republic of China under the exploration of business opportunities implementation of the concept of “One for members of the Law Society one of Country Two Systems”. Hong Kong is the most important. unique in that it enjoys being a part of China as well as being entitled to I have represented the Law Society at continue its robust legal system and to various international trade missions maintain independence of the judiciary. and events during which I have had the opportunity to meet senior government To go one step further beyond officials who formulate national promoting Hong Kong’s edge, the Law economic policies, representatives Society is exploring more effective ways President Ambrose Lam (right) and Mr We Chul-whan, of multi national corporations who to correct the market inefficiency, i.e. to President of the Korean Bar Association (left), at the Signing Ceremony for the Renewal of the Memorandum determine investment strategies match the resources to the appropriate of Understanding between the two professional bodies. as well as many other stakeholders expertise. A logical start will be to 香港律師會會長林新強律師(右)與韓國律師協會會長魏哲煥先生(左)在兩會<諒解備忘錄>更新的簽署儀式上。 in the global legal service market. collate information on those who are One pleasant observation is that looking for investment opportunities, professional practice standards and Hong Kong solicitors enjoy a very understand their investment objectives, experiences and to assist in refining reputable status internationally as formulate how Hong Kong solicitors and strengthening their local practices. top quality legal service providers of can assist in the process and invite As always, we stand ready and willing the highest standards. However, the those with the relevant expertise to to assist our counterparts. I always reality is that reliance on reputation express their interest to be involved. believe that there is never a one-way alone may no longer be sufficient to Hopefully, with a more systematic traffic – those offering help as well as generate business in this competitive coordination of all the relevant those receiving help will both benefit environment. information, there will be a win-win from their meaningful encounters. In result for all parties involved. A phenomenon that seems to have due course, we will be soliciting interest become more acute nowadays is a We are now consulting with various from our members to assist on this mismatch of resources and capability authorities and organisations on how front as well. resulting in market inefficiency. There to collate the relevant information Many initiatives are in the pipeline, but is an abundance of resources, but on the needs of potential investors. they take time to materialise. We will these resources have not been able to Transparency is the key and at the stay focused and continue our tireless find their place in capable hands for appropriate stage, all members of efforts to secure more opportunities for efficient utilization. the Law Society will be given an our members and maintain a healthy opportunity to indicate their interest to The Law Society has been actively and sustainable development of our be involved in the process. promoting Hong Kong’s legal services profession. to the international community at Simultaneously, the Law Society has every possible opportunity. We are received invitations from emerging also putting in substantial efforts to markets, where the development of the enhance the global understanding of legal profession is still groping its way the unique position of Hong Kong as towards the right direction, to share our Ambrose Lam, President

6 www.hk-lawyer.org March 2014 • PRESIDENT’S MESSAGE 會長的話

國特別行政區的獨特地位。香港回歸與此同時，律師會收到一些新興市場中國的同時，繼續維持穩健的法律制的邀請，由於這些市場在法律專業方度，司法獨立亦不變，可說是獨一無面的發展仍處於摸索階段，故希望我二的。們分享香港專業執業標準和經驗，並協助他們改進及加強執業方式。一為了進一步推廣香港的優勢，律師會如以往，我們非常樂意為同業提供協正致力尋求更有效的方法糾正市場低助。我深信，世上並沒有單向付出這效的問題，亦即是如何把資源編配到回事，因為不論是伸出援手還是接受恰當的專業類別上。最合乎邏輯的第助者，從中必有所得。我們會在適當一步，是向尋找投資機會的人士搜集時候誠徵會員就這事宜提供協助。資料並進行整理、了解他們的投資目標、定出香港律師在過程中可提供甚我們有許多計劃正在進行中，惟落實麼協助，以及邀請具備相關專業知識需時。我們將繼續以專注的態度和不的人士表達是否有興趣參與其中。我懈的努力，為各會員爭取更多商機，們希望透過更有系統地協調所有相關使業界得以持續健康發展。資料，讓各方達致雙贏局面。

我們現正就如何整理潛在投資者的需要的相關資料諮詢不同機關和組織。透明度是關鍵，因此在適當階段，律長所肩負的各項職責中，我認師會所有會員將有機會表明他們是否會為為律師會會員積極開拓商有興趣參與有關過程。機，是最重要的任務之一。林新強會長

我曾代表律師會出席不同的國際貿易團和活動，期間有機會認識制定國家經濟政策的政府高層官員、決定投資策略的跨國公司代表，以及眾多全球法律服務市場的其他持分者。從觀察所得，香港的律師在國際間聲譽卓著，獲公認為秉持最高標準的一流法律服務提供者，這確令人欣慰。然而，現實情況是，單靠聲譽或不再足以在這個競爭激烈的環境中帶來商機。

資源和能力錯配導致市場低效，如今情勢似乎經已迫在眉睫。我們擁有豐富的資源，但這些資源一直未能交到可堪信賴的人手中，以善加利用。

律師會一直把握每個良機，積極向國

際社會推廣香港的法律服務。我們亦 President Ambrose Lam (right) and Mr. Wang Junfeng, President of the All China Lawyers Association explored how to facilitate collaboration of the legal profession between Hong Kong and the Mainland. 奮力令國際加深了解香港在落實「一香港律師會會長林新强律師(右)與全國律協會長王俊峰律師(左)探討如何促進中港兩地律師的交流及合作。國兩制」的理念下作為中華人民共和

www.hk-lawyer.org 7 • March 2014

CONTRIBUTORS 投稿者

Ada LL Chung, JP 鍾麗玲太平紳士 Companies Registry of the Government of the 香港特區政府公司註冊處 HKSAR, Registrar of Companies, 公司註冊處處長 Ms Ada Chung has a career in accounting and law. She 鍾處長以會計和法律為專業，是一名 is a Certified Public Accountant (FCPA) and a barrister. 資深會計師和大律師。她在2007年8 Ada was appointed as the Registrar of Companies in 月獲委任為公司註冊處處長，自此積 August 2007 and has since been heavily involved in 極參與《公司條例》的重寫工作，並 the Companies Ordinance Rewrite exercise and the introduction of electronic incorporation and electronic 致力推行電子成立公司及電子提交公 filing of company documents. Before her appointment as 司文件。她獲委任為公司註冊處處長 the Registrar of Companies, Ada was the head of the Civil 之前，為律政司民事訴訟組首席政府 Litigation Unit of the Department of Justice. 律師。

Karen Ho 何劉家錦 Companies Registry of the Government of the 香港特區政府公司註冊處 HKSAR, Deputy Principal Solicitor 副首席律師 Mrs Karen Ho is a Deputy Principal Solicitor (Company 何律師為公司註冊處副首席律師(公 Law Reform) of the Companies Registry and her 司法改革)，主要的職責是協助《公 main duty is to assist in the rewrite of the Companies 司條例》的重寫工作。 Ordinance.

8 www.hk-lawyer.org March 2014 • CONTRIBUTORS 投稿者

Ernest Yang 楊大明 DLA Piper Hong Kong, Partner 歐華律師事務所合夥人 Ernest is a dispute resolution lawyer specialising in 楊律師專門從事爭議解決事務，尤其 shipping matters, and was recently appointed a member 擅長於航運領域。他最近獲委任為上 of the Chinese People’s Political Consultative Conference 海政協委員，任務是協助上海發展成 for Shanghai with a mandate to help Shanghai develop 為國際航運中心。 into an international maritime centre.

Xiaoshan Chen 陳曉山 DLA Piper Hong Kong, 歐華律師事務所註冊外地律師 Registered Foreign Lawyer 陳律師專門從事爭議解決事務，尤其擅 Xiaoshan is a dispute resolution lawyer specialising 長於航運領域。工作之餘，他熱愛旅遊 in shipping matters. In his spare time, Xiaoshan loves 和足球。 travelling and football.

Eric Woo 胡慶業 ONC Lawyers, Senior Associate 柯伍陳律師事務所高級律師 Eric is a shipping litigation lawyer specialising in both 胡律師是一名航運訴訟律師，海商及 wet and dry shipping matters, including charterparties, 海事兩方面均為其專長，包括租賃合 shipbuilding, shipping casualties, sale and purchase 約、造船、航運傷亡、船舶買賣、船 of vessels, ship arrest and release, international sale 舶扣押和釋放、國際貨物買賣、船舶 of goods, ship financing, cargo claims, bills of lading, 融資、貨物索賠、提單、信用狀、海 letters of credit, marine insurance and other cross- 上保險和其他跨境運輸糾紛。胡律師 border transport disputes. Eric enjoys a variety of sport activities including basketball, soccer and bowling as 熱愛的運動項目包括籃球、足球和保 well as recreational activities such as bridge and social 齡球，而且橋牌和社交舞等活動亦為 dance. 他所喜愛。

www.hk-lawyer.org 9 • March 2014

DISCIPLINARY DECISIONS 紀律裁決

Wong Chun Yip Kenny (the Miss Janice Kwan, In-House Prosecutor for (i) 一筆22,000港元的定額款項，作 “Respondent”) the Applicant. 為審裁組書記的經評定及准予訟 • Disgraceful, dishonourable and The Respondent was absent. 費。 discreditable conduct Tribunal Members: Hearing date: Mr. But Man Tai (Chairman) 內部檢控人員關琅天代表申請人。 15 May 2013 and 5 September 2013 Ms. Constance H M Choy 答辯人缺席。 Mr. Conrad Wong Tin Cheung Statement of Findings: 8 August 2013 審裁組成員：畢文泰先生（主席）王振業蔡學雯女士 Reasons and Order: (下稱「答辯人」) 24 December 2013 黃天祥先生 • 可恥、不名譽及有損信譽的行為操守 The Solicitors Disciplinary Tribunal found the following complaint proved: 聆訊日期： 2013年5月15日及9月5日 The Respondent, being a former Stephen Finley, the sole employee of a solicitors’ firm, committed 裁斷陳述書： proprietor of Messrs. Finley & Co. disgraceful, dishonourable and 2013年8月8日 (the “Respondent”) discreditable conduct in that he was • Rule 2(a), (c), (d) and (e) of the convicted of the offence of possessing 理由及命令： Solicitors’ Practice Rules (“SPR”) a false instrument, contrary to Section 2013年12月24日 75(2) of the Crimes Ordinance (Cap. • Principles 6.04, 12.04, 12.05, 13.02 律師紀律審裁組裁定以下申訴成立： 200) in Eastern Magistrates’ Courts and 14.02 of the Hong Kong Solicitors’ Criminal Case No. 4333 of 2010 and was 答辯人為某律師行的前僱員，作出可恥、 Guide to Professional Conduct, Volume 1, Second Edition (“Guide”) sentenced to probation for 12 months. 不名譽及有損信譽的行為操守，在東區裁 The Tribunal ordered that: 判法院刑事案件2010年第4333號中，違 • Section 8AA of the Legal Practitioners Ordinance (Cap 159) (“LPO”) (a) the Respondent be prohibited from 反《刑事罪行條例》（第200章）第75(2) being employed by any firm of 條，被裁定管有虛假文書罪罪成，並被判 Hearing date: solicitor(s) or foreign lawyer(s) for two 接受感化12個月。 24, 25 July and 6, 13 August 2012 (2) years from the date of the Order; 審裁組命令： Statement of Findings: (b) the Respondent bears and pays for 6 June 2013 the costs of the proceedings: (a) 禁止答辯人受僱於任何律師行或外地 Reasons and Order: 律師行，為期兩年，由本命令日期起 (i) a fixed sum of HK$45,000 being 9 December 2013 the assessed and allowed costs of 生效； the Law Society; and The Solicitors Disciplinary Tribunal (b) 答辯人須承擔並支付以下訴訟費用： (“Tribunal”) found the following (ii) a fixed sum of HK$22,000 being complaints against the Respondent the assessed and allowed costs of (i) 一筆45,000港元的定額款項，作為 proved after holding substantive the Clerk. 律師會的經評定及准予訟費；及

10 www.hk-lawyer.org March 2014 • DISCIPLINARY DECISIONS 紀律裁決

hearings on 24, 25 July and 6, 13 August 6th Complaint Complaints, the Respondent is fined 2012 respectively: Breaches of Rule 2(d) of the SPR and a total amount of HK$100,000 for both complaints. 1st Complaint Principle 12.05 of the Guide in that as at 1 November 2011 the Respondent (d) In regard to the 4th Complaint, the Breaches of Rule 2(a), (c), (d) and (e) of did not pay the fees notes delivered by Respondent is fined HK$75,000. the SPR and Principle 13.02 of the Guide the Senior Counsel on 10 July and 21 in that on or about 1 September 2009, (e) In regard to the 5th and 6th October 2008. a cheque which the Respondent issued Complaints, the Respondent is fined a total sum of HK$160,000. This on his office account to his client (whom 7th Complaint he had acted for in a District Court sum will be reduced to HK$100,000 Breaches of Rule 2(a) and (d) of the SPR provided he satisfies the Tribunal proceedings and the claim was partially and Principle 13.02 of the Guide in that successful),was dishonoured. that he has made full payment to the on or about 31 December 2009 and 3 Senior Counsel within 10 days. nd February 2010, cheques issued by the 2 Complaint (f) In regard to the 7th Complaint, the Respondent on his office account to the Breaches of Rule 2(a) and (d) of the Respondent is fined HK$100,000. Senior Counsel were dishonoured. SPR and Principle 13.02 of the Guide in (g) In regard to the 8th Complaint, the that on or about 28 April and 28 May 8th Complaint Respondent is fined HK$100,000. 2010, cheques which the Respondent A breach of Principle 6.04 of the Guide (h) In regard to the 9th Complaint, the issued on his office account to the in that the Respondent failed to respond Respondent is fined HK$150,000. landlord of his firm’s office premises (the promptly and meaningfully to enquiries “Landlord”) were dishonoured. (i) In regard to the 10th Complaint, from the Law Society. there will be no additional penalty. rd 3 Complaint 9th Complaint (j) For a period of 12 months after Breaches of Rule 2(a) and (d) of the SPR Breaches of the Section 8AA of the LPO the Respondent is issued a fresh in that the Respondent failed between 13 and Rule 2(a) and (d) of the SPR in that Practising Certificate, if any, August 2009 and 31 January 2010 to pay the Respondent failed to comply with a following the intervention by the to the Landlord the rent, management notice of inspection issued by the Law Law Society on 4 January 2012 in fees and rates due on his firm’s office Society on 26 March 2010. the practice of the Respondent, premises, allowed the Landlord to enter the Respondent shall not practise judgment against him for the unpaid 10th Complaint as a sole-proprietor or partner of a rent, etc. and allowed the Landlord to The common law offence of misconduct solicitors’ firm but can only practise serve a statutory demand on him in on account of the facts detailed in the as an employed solicitor under the connection with the unpaid rent, etc. above complaints. The common law supervision of a solicitor who has offence of misconduct includes any been actively practised in Hong Kong 4th Complaint conduct which is not dealt with by any for at least 10 years. Breaches of Rule 2(a), (c), (d) and (e) of specific rule but is nonetheless improper. (k) The costs of these proceedings, the SPR and Principle 14.02 of the Guide including the costs of investigation in that the Respondent did not comply After consideration of the mitigation of the Applicant, the costs of the with an undertaking he gave to another submitted by the Respondent, the Applicant and the Clerk to the solicitors’ firm during September 2009 Tribunal ordered that:- Tribunal, be borne and paid by the to return to that another solicitors’ firm (a) The Respondent be censured for all Respondent on an indemnity basis, an assignment in connection with the the complaints. such costs to be taxed, if not agreed. purchase of a property in Sky Tower, (b) In regard to the 1st Complaint, the Kowloon. Respondent is fined HK$300,000. Mr. Geoffrey James Shaw of Messrs. Haley This sum will be reduced to & Co. for the Applicant. 5th Complaint HK$150,000 provided the The Respondent in person. Breaches of Principles 12.04 and 12.05 Respondent satisfies the Tribunal of the Guide in that the Respondent that full payment to his client Tribunal Members: did not either pay or challenge, within mentioned in the 1st Complaint has Mr. NG Man-kin, Chairman two (2) months, fee notes delivered by a been made within 10 days. Mr. Charles William Allen Senior Counsel (the “Senior Counsel”) on Ms. Kai Shun Catherine Yen (c) In regard to the 2nd and 3rd 10 July and 21 October 2008.

www.hk-lawyer.org 11 • March 2014

范凌律師行獨營執業者范凌債書，因此違反《規則》第2(a)及(d)條審裁組考慮過答辯人提交的輕判理由後，規則。作出以下命令： (下稱「答辯人」) (a) 就所有申訴對答辯人施以譴責；第四項申訴 • 《律師執業規則》第2(a)、(c)、(d)及 (b) 就第一項申訴，答辯人被罰款300,000 (e)條規則（下稱「《規則》」）答辯人未能履行他於2009年9月向另一間港元。如答辯人能使審裁組信納，他律師行作出的承諾，交還一份有關購買一 • 《香港律師專業操守指引》第二版第已在10日內向第一項申訴所述的客戶項位於九龍傲雲峰的物業的轉讓書，因此一冊第6.04、12.04、12.05、13.02及悉數償還款項，則這筆罰款可減少至違反《規則》第2(a)、(c)、(d)及(e)條規 14.02條原則（下稱「《指引》」） 150,000港元。則及《指引》第14.02條原則。 • 《法律執業者條例》（第159章）第 (c) 就第二及第三項申訴，答辯人被罰款 8AA條（下稱「《條例》」）第五項申訴總共100,000港元。答辯人沒有按一名資深大律師（下稱「該 • 普通法的不當行為罪行 (d) 就第四項申訴，答辯人被罰款75,000 資深大律師」）在2008年7月10日及10 港元。聆訊日期：月21日發出的收費單於兩個月內付款或 (e) 就第五及第六項申訴，答辯人被罰款 2012年7月24、25日及8月6、13日提出反對，因此違反《指引》第12.04及總共160,000港元。如答辯人能使審裁裁斷陳述書： 12.05條原則。組信納，他已在10日內向該資深大律 2013年6月6日師悉數償還款項，則這筆罰款可減少第六項申訴至100,000港元。理由及命令：截至2011年11月1日，答辯人仍未支付 (f) 就第七項申訴，答辯人被罰款100,000 2013年12月9日該資深大律師在2008年7月10日及10月港元。律師紀律審裁組於2012年7月24、25日 21日發出的收費單，因此違反《規則》第 (g) 就第八項申訴，答辯人被罰款100,000 及8月6、13日舉行正式聆訊後，裁定針 2(d)條規則及《指引》第12.05條原則。港元。對答辯人作出的以下申訴成立：第七項申訴 (h) 就第九項申訴，答辯人被罰款150,000 第一項申訴約在2009年12月31日及2010年2月3 港元。日，答辯人以律師行帳戶向該資深大律師約在2009年9月1日，答辯人以律師行帳 (i) 就第十項申訴，不處以額外罰款。戶向客戶（他曾在一宗區域法院訴訟中代開出的支票未能兌現，因此違反《規則》 (j) 如答辯人在律師會於2012年1月4日介表該名客戶，而該申索獲判部分勝訴）開第2(a)及(d)條規則及《指引》第13.02條入其執業業務後獲發新的執業證書，出的支票未能兌現，因此違反《規則》第原則。則答辯人在該執業證書發出起12個月 2(a)、(c)、(d)及(e)條規則及《指引》第第八項申訴內，不得以獨營執業者或律師行合夥 13.02條原則。答辯人未能及時就律師會的查詢作出有意人的身份執業，僅可以受僱律師的身第二項申訴義的回應，因此違反《指引》第6.04條原份執業，並須由一名已在香港積極執業至少10年的律師監督。約在2010年4月28日及5月28日，答辯人則。 (k) 訟費按彌償基準由答辯人承擔及支以律師行帳戶向其律師行辦事處的業主（第九項申訴付，包括律師會的調查費用、申請人下稱「該業主」）開出的支票未能兌現，答辯人未能遵守律師會在2010年3月26 的費用及審裁組書記的費用，若未能因此違反《規則》第2(a)及(d)條規則及《日發出的查閱通知，因此違反《條例》第就該等訟費達成協議，則有待評定。指引》第13.02條原則。 8AA條及《規則》第2(a)及(d)條規則。由Haley & Co.的Geoffrey James Shaw先第三項申訴第十項申訴生代表申請人。在2009年8月13日至2010年1月31日期上述申訴所詳述的事實構成普通法的不當間，答辯人未能向該業主支付其律師行辦答辯人自行應訊。行為罪行。普通法的不當行為罪行包括沒事處的到期租金、管理費及差餉，令該業有受任何特定規則所涵蓋，但仍屬不當的審裁組成員：吳文堅先生 (主席) 主登錄答辯人須支付未付租金等的判決，行為。 Charles William Allen先生並向他送達有關未付租金等的法定要求償嚴家洵女士

12 www.hk-lawyer.org March 2014 • FROM THE COUNCIL TABLE 理事會議題

FROM THE COUNCIL TABLE 理事會議題

Consultation Paper on Amendments to the 有關修訂《房地產投資信託基金守則》的 Code on Real Estate Investment Trusts (“REITs”) 諮詢文件 On 27 January, the Securities and Futures Commission (“SFC”) 2014年1月27日，證券及期貨事務監察委員會(下稱「證 published a one-month consultation on the amendments to the Code 監會」)就修訂《房地產投資信託基金守則》(下稱「《守 of REITs (the “Code”). 則》」)展開為期一個月的諮詢。 The Code imposes certain investment restrictions on REITs to ensure that a REIT invests primarily in income-generating real estate. For 《守則》對房地產投資信託基金施加若干投資限制，以確 example, a REIT is prohibited from engaging in property development 保房地產投資信託基金主要投資於可產生收入的房地產項 activities. Whilst a REIT may acquire uncompleted units which are 目，例如房地產投資信託基金不得從事物業發展活動。雖 unoccupied and non-income producing, the aggregate contract value 然房地產投資信託基金可以購入空置及沒有產生收入的未 of such real estate shall not exceed 10% of the total net asset value of the REIT. 完成單位，但這些房地產項目的累積合約價值，不得超過該基金總資產淨值的10%。 In striking a proper balance between “facilitating market development” and “protection of investors’ interest and market integrity”, the SFC 考慮到要在「促進市場發展」及「保障投資者利益和市場 proposed to amend the Code to introduce flexibility in the scope of 穩健」之間取得適當平衡，證監會建議修訂《守則》，為 investment for REITs:- 房地產投資信託基金的投資範圍引入靈活性： - (a) To undertake property development investment/related activities provided that the total costs of (i) investment in property (a) 允許房地產投資信託基金進行物業發展投資/相關活 development/related activities and (ii) acquisition of uncompleted 動，惟(i)物業發展投資/相關活動及(ii)購買未完成單位 units shall not exceed 10% of the REIT’s gross asset value. 的投資總額不得超過該基金資產總值的10%。 (b) To invest in certain types of financial instruments (“relevant (b) 允許房地產投資信託基金投資於某些類別的金融工具 investment”) subject to, inter alia, the value of a REIT’s holding of (下稱「相關投資」)，惟需受到若干限制，其中包括房 the relevant investment issued by any single group of companies not exceeding 5% of the gross asset value of the REIT and at least 地產投資信託基金所持有的由任何單一公司集團發行 75% of the gross asset value of a REIT invested in real estate that 的相關投資的價值，不得超過該基金資產總值的5%， generates recurrent rental income. 以及房地產投資信託基金的資產總值至少有75%投資 The SFC also proposed a series of safeguards for investors such as 於產生定期租金收入的房地產項目上。 maintaining effective internal controls and risk management systems, periodic updates to investors and existing requirements on reporting 證監會亦提出一系列保障投資者的措施，例如有關方面需維 and disclosure, as well as having unit holders’ approval under the Code 持有效的內部監控和風險管理系統，並定期向投資者提供更 applying equally to investment in property development/financial 新資料，以及《守則》中有關匯報、披露及單位持有人批准 instruments. 的現行規定將同樣適用於物業發展/金融工具的投資。 The Law Society’s Investment Products and Financial Services 律師會的投資產品及金融服務委員會(下稱「委員會」)已審 Committee (the “Committee”) has reviewed the proposed amendments. In principle, based on the experience of the REIT industry 議相關建議修訂。原則上，基於可供比較的海外司法管轄 in some comparable overseas jurisdictions, the introduction of a 區在房地產投資基金業界的經驗，我們歡迎在投資範圍方 reasonable degree of flexibility in the scope of investment is welcome, 面引入合理程度的靈活性，認為會為香港房地產投資信託 as this will benefit the long-term growth of Hong Kong’s REIT market. 基金市場的長遠發展帶來裨益。然而，除了證監會提出的 However, in addition to the safeguards proposed by SFC, the connected 保障措施，與關連人士交易的相關規定亦應擴展至適用於 party transaction rules should be extended to apply to situations 房地產投資信託基金有意投資於由關連人士(不包括受託人) where a REIT contemplates investing in securities issued by connected persons (excluding trustees). 發行的證券這一情況。 For the full submission made by the Committee, please visit the Law 委員會提交有關的完整意見書，請瀏覽律師會網站： Society website at www.hklawsoc.org.hk. http://www.hklawsoc.org.hk。

www.hk-lawyer.org 13 • March 2014

Letter to Hong Kong Lawyer 給《香港律師》的信

Estates of Foreign Domestic Helpers 外地家務助理的遺產 By Melville Boase, Consultant Boase Cohens & Collins 布時雨律師／顧問布高江律師行

There are many comments about domestic helpers and the problems they 不少人曾對家務助理以及他們在世時在香港所面對的 face in Hong Kong when they are alive. 問題發表意見。

However that is not all their difficulties. As a case that has recently 然而,他們所面對的問題不止於此。筆者不久前得悉的 come to my attention shows, a domestic helper’s family can face many 一宗個案顯示,一旦家務助理在香港離世並留下遺產,他 problems if she/he dies leaving estate in Hong Kong. 們的家人將可能要應付多個問題。 Many domestic helpers open bank accounts here and have salary paid 不少在香港工作的外地家務助理都在本港開立銀行戶 in. Few, if any, make a will, so they die intestate. 口,以作收取工資之用。他們當中即使有人訂立遺囑,為 There was a married couple in the Philippines with a 10-year-old 數也不多,因此他們大多未立遺囑而去世。 daughter, their only child. The mother had been working for some time in Hong Kong as a domestic helper and her salary was paid into her 筆者得悉的一宗個案,涉及一對在菲律賓結婚的夫婦 Hong Kong bank account. At the time of her death the balance in the （妻子下稱「母親」）,他們育有一名年僅十歲的女 account was HK$28,000. 兒。母親在香港任職家務助理已有一段時間,其工資一 The mother returned to Philippines on holiday when unfortunately 直存入她的本港銀行戶口。她後來離世,當時她的戶口 both she and the child’s father were killed in the same accident. 結餘為28,000港元。

The deceased mother’s sister was also a domestic helper in Hong Kong 母親的死因是她返回菲律賓度假,但期間她與丈夫不幸 (the “Aunt”). 遭遇同一宗致命意外。

Neither of the deceased parents left a will. The Aunt sought advice 死者母親的胞妹（妻子下 from her sympathetic employer as to how to access the HK$28,000 in 稱「姨母」）亦在香港任 the bank account, as this would be very useful indeed for the welfare of 職家務助理。 the orphaned child at this tragic time. 母親及其丈夫均沒有訂立 With the death of the parents, the child’s maternal grandmother in the Philippines became the guardian. She gave a Power of Attorney 遺囑。姨母的僱主對上述 (“POA”) to the Aunt. 事故表示同情,而姨母亦就如何能提取上述的28,000 The Aunt went to the bank, which confirmed that there was indeed 港元戶口結餘尋求其僱主 an account in the deceased mother’s name with HK$28,000 in it. The bank advised her to approach the Home Affairs Department (“HAD”). 的意見,因為該筆款項將大 She did so. 大協助兩名死者遺下的孤兒渡過難關。 The HAD asked for the death certificate and the POA. When these were produced, HAD then said they could not help, and directed the Aunt to 該名孤兒的父母離世後,她 the Probate Registry. 的一名居於菲律賓的外祖

14 www.hk-lawyer.org March 2014 • LETTER TO HONG KONG LAWYER 給《香港律師》的信

At the Registry she was advised to consult a solicitor as the matter was 母成為她的監護人。該名外祖母簽立一份授權書,把相 complicated. 關權力授予姨母。

She was informed too that the Official Administrator could deal with an 姨母前往上述戶口所屬銀行。該銀行確認確有一個以 estate of up to HK$150,000 and the Home Affairs Bureau could deal 死者母親名義開設的戶口,當中亦確有28,000港元的 with an estate of up to HK$50,000. However, neither of these facilities 結餘。姨母遵照該銀行所提供的意見,與民政事務總 was available in cases such as this one, since it is said to involve 署聯絡。 complicated issues of law such as the deceased having died domiciled outside of Hong Kong. 民政事務總署要求姨母出示母親的死亡證明書及上述授權書。姨母應要求出示該等文件,但民政事務總署繼 An affidavit was required from a lawyer in the deceased’s home country as to who was entitled to administer the estate of the deceased there. 而表示無法協助姨母,並指示她與遺產承辦處聯絡。

Despite the sole beneficiary being the only child of the deceased 遺產承辦處認為事件複雜,因此建議姨母徵求律師的 couple, the Aunt was informed that the Probate Registry would require 意見。她亦獲告知,遺產管理官可協助處理金額最高為 evidence of which parent had died first, mother or father. They would 150,000港元的遺產,而民政事務局可協助處理金額最 also require information concerning any other relatives of the deceased 高為50,000港元的遺產,但這兩項服務均不適用於本個 couple, although there is only ever one child of the family. 案,因為本個案被指涉及複雜的法律問題,例如死者於去 As the orphan was only a 10 year old, a guardian would have to 世時以香港境外地方為其居籍。 be appointed under the Non-Contentious Probate Rules and also 姨母被要求提交一份由死者的原居國家內的律師簽立 consideration will have to be given as to whether an application should 的誓章,以解釋在當地誰人有權管理死者的遺產。 be made under Section 36 of the Probate and the Administration Ordinance (Cap. 10). Authenticated death certificates of both 雖然上述兩名死者的唯一女兒是死者遺產的唯一受益 parents and an authenticated marriage certificate together with the 人,但姨母獲告知,遺產承辦處要求姨母提供證據以證明 authenticated birth certificate of the child would also be required. 較早離世的是父親還是母親。此外, 雖然該兩名死者一 Further complications included the need for at least two Hong Kong 直只有一名子女,但遺產承辦處要求姨母提供關於該兩 residents to act as sureties if Letters of Administration were to be 名死者的任何其他親人的資料。 granted. Further, the funds would be put in a trust until the child reaches the age of 21. 由於上述兩名死者遺下的孤兒年僅十歲,因此有需要根據《無爭議遺囑認證規則》委任一名監護人,並且有需 The Aunt and her employer were amazed at the complexity of this 要考慮應否根據《遺囑認證及遺產管理條例》（第10 process for what should be a simple matter of a small amount of 章）第36條提出申請。此外,亦有需要出示已離世父母 money for an orphaned child. 的經認證死亡證明書以及該名孩子的經認證出生證明 One appreciates that 書。 where there is an estate with a substantial 令事情更形複雜的包括：假如要獲授予遺產管理書,則 amount of money 需要有至少兩名香港居民出任擔保人；而相關款項將 involved, there must 要撥入信託,直至該名孩子年滿21歲為止。 be an ordered and 上述個案只涉及為一名遺孤提供一筆有限的款項,本應 structured approach to dealing with 相當簡單,但所需程序竟然如此繁複,姨母及其僱主對此 administration issues. 均深感驚訝。

However, in a case 我們都明白,假如遺產涉及巨額金錢,則在處理遺產管理 such as this, surely a 事宜時,固然必須採取按部就班、有條不紊的做法。 system could be devised 然而,就諸如上述個案的情況而言,定必能設立機制,使 to make a deceased worker’s savings more 死者遺產的受益人和管理人可更容易地得取死者的 easily available. 積蓄。

www.hk-lawyer.org 15 • March 2014

FROM THE SECRETARIAT

律師會秘書處資訊 Ms. Heidi Chu, Secretary-General 秘書長朱潔冰律師

Amendments to the Overseas Lawyers (Qualification for Admission) Rules 《海外律師(認許資格)規則》的修訂 The Overseas Lawyers Qualification Examination (the “Examination”) 海外律師資格考試(下稱「資格考試」)為已在海外取得 offers an overseas qualified lawyer a means to gain admission as a Hong 資格的律師提供一個獲認許為香港律師的渠道。 Kong solicitor. The Examination is held annually, generally in November and December. 資格考試每年舉行一次，一般安排在11月和12月進行。 It comprises four written Heads: (Head I) Conveyancing; (Head II) Civil 當中包括以下四個筆試科目：(卷一)物業轉易、(卷二)民 and Criminal Procedure, (Head III) Commercial and Company Law; and 事及刑事法律訴訟程序、(卷三)商業及公司法，及(卷四) (Head IV) Accounts and Professional Conduct. For candidates qualified 帳目及專業操守。對於已在非普通法司法管轄區取得律 in non-common law jurisdictions, they have to pass an oral examination 師資格的考生，他們亦須在以口試形式進行的「普通法 on Principles of Common Law (Head V) as well. 原則」(卷五)中考取合格。 A candidate is taken to have passed the Examination only if he or she 考生須在所有其需要應考的科目中考取合格，才會被 has passed all the Heads that he or she is required to sit. A candidate may apply for exemption from sitting all or part of the Examination. 視為通過資格考試。考生可申請豁免應考資格考試的 There is a pre-requisite of five years’ experience in the practice of law 全部或部分科目。但要申請豁免應考任何筆試科目， before an applicant can apply for exemption from sitting a written Head. 有一個先決條件，就是申請人須具備五年從事法律執 The Examination is conducted on the basis of and is governed by the 業的經驗。 Overseas Lawyers (Qualification for Admission) Rules (the “OLQE 資格考試根據《海外律師(認許資格)規則》(下稱「《規 Rules”). 則》)進行，並受其所規管。 As a result of a comprehensive review conducted on the Examination some time ago, certain amendments were proposed to the OLQE Rules. 早前對資格考試進行的全面檢討，建議對《規則》作出以下修訂： (a) To become a solicitor in Hong Kong, a person should also be required to have an understanding of the Basic Law. It is not (a) 要成為香港律師，有關人士須對《基本法》有所認 uncommon that in overseas jurisdictions, foreign lawyers seeking 識。這做法在海外司法管轄區並不鮮見，申請在該 admission in those jurisdictions are tested on the constitutional 等司法管轄區獲認許的外地律師，必須接受有關司 law of the jurisdiction before they are admitted. Rule 7 of the 法管轄區的憲法考試，方可獲認許。因此，《規 OLQE Rules has therefore been amended to include “Hong Kong 則》第7條已作修訂，將「香港憲法」這額外的筆試 Constitutional Law” as an additional written Head of Examination. 科目包括在內。 (b) Most overseas lawyers are qualified in a number of jurisdictions. In calculating the five (5) years of experience in an application for (b) 大部分海外律師擁有多個司法管轄區的律師資格。 exemption under Rule 4(1) of the OLQE Rules, the experience in 就根據《規則》第4(1)條提出的豁免申請計算有關五 the practice of law in all the common-law jurisdictions in which 年經驗的規定時，普通法申請人在所有取得執業資 the common law applicants were qualified to practise should be 格的普通法司法管轄區所獲得的法律執業經驗應計 counted. 算在內。 (c) Similarly, the experience in the practice of law in all the non- common law jurisdictions in which the non-common law applicants (c) 同樣地，就根據《規則》第5(1)條提出的豁免申請計 were qualified to practise should also be counted for the purpose 算有關五年經驗的規定時，非普通法申請人在所有

16 www.hk-lawyer.org March 2014 • FROM THE SECRETARIAT 律師會秘書處資訊

of the five (5) years of experience in an application for exemption 取得執業資格的非普通法司法管轄區所獲得的法律執 under Rule 5(1) of the OLQE Rules. 業經驗亦應計算在內。

(d) Most jurisdictions provide for a period of practical legal training (d) 大多數司法管轄區允許以為期若干時期的法律實務培 in lieu of traineeship as a requirement for admission. Rule 4(2) 訓代替實習作為認許的必要條件。《規則》第4(2)(b) (b) of the OLQE Rules have been amended to clarify that the practical legal training which satisfied the admission criteria in 條已作出修訂，闡明若申請人接受的法律實務培訓符 an applicant’s jurisdiction of admission can be recognised by 合其司法管轄區的認許準則，則就資格考試的目的而 the Society as experience in the practice of law for the purpose 言，該培訓可獲律師會承認為法律執業經驗。然而， of the Examination. The period of pupillage however cannot be 實習大律師的實習期並不會獲承認為符合申請參加資 recognised as post-admission experience to satisfy the eligibility 格考試的條件中所指的獲認許後經驗。 criteria to sit the Examination. (e) A prerequisite requirement for non-common law applicants is (e) 非普通法申請人須符合一個先決條件，就是他們必須 that they must have completed a one-year full time study of 已完成為期一年涵蓋合約法、侵權法、財產法、刑事 Contract, Tort, Property, Criminal Law, Equity, Constitutional 法、衡平法，以及憲制與行政法的全日制課程。第5(2) and Administrative Law. Rule 5(2) has been amended to extend 條已作出修訂，擴展至以兼讀形式進行的同類課程。 recognition to similar studies on a part-time basis. (f) Some applicants are admitted in more than one jurisdiction. (f) 有些申請人在多於一個司法管轄區獲認許。目前，就 Currently, the jurisdiction in which an applicant was first admitted 《規則》的目的而言，申請人首次獲認許的司法管轄 would be taken as his jurisdiction of admission for the purposes 區將被視為他獲認許的司法管轄區。如果申請人首次 of the OLQE Rules. If an applicant was first admitted in a non- 獲認許的司法管轄區是非普通法司法管轄區，除非他 common law jurisdiction, he would be treated as a non-common 已在其他司法管轄區獲認許三年以上，並選擇該司法 law applicant unless he has been admitted in another jurisdiction for more than three (3) years and he has chosen that as his 管轄區作為其獲認許的司法管轄區，否則他將被視為 jurisdiction of admission. Rule 8 has been amended to enable an 非普通法申請人。第8條已作出修訂，允許在多於一 applicant who has been admitted in more than one jurisdiction to 個司法管轄區獲認許的申請人選擇當中任何一個司法 elect any one of those jurisdictions as his jurisdiction of admission. 管轄區作為其獲認許的司法管轄區。 The Chief Justice granted his final approval of the proposed 終審法院首席法官已於2013年10月就《規則》的建議修 amendments to the OLQE Rules in October 2013. 訂作最終批准。 The proposed amendments have been incorporated into the Overseas Lawyers (Qualification For Admission) (Amendment) Rules 2014 (the 這些建議修訂已納入《2014年海外律師(認許資格)(修訂) “Amendment Rules”). The Amendment Rules were approved by the 規則》(下稱「《修訂規則》」)。《修訂規則》在2014 Council in January 2014 and steps are being taken to prepare for the 年1月獲理事會通過，而有關方面正為《修訂規則》的刊 gazettal of the Amendment Rules. After the Amendment Rules are 憲作準備。《修訂規則》刊憲後，將提交立法會進行先訂 gazetted, they will be tabled before the Legislative Council for negative 立後審議的程序。我們預期《修訂規則》可於2015年的 vetting. It is anticipated that the Amendment Rules may come into 資格考試舉行前生效。 operation by the 2015 Examination.

Profile of the profession - updated statistics 業界最新統計資料 The Secretariat keeps a record of relevant statistics with regard to the profile 律師會會員不時要求秘書處提供與業界有關的統計資料。 of the profession, and from time to time, we receive requests from members 下列是一些最新的業界統計數字(截至2014年1月底)： for updates on these statistics. For those interested in obtaining such information, do keep an eye out for this section (as of end of January 2014):

Members (with or without practising certificate) 8,969 會員(持有或不持有執業證書) 8,969 Members with practising certificate 7,776 持有執業證書的會員 7,776 Trainee Solicitors 957 實習律師 957 Registered foreign lawyers 1,428 註冊外地律師 1,428 Hong Kong law firms 818 香港律師行 818 Registered foreign law firms 72 註冊外地律師行 72 Civil Celebrants 1,908 婚姻監禮人 1,908 Reverse Mortgage Counsellors 353 安老按揭輔導法律顧問 353 Solicitor Advocates 14 訟辯律師 14

www.hk-lawyer.org 17 • March 2014

Face to Face With...... BILLY MA Veteran Probate Practitioner and Partner, Hobson & Ma

專訪馬華潤律師資深遺囑認證執業者兼何柏生馬華潤律師行合夥人

By Carmen Chu 作者朱慧敏

News of power and inheritance struggles involving high-profile individuals, like casino king Stanley Ho or the late billionaire NinaWang, never fails to draw public attention. This is probate law at arguably its most fascinating, though as practicing lawyers know, the area is much more than the semblance of a reality show. Hong Kong Lawyer talks to Mr. Billy Ma Wah Yan, a leading member of the Law Society’s Probate Committee who has more than four decades of experience in this area, about this particular practice.

18 www.hk-lawyer.org March 2014 • COVER STORY 封面專題

❝ Bear in mind, when probate clients approach you for legal assistance, their families have already suffered a big loss. ❞

www.hk-lawyer.org 19 • March 2014

hrough reporting by the “In Hong Kong, there is now concord on for the deceased died domiciled in media and courts, the public succession laws,” Mr. Ma says. Hong Kong are considerably simpler. are arguably more informed Whenever an application involves T For example, before the abolition foreign elements and aspects, the today about basic laws governing the of estate duty in 2006, Estate Duty processes involved will be more difficult administration and distribution of the Clearance - obtained after the required and complicated. wealth, due mainly to a slew of cases in duty had been paid in dutiable case or recent years involving tycoons and their in exempted case - was needed before In an international city as Hong Kong, families. In addition, information as to an application can be made for a Grant it is “not incomprehensible” to have the setting up of private and charitable of Representation. With it gone, it now the deceased died domiciled outside trusts, and trust management, is also takes lesser time to complete a probate Hong Kong leaving assets in Hong available to the public. This is especially application. Kong. Those applications, including the beneficial to a public that has limited deceased died domiciled in Mainland Plus, with the benefit of the prescribed legal backgrounds and training, says China, are governed by Rule 29 of forms and the Guide to Non- Mr. Ma. the Non-Contentious Probate Rules Contentious Probate Practice issued (Cap. 10A). Under Rule 29, separate “Generally, everyone who is interested by the Judiciary, non-contentious procedures and more documents in these areas will benefit from all the probate applications for the Grant are required in support of such reports in the public domain,” he tells of Representation are often straight applications. Hong Kong Lawyer. forward. All these represent progress in probate practice, Mr. Ma notes. While acknowledging Hong Kong Over years of practice, he also noticed as a good probate law regime, Mr that the mindsets of the public and However, probate cases remain “very Ma indicated his hope for “more government have evolved where this challenging and complicated” partly simplification of the areas of the issue is concerned. because each one is markedly different. practice under Rule 29”. “It used to be the case that the Chinese “Since each application has its own would avoid issues surrounding death. family background and characteristics”, The Practice of Probate Such an attitude has changed over Mr Ma stresses, “it still takes some The ultimate goal of probate time.” he notes. time to complete some probate applications”. applications is to enable the successor Thanks partly to heavy media reporting of the estates to unfreeze the assets This varies from one case to another. and television dramatisation, for one, as well as liabilities owned by the A simple and straightforward case executing a will to manage one’s assets deceased, Mr. Ma says. Before making may take about two to three months is no longer regarded as taboo today. a probate application, he advises, a on average, while a complicated one solicitors should first seek clear and The Hong Kong Probate with complex estates will naturally take accurate instructions from clients Regime much longer, he says. to ensure who are entitled to apply for the Grant of Representation and In Hong Kong, says Mr. Ma, the most “There are still many complicated what exact documents are required in relevant ordinances to probate law non-contentious probate applications support of such applications. This is and practice are: the Probate and and you may have to wait at least extremely crucial. Administration Ordinance (Cap. six weeks after lodging a response to the requisitions to complete the 10) , Wills Ordinance (Cap. 30) and “You may also need to apply your application.” Inheritance (Provision for Family and common sense as to whether your Dependants) Ordinance (Cap. 481). “Perhaps the judiciary should consider client is the person entitled to the If a child is involved, the Parent and recruiting more probate officers Grant (of Representation),” says Mr. Ma. Child Ordinance (Cap. 429) may also or probate lawyers to improve the Homemade wills, drawn up without be relevant. The Probate Registry of situation,” Mr. Ma mulls. witnesses or with obliteration, the Hong Kong High Court remains the The issue of domicile has an important interlineation or other alterations, are gatekeeper of applications for all kinds role to play in the probate applications not uncommon. Wills which are unclear of Grant of Representation, which gives regarding the devolution of the or fall short of formality usually end one the legal right to deal with the deceased assets, in particular to the up with lengthy application or even estate of the deceased. movable assets. Probate applications litigation. Therefore, special attention

20 www.hk-lawyer.org March 2014 • COVER STORY 封面專題

is also required where such homemade the legal status of the children, Speaking from his experience, even documents are concerned. ie. natural or/and lawful, and the though probate practice remains testamentary capacity of the testator. “reasonably remunerated”, individuals Due to the variety of assets and These probate applications can hence who want to specialise in the area liabilities, inevitably, knowledge of be rather complicated and time might do well not to look at it from a different areas of laws is required for consuming, though their intricacies can “marketability” standpoint but to treat probate practice. also mean an interesting in-depth look it “as an interesting practice of multi- “Dealing with probate matters opens into a myriad of laws. legal matters”. the doors to all kinds of legal practice,” Mr Ma adds. Current probate market Probate practice is simpler when only Stressing that it takes more than a bank accounts and personal chattels chat with Hong Kong Lawyer to explain are involved in the deceased estates. fully the challenges of today’s probate However, this is usually not the case practice, Mr. Ma nevertheless lets us in on some of his thoughts concerning the For example, where public stocks are issue. concerned, “depending on the holding, you may end up to providing legal For instance, on a practical level, advice over the compliance of the even with more lawyers choosing to securities laws and may involve in the specialise, many law firms, both big take-over of the controlling interest and small, are reluctant to take up of the deceased in public companies. probate practice, not only because this These are all very interesting legal may not be as rewarding as other areas, work,” Mr. Ma elaborates. but could also be unproportionately Or where real estate is involved, one “risky and burdensome”, he says. will be dealing with “conveyancing “Sadly, one of the big local firms works, including but not limited to recently closed its probate practice,” sale, assenting of the properties to the Mr. Ma observes. beneficiaries and even re-development”, while dealing with overseas assets A market is all about demand and exposes one to succession laws in other supply and the probate market is of no jurisdictions, he adds. exception. To improve the Hong Kong probate practice, issues at both ends “Of course, if you are involved in have to be addressed, he adds. contentious matters, they will cover many many other areas,” Mr. Ma On the demand side, simplifying continues, enthusiasm for his work the Grant of Representation further, peeking through. regardless of whether the deceased died testate or intestate, and whether Such cases take varied forms in Hong he/she was domiciled in Hong Kong, Kong, he notes. If the deceased died can lead to “more people willing to testate domiciled in Hong Kong, given keep their personal wealth in Hong the application has to be based on a Kong”, thus increasing the demand for valid will, the validity issue of the will probate services. may arise, such as in the case of late tycoon Ms. Wang. Another example Concurrently, the legal profession, ie. that Mr. Ma came across is where the the supply side, can be exposed to even original will was lost, and no consensus “more educative information as to how could be reached amongst the family to take instructions and prepare a will”, members in admitting a copy of the lost which will also help minimise the risks will. Other contentious issues include of being challenged after the death of the validity of marriage of the deceased, the testator, says Mr. Ma.

www.hk-lawyer.org 21 • March 2014

Passion for probate applications, Mr. Ma says. To avoid says, is when he receives the fax of the desperation, probate practitioners notification from the Probate Registry to For Mr. Ma though, the practice of should always ensure all applications collect a Grant of Representation. probate goes further than just legal are correctly prepared while making use work. He believes that the legal “Helping a family get the Grant of the opportunity to discuss the initial profession is about helping clients and (of Representation) is a very joyful requisitions with the Probate Officer to making their lives easier since “losing a achievement,” Mr. Ma adds. find out exactly what the issue is. loved one understandably means going In addition to the legal knowledge through some of the most difficult times “You need to provide comfort to clients gained and improving his tactics in in one’s life”. before explaining all the rights and dealing with people, probate practice entitlements under the succession laws “Bear in mind, when probate clients also brings him other benefits. and advising them what needs to be approach you for legal assistance, their done in order to secure the Grant of “In most cases, clients will treat you as families have already suffered a big Representation,” Mr. Ma adds. a family friend and will continue to seek loss,” Mr. Ma says. your assistance on their legal affairs.” “It is also very important to let When probate clients seek legal advice, them know the legal costs and But to achieve this, Mr. Ma concludes, they may well be puzzling about what disbursements.” “whatever you do in probate practice, needs to be done to the deceased’s you must do it with a heart of love”, frozen assets. Some of them may be All probate cases, Mr. Ma admits, an attitude imparted to him by his desperate for immediate or prompt contentious or non-contentious, are late mentor Peter AL Vine. To this end, release of the assets to maintain their difficult in their complexities. What Mr. Ma will like to renew his hearfelt families’ livelihood. To these clients, keeps him going, he says, is satisfaction gratitude to Mr. Vine, a former President “patience is key”. through helping grieving families. By of the Law Society and a staunch the same token, he also enjoys helping For example, legislation empowers the advocate of the advance of legal individuals plan their estates in advance Probate Registrar to make inquiries, education in Hong Kong (see Mr. Ma’s so that they may avoid potential hassle and there is no greater frustration article “In Memoriam: Remembering Peter down the road. than receiving requisitions from the Alan Lee Vine (1921 – 2005)” in the May Registry repeatedly for each of the His most satisfying moment at work, he 2005 issue of Hong Kong Lawyer). n

22 www.hk-lawyer.org March 2014 • COVER STORY 封面專題

❝我們必須謹記，當遺囑認證的當事人向你尋求法律援助時，他/她們的家庭正因失去了親人而遭逢極大的傷痛。❞

涉及社會知名人士 (例如賭王何鴻燊先生及已故億萬富豪龔如心女士) 的權力及家產爭奪新聞，從來都不乏人關注。可以說，這是遺囑認證法律的最吸引人之處。然而，正如執業律師所了解的，真正的遺囑認證工作，遠不止我們在「真人秀節目」中所見到的那樣。《香港律師》就這一專門法律工作範疇，專訪了在這一領域有超過40年執業經驗的香港律師會遺產事務委員會主要委員馬華潤律師。

於近年屢有涉及富豪與其家族的在這多年的執業中，馬華潤律師留意到社香港的遺囑認證制度財產糾紛案件出現，而通過媒會人士及政府對於涉及遺囑的事宜，在心由馬華潤律師說，與遺囑認證的法律與實務體與法院的報導，公眾人士在今天對於態上已有所改變。最具關係的香港法例為《遺囑認證及遺產遺產管理及財富分配的基本法例已有更他指出﹕「中國人對於談論死亡，向來都管理條例》(第10章)、《遺囑條例》 (第多認識。此外，有關私人和慈善信託之 30章) 及《財產繼承(供養遺屬及受養人) 設立以及有關信託管理方面的資訊，公有所忌諱。然而，這一態度已慢慢有所改條例》 (第 481章)。當中如涉及子女的眾人士在今天也不難取得。馬華潤律師變。」話，則《父母與子女條例》也是一項相關說，這對於並無充足法律背景及培訓的部分原因，是由於傳媒對這一話題的經常的法例。香港高等法院遺產承辦處仍然是公眾人士來說，尤其是一件好事。報導，加上電視節目中的戲劇化情節，以各類「遺產承辦書」申請的把關人，而「他告訴《香港律師》﹕「一般而言，有致人們今天已不再將遺囑執行及死者遺產遺產承辦書」則授予人們法定權利辦理死興趣認識這門專業的人士，都基於這些的管理，視為一種不可談論的禁忌。者的遺產。公開報導而有所得益。

www.hk-lawyer.org 23 • March 2014

馬華潤律師說﹕「香港的繼承法規現時是解」。該等申請(包括當死者去世時，他闡釋稱﹕「這視乎死者所持有的是甚麼股和諧一致的。」是以中國大陸作為其居籍) 將受《無爭議份，而我們可能需要就證券法之規定向當遺囑認證規則》(第10A章)第29條所規事人提供法律意見，並可能涉及對死者在例如，在遺產稅於2006年廢除以前，人管。根據第29條的規定，有關申請需要公眾公司之控股權益的接管。所有這些，們若要申請「遺產承辦書」，便必須先行另行通過別的程序，而申請人需要提交更都是非常有趣的法律工作。」取得「結清遺產稅證明書」(在應課稅情多文件來支持其所提出的申請。況下已繳納有關稅款及在獲得豁免繳納情又或是，死者的遺產倘涉及房地產，我們況下取得)。馬華潤律師承認香港雖然擁有良好的遺囑便有需要處理「物業轉易工作，包括但認證法律制度，但他仍希望「根據第29 並不限於出售物業、允許將物業給予受益馬華潤律師亦指出，由於司法機構發出了條之規定而進行的遺囑認證工作可以更為人，甚至是將物業重新發展」﹔但當我們指定的表格及《不具爭議性遺囑認證實務簡化」。需要處理海外的資產時，我們便需要考慮指引》，因此現時對於不具爭議性遺囑認其他司法管轄區的繼承法，他補充說。證的「遺產承辦書」申請，其手續通常是遺囑認證工作簡單直接。這種種情況均顯示，遺囑認證馬華潤律師續稱﹕「當然，你所處理的假馬華潤律師說，遺囑認證申請之最終目工作正在不斷地發展。如是具爭議性的事項，當中將會涉及許許的，是要讓遺產繼承人得以將死者所擁然而，遺囑認證工作仍然存在「非常具挑多多的不同範疇。」可以看出，他在流露有的財產及債務解凍。他建議律師在提戰性及繁複」的地方﹔部分原因，是由於對自己工作的熱愛。出遺囑認證申請前，應首先尋求當事人每宗個案都有其顯著不同的地方。清晰而明確的指示，從而確定哪些人有他同時指出，該等案件在香港可以藉各種馬華潤律師指出﹕「由於每一宗申請都涉權申請「遺產承辦書」，以及需要提交不同的方式出現。假如死者去世前已立下及家庭背景與特徵，因此有些遺囑認證申甚麼文件來支持有關申請。這些都是極遺囑，而他是以香港作為其居籍，那麼，請需要花較長時間處理。」為重要的考慮因素。基於遺囑認證申請需要以有效的遺囑作為依據，因此有可能會產生遺囑的有效性問他指出這要視個別情況而定。一宗簡單馬華潤律師說﹕「在確定當事人是否符題，正如已故億萬富豪龔如心女士的情況而直接的個案，平均大約只需要二至三合資格取得「遺產承辦書」時，我們需一般。馬華潤律師所接觸過的另一例子，個月便可以完成處理﹔而一些涉及異常要運用個人常識來作出判斷。是原來的遺囑已遺失，但各家庭成員卻未複雜遺產的個案，則通常需要較長的時自製遺囑(即遺囑訂立時並無見證人在能就接納一份已遺失遺囑的複本達成一致間來處理。旁，或是遺囑經過塗改、行間書寫、或意見。其他具爭議性的事項包括﹕死者婚此外，有許多複雜但不具爭議性的遺囑認其他改動)的情況亦並非罕見。遺囑內姻的有效性、子女的法律地位(即是親生證申請，當我們就有關查詢作出了回應容不明確，或是不符合格式要求，往往或/及合法)，以及立遺囑人的訂立遺囑能後，也許需要等待至少6個星期，該項申會導致申請時間被拖長，甚至會引起訴力等。所以，此類遺囑認證申請確是相當請才完成審批。訟。因此，人們在自行訂立遺囑時務須繁複和耗費時間。但是，正由於它所具有馬華潤律師稱﹕「司法機構也許應考慮增格外審慎。的複雜性，這意味律師將可以透過深入探討各種不同的法律規定，從而感受當中的聘更多遺囑認證人員或律師來改善有關服由於財產和債務形式有各種各樣，因此無窮趣味。務。」從事遺囑認證工作，無可避免地需要具關於死者遺產的轉予 (尤其是在動產) 方備不同領域的法律知識。現行的遺囑認證服務面，居籍問題在遺囑認證申請中起非常重馬華潤律師說﹕「從事遺囑認證工作，儘管馬華潤律師強調在這次的《香港律要作用。當死者去世時，如果他是以香港讓你有機會在同一時間處理各類不同法師》專訪中，他實在難以充分說明今天的作為其居籍，則有關的遺囑認證申請便會律實務。」遺囑認證工作所面對的挑戰，但他還是表簡單直接很多。相反，如果該項申請涉及如果死者的遺產只涉及銀行賬戶和非土達了他就該等問題的一些想法。外地元素或層面，則有關程序便會較為困地實產，那麼有關的遺囑認證工作便會難和複雜。他說，例如在法律實務上，儘管正有較為簡單容易。然而，很多時候情況並越來越多律師選擇投身於專門的法律工在香港這個國際都市，一名死者去世時如非如此。作，但許多律師行，不論其規模大小，果是以香港以外的地方作為其居籍，並在例如當涉及公眾股份的話，馬華潤律師卻不願意從事遺囑認證工作﹔而箇中原香港留下了財產，這情況「絕非難以理

24 www.hk-lawyer.org March 2014 • COVER STORY 封面專題

因，不單由於這方面的工作也許不如其結的資產而感到徬徨。當中有些人可能會感。出於同樣原因，他也很樂意協助其他一些法律工作那麼收入豐厚，更可能十分焦慮，希望財產能獲得即時或迅速解他人預先為自己的財產作安排，以避免由於它所涉及的「風險和繁複程度」，凍，以濟他/她們生活上的燃眉之急。對將來可能產生的煩擾。是不成比例地偏高。於這些當事人，「與他/她們相處的訣竅他說，工作中令他最感興奮的一刻，就是就是要包容」。馬華潤律師說﹕「很可惜，最近便有一家接到遺產承辦處的傳真，通知他收取「遺本地律師行結束了它的遺囑認證業務。」馬華潤律師稱，舉例說，法例賦權遺產承產承辦書」的時候。

他補充說，市場的運作就是供與求的關辦處就遺囑認證申請作出查詢，但沒有令他說﹕「協助一個家庭取得「遺產承辦係，而遺囑認證市場也不例外。要改善香人感到更沮喪的情況是，每當提交了申請書」，是最值得高興的成就。」後，便不斷接獲來自該處的查詢。要避免港的遺囑認證環境，我們需要同時在供與遺囑認證工作除了令他能吸收法律知識和此等令人沮喪的情形發生，處理遺囑認證求方面下功夫。增進與人相處的技巧外，也帶給他許多其工作的律師應當時常確保所有的申請都已在需求方面，香港應進一步簡化「遺產承他方面的好處。正確辦妥，並把握機會在最初提出的查詢辦書」的辦理手續，不論死者是否曾立下中，與遺產承辦處的人員進行溝通，從而在大多數個案中，當事人都會將你當作是遺囑，亦不論他是否以香港作為居籍。如確切了解問題的所在。他家中的好友，而在其他法律事情上，他此，將可吸引「更多人願意將其個人財富們也樂於找你幫忙。存放於香港」，從而增加對遺囑認證服務馬華潤律師續稱﹕「在向當事人解釋所然而，要做到這一點，馬華潤律師在總的需求。有在繼承法下的權利及享有權，以及告結時說﹕「無論我們處理怎麼樣的遺囑知他們需要辦理甚麼手續以取得「遺產馬華潤律師說，與此同時，法律專業(即認證工作，都必須以真誠和愛來對待當承辦書」之前，我們首要做的事情是安供應方)應涉獵「更多如何聽取當事人的事人。」馬華潤律師的這種誠懇態度，慰當事人。」指示及如何製備遺囑等方面的資料」，這是源自他的恩師—已故的Mr. Peter AL 讓他們得知相關的法律費用及代墊付費可有助將立遺囑人過身後，所可能面對的 Vine的教導。Mr. Peter AL Vine是香港用，也是十分重要的一點。挑戰風險降至最低。律師會的前會長，也是香港法律教育發展的堅定倡導者(參見馬華潤律師在根據馬華潤律師的經驗，儘管遺囑認證工馬華潤律師承認，所有的遺囑認證個 2005年5月號《香港律師》所發表的一作的「報酬處於合理水平」，但有意在這案，不論是具爭議性或是不具爭議性篇名為“In Memoriam: Remembering 個專業範疇發展的律師，不應從「銷路」的，都是相當繁複和困難。但他說，令 Peter Alan Lee Vine (1921 – 2005) ” 的角度來看這一門專業，而是應將它視作他繼續堅守著這個專業崗位的，是他為的文章。) 「趣味性極濃，並且涉及各個不同法律範不幸家庭提供幫助後所獲得的一份滿足 n 疇的專業」。

對遺囑認證工作的熱愛對於馬華潤律師來說，遺囑認證實務並非單單是法律工作。他深信，法律專業是要協助當事人解決問題，使他/她們得以安心，因為「我們可以想像，一個人失去了至親，這是他/她一生中所經歷的最痛苦時刻」。

馬華潤律師說﹕「我們必須謹記，當遺囑認證的當事人向你尋求法律援助時，他/ 她們的家庭正因失去了親人而遭逢極大的傷痛。」

遺囑認證的當事人在尋求法律意見那一 Mr. Billy Ma moderating at a the seminar. 刻，他們可能正為應當如何處理死者被凍馬華潤律師在主持一研討會。

www.hk-lawyer.org 25 • March 2014 LAW SOCIETY NEWS 律師會新聞

Ceremonial Opening of the Legal Year 2014 2014法律年度開啟典禮 A significant event in the legal field, the annual Ceremonial Opening of 法律年度開啟典禮是法律界的盛事，海外及內地的法律 the Legal Year is an occasion where overseas and PRC bar leaders meet 界領袖藉此聚首一堂，就業界在世界各地的最新發展交 to exchange views on the latest development of the profession around 流意見，及增進彼此關係。 the world and to foster relationships. 2014年法律年度開啟典禮於1月13日舉行。律師會有幸 The Ceremonial Opening of the Legal Year 2014 was held on 13 January. The Law Society was honoured to host 40 overseas and PRC bar 款待40名海外及內地的法律界領袖和代表。一如過往， leaders and legal representatives. As in previous years, the Law Society 律師會為各地代表訪港期間安排了一系列行程。 arranged a hospitality programme for the chief delegates during their stay in Hong Kong.

At the LegCo Complex. 各代表在立法會綜合大樓留影。 Visit to the Legislative Council The programme kicked off with a visit to the Legislative Council (“LegCo”) where its President, Mr. Jasper Tsang Yok-sing, greeted the delegates and explained the functions and formation of LegCo, Hong Kong’s electoral system and how a bill is introduced and passed by LegCo. This was followed LegCo President Jasper Tsang Yok-sing by a guided tour of the LegCo Complex. (right) receiving a souvenir from Mr. Stephen L Dreyfuss, President of the 參觀立法會 Union Internationale Des Avocats. 立法會主席曾鈺成先生（右）接受國際律首項行程是參觀立法會。立法會主席曾鈺成先生接見各代表，並向他們介紹立法會的職能和產生辦法、師聯盟主席Stephen L Dreyfuss律師致香港的選舉制度，及如何提出及通過一項法案。各代表接著以導賞形式參觀立法會綜合大樓。送紀念品。

Visit to the Law Reform Commission The overseas delegates also met with Mr. Stephen K Y Wong, the Secretary of the Law Reform Commission (the “Commission”), following the LegCo visit. The delegates expressed keen interest in the work of the Commission, especially on proposed reforms to various legislations.

到訪法律改革委員會參觀立法會後，一眾海外代表與法律改革委員會(下稱「法改 Meeting with the Secretary of the Law Reform Commission Stephen KY Wong (seated, third 會」)秘書長黃繼兒律師會面。各人對法改會的工作非常感興 from left). 趣，尤其是法改會就各項法例提出的改革建議。各代表與法律改革委員會秘書長黃繼兒律師（前排左三）會面。

26 www.hk-lawyer.org March 2014 • LAW SOCIETY NEWS 律師會新聞

Presidents’ Roundtable Chaired by the President of the Law Society of Hong Kong, Ambrose Lam, the Presidents’ Roundtable took place after the luncheon jointly hosted by the HKLS and the Hong Kong Bar Association (“HKBA”) at the Hong Kong Club. Chief delegates were invited to share their opinions on the topics “From Collaboration to Strength” President Ambrose Lam and Secretary General Heidi Chu at the and “Strengthening the Future Pillars of President Ambrose Lam delivering a Presidents’ Roundtable. welcoming speech at the luncheon jointly 會長林新強律師主持圓桌會議，旁為秘書長朱潔冰律師。 our Profession”. Overseas and PRC legal hosted by the Law Society of Hong Kong and the Hong Kong Bar professionals also introduced their activities, Association. shared thoughts and generated ideas on the 會長林新強律師於由 topics concerned. 律師會及香港大律師公會合辦的午宴上致歡迎辭。會長圓桌會議由香港律師會及香港大律師公會聯合舉辦的午宴於香港會舉行，之後由香港律師會會長林新強律師主持的圓桌會議正式展開。與會代表獲邀就「從合作到優勢」及「鞏固業界未來棟樑」這兩個課題分享灼見。會長圓桌會議亦讓海外及內地法律界同業有機會就相關課 Participants at the Presidents’ Roundtable. 題介紹他們的活動、交流意見，並構思新意念。參加者在圓桌會議活動上交流。

More than 30 chief delegates attending the Presidents’ Roundtable. 超過30名各地代表出席會長圓桌會議。

Opening Ceremony The highlight was surely the Ceremonial Opening of the Legal Year 2014 at City Hall, which attracted hundreds of legal practitioners to celebrate the beginning of a new legal year. Speeches were delivered by the Chief Justice, the Secretary for Justice, the President of the Law Society of Hong Kong and the Chairman of the HKBA. Following the ceremony was a cocktail reception hosted by the Judiciary, where attendees could mingle and continue with the festivities.

開啟典禮行程的焦點是假香港大會堂舉行的開啟典禮。這項盛事吸引了數百名法律界人士參加，一同慶祝新一屆法律年度正式展開。終審法院首席 By the courtesy of the Information Services Department of the Hong Kong SAR Government 法官、律政司司長、香港律師會會長及香港大鳴謝香港政府新聞處提供相片律師公會主席均有在典禮上發表演說。典禮結 President Ambrose Lam addressing the audience President Ambrose Lam at the Ceremonial Opening of Legal at the Ceremonial Opening of the Legal Year. 束後，司法機構舉行慶祝酒會，讓一眾出席者 Year 2014. 會長林新強律師在開啟典禮上致辭。聯誼交流。會長林新強律師出席2014年法律年度開啟典禮。

www.hk-lawyer.org 27 • March 2014

Dinner Reception The day concluded with a dinner reception jointly hosted by the Law Society of Hong Kong and HKBA. A group of Korean law students who were in Hong Kong for an internship programme was also invited to partake in dinner and mingle with overseas guests and members of the Law Society Council. Guests were also treated to a performance of the ancient Chinese Chief Justice Geoffrey Ma (front row, middle), Secretary of Justice Rimsky Yuen (front row, fifth from right), President Ambrose Lam (front row, fifth from left) and participants of the Korean Internship Programme. art of “mask-changing”, no doubt 終審法院首席法官馬道立法官、律政司司長袁國強資深大律師、會長林新強律師及韓國實習計劃的參加者在晚宴上合照。 one of many highlights of the night. Towards the end of the reception, the President of the Law Society of Hong Kong and Chairman of the HKBA presented souvenirs to overseas and PRC representatives as a show of appreciation for their presence in Hong Kong, which no doubt lent stature to the Ceremonial Opening of the Legal Year 2014. It was a privilege for the Law Society to have assisted the Judiciary in coordinating the participation of all overseas and PRC bar leaders on Leaders of the legal profession from various parts of the world. this occasion. We would further like 來自世界各地的法律界領袖出席交流晚宴。 to express our appreciation to Chief Justice Geoffrey Ma and the Secretary for Justice, Rimsky Yuen SC, who so graciously attended the dinner reception.

交流晚宴是日行程以香港律師會和大律師公會聯合主辦的晚宴作結。香港律師會亦邀請了一班來港參加律師行實習計劃的韓國法律系學生參加晚宴，與各地嘉賓及律師會理事歡聚交流。各嘉賓亦欣賞到中國傳統藝術表演「變臉」，這環節無疑成為當晚 Chief delegates from Greater China. 大中華地區的代表參加交流晚宴。的眾多亮點之一。在晚宴尾聲，香港律師會會長和大律師公會主席向海外及內地的代表致送紀念品，答謝他們撥冗來港，令 2014年法律年度開啟典禮蓬蓽生輝。

為司法機構出一分力，款待所有參與是次盛會的海外及內地法律界領袖，實屬香港 President Ambrose Lam (left); Mr. Michael Colbran, President of the Law Council of 律師會的榮幸。我們亦非常感謝終審法院 Australia (middle); and Mr. Paul Shieh, Chairman of the HKBA. 首席法官馬道立法官及律政司司長袁國強會長林新強律師、澳洲法律協會會長Michael 資深大律師賞光出席晚宴。 Colbran先生及香港大律師公會主席石永泰資深大律師。

28 www.hk-lawyer.org March 2014 • LAW SOCIETY NEWS 律師會新聞

Visit by PRC Senior Judges On 16 January, a group of 31 senior PRC judges participating in the 8th Advanced Programme for Chinese Senior Judges at the School of Law of the City University of Hong Kong (“CityU”) visited the Law Society.

Law Society Vice President Thomas So, Representatives of the Law Society with delegates from CityU’s Advanced Programme for Chinese Senior Judges. Council Member Sylvia Siu together with 香港律師會代表與中國高級法官研修班代表團成員合照。 Ms. Elsie Leung, Member of the Greater GCLAC, along with Professor Wang 儀律師及大中華法律事務委員會成員梁愛 China Legal Affairs Committee (“GCLAC”), Guiguo, Director of Centre for Judicial 詩律師參與會面，並向訪客介紹香港的法 met with the visitors and provided them Education and Research, CityU, 律及調解服務概況，以及中港兩地的司法 with an overview of the local law and moderated the event. 協助規則。 mediation services in Hong Kong. They also discussed mutual legal assistance 中國高級法官研修班到訪問同日稍後時間更舉行了「中國司法改革 between Hong Kong and the Mainland. 研討會」，並邀請了三名高級法官擔任律師會講者，分享寶貴意見。大中華法律事務 A seminar on Chinese Law Reform was 1月16日，31名參加了香港城市大學(下委員會副主席黃江天律師及城大司法教 also held later that day, where three of the 稱「城大」)法律學院「第八期中國高級育與研究中心主任王貴國教授則擔任研 senior PRC judges were invited to be the 法官研修班」的中國高級法官到訪律師 speakers to share valuable experience. 討會主持人。會。律師會副會長蘇紹聰律師、理事蕭詠 Mr. James Wong, Vice Chairman of the

Visit by Tsinghua LLM the development of Hong Kong's legal Students profession. On 20 January, a group of 17 LLM 清華大學法學碩士生到訪律 students of the International Arbitration 師會 and Dispute Settlement Course at the Tsinghua University School of Law visited 17名就讀於清華大學法學院國際仲裁 the Law Society. They were received by 與爭端解决項目的碩士生，於1月20 Law Society Past President Huen Wong 日到訪律師會，由律師會前會長王桂 From left: Ms. Liao Ying, Associate Dean of Tsinghua Law School; Ms. Teresa Cheng SC, Director of International Arbitration and Dispute - an arbitration specialist - and Secretary 壎律師及秘書長朱潔冰律師接待，並 Settlement Course (“IADS“), Tsinghua Law School; Past President Huen Wong; and Secretary General Heidi Chu. General Heidi Chu, who provided them 向他們簡介律師會及香港法律業界發左起：清華大學法學院副書記廖瑩女士、清華大學法學院國際仲裁與 with an overview of the Law Society and 爭端解决項目主任鄭若驊資深大律師、前會長王桂壎律師及秘書長朱展的概況。潔冰律師。

PRC Visitors 全國人大內務司法委 On 24 January, Mr. Wang Shengming, 員會到訪律師會 Vice Chairman, along with Mr. Chen Limin, Deputy Director of the General 全國人大內務司法委員會副 Office, both from the Internal and Judicial 主任王勝明先生及辦公室副 Affairs Committee of the PRC's National 主任陳立民先生於1月24日 People’s Congress (“NPC”), visited the 到訪律師會。律師會會長林 Law Society. 新强律師、理事黎雅明律 Law Society President Ambrose Lam, 師，以及大中華法律事務委 Standing (from left): Mr. Ip Shing Hing, Member, GCLAC; Ms. Heidi Chu, Secretary along with Council Member Amirali Nasir; General; Ms. Alexandra Lo, Member, GCLAC; and Mr. James Wong, Vice Chairman, 員會副主席黃江天律師、委 GCLAC. GCLAC Vice-Chairman James Wong Seated (from left): Mr. Amirali Nasir, Council Member; Mr. Wang Shengming, Vice and GCLAC members Ip Shing Hing and 員葉成慶律師及委員羅德慧 Chairman, Internal and Judicial Affairs Committee, NPC; Law Society President Ambrose Lam; and Mr. Chen Limin, Deputy Director of the General Office, Internal Alexandra Lo, attended the meeting 律師出席會面，並簡介香港 and Judicial Affairs Committee, NPC. and introduced, among other things, the 律師會的組織架構、功能、後排左起：大中華法律事務委員會成員葉成慶律師、秘書長朱潔冰律師、大中華法律 structure, functions and operation of the 事務委員會成員羅德慧律師及大中華法律事務委員會副主席黃江天律師。運作等。前排左起：律師會理事黎雅明律師、全國人大內務司法委員會副主任王勝明先生、律 Law Society. 師會會長林新強律師及全國人大內務司法委員會辦公室副主任陳立民先生。

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Taiwan Visitors range of topics was discussed at the meeting, including the opening of the legal services On 24 January, a delegation from the market of Taiwan to the Hong Kong legal Ministry of Justice of Taiwan led by Ms. Tsai Pi Yu, Administrative Deputy Minister, profession. and Ms. Chen Wei Chi, Director General, 台北法務部到訪律師會 Department of International and Cross- Strait Legal Affairs, visited the Law Society. 台北法務部代表團在蔡碧玉常務次長及國際及兩岸司陳文琪司長率領下，於1月24日到訪 Law Society President Ambrose Lam, Vice 律師會。律師會會長林新强律師、副會長蘇 President Thomas So, Council Members Sylvia Siu and Kenneth Ng, and Mr. Wilfred 紹聰律師、理事蕭詠儀律師、理事伍成業律 Tsui, Vice Chairman of the Law Society's 師、大中華法律事務委員會副主席徐奇鵬律 Ms. Tsai Pi Yu, Administrative Deputy Minister, Ministry of Justice, Taiwan presenting a souvenir to Law Society Greater China Legal Affairs Committee, 師參與了會面。雙方就多項議題進行討論， President Ambrose Lam. met with the delegation members. A wide 包括開放台灣的法律業務市場予香港法律界。台北法務部蔡碧玉常務次長致送紀念品予香港律師會。

Members’ forum on common 委員於律師資格統一執 entrance examination 業試工作小組論壇 President Ambrose Lam (middle); 會長林新強律師（中）、副會 Vice President and Chairman of the 長兼律師資格統一執業試工作 Working Party on the Common Entrance Examination Stephen Hung (left); and 小組主席熊運信律師（左）及 Immediate Past President Dieter Yih, spoke 前任會長葉禮德律師為1月28 at the Members’ Forum on the Common 日舉行的「律師資格統一執業 Entrance Examination (the “Forum”) on 28 試會員論壇」(下稱「論壇」) January. 擔任演講嘉賓。他們在論壇上 The speakers explained the Law Society’s 解釋律師會進行諮詢的背後理 rationale behind the consultation 念，並討論諮詢文件提出的各 and discussed various issues raised in the consultation document. Over 130 項議題。超過130名執業者出 practitioners attended the Forum. 席論壇。

Spring Reception 2014 Education Eddie Ng; President of the 甲午年新春酒會 Legislative Council Jasper Tsang; Mr. Over 200 guests and members attended 2月11日，超過200位嘉賓和會員出席律 Dennis Kwok, Legislative Councillor the Law Society’s Annual Spring Reception 師會的年度新春酒會，慶祝馬年的來臨。 representing the Legal Functional to celebrate the new Lunar Year of the 我們非常榮幸邀得多位嘉賓撥冗出席，包 Constituency; and Mr. Allan Chiang, Horse on 11 February. The Law Society was 括律政司司長袁國強資深大律師、教育 Privacy Commissioner for Personal very much honoured by the company of 局局長吳克儉先生、立法會主席曾鈺成先 Data. distinguished guests including Secretary 生、立法會法律界功能組別議員郭榮鏗先 for Justice Rimsky Yuen SC; Secretary for 生，以及個人資料私隱專員蔣任宏先生。

Past President Huen Wong (left) and Council Member Melissa Pang President Ambrose Lam extending his President Ambrose Lam (right) with Mr. Allan Chiang, Privacy with Mr. Jasper Tsang, President of the Legislative Council. warmest New Year wishes to all guests. Commissioner for Personal Data. 前會長王桂壎律師（左）、理事彭韻僖律師與立法會主席曾鈺成先生會長林新強律師向各來賓致新年賀詞。會長林新強律師（右）與個人資料私隱專員蔣任宏先生交流。合照。

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Front row (from left): Council Member Cecilia Wong, Past President Huen Wong, Immediate Past President Dieter Yih, Vice President Stephen Hung, Secretary for Justice Rimsky Yuen, President Ambrose Lam, Vice President Thomas So, Past President Junius Ho, Secretary General Heidi Chu and Deputy Secretary General Christine Chu. Secretary General Heidi Chu with Mr. Eddie Back row (from left): Council Members Charles Chau, Amirali Nasir, Kenneth Ng, Joseph Li, Angela Lee; Past President Michael Lintern- Ng (left), Secretary for Education, and Mr. Cho Smith; and Council Member Melissa Pang. Yong Chun, Consul General of the Consulate General of the Republic of Korea. 前排（左起）：理事黃吳潔華律師、前會長王桂壎律師、前任會長葉禮德律師、副會長熊運信律師、律政司司長袁國強先生、會長林新強律師、副秘書長朱潔冰律師、教育局局長吳克儉先生（左）會長蘇紹聰律師、前會長何君堯律師、秘書長朱潔冰律師及副秘書長朱穎雪律師。與韓國駐港總領事趙鏞天先生合照。後排（左起）：理事周致聰律師、理事黎雅明律師、理事伍成業律師、理事李超華律師、理事李慧賢律師、前會長史密夫律師及理事彭韻僖律師。

International Bar around the world. These Association Annual programmes were also easy to digest since topics were Conference Boston 2013 tailored to suit the needs I was honoured to attend the International of young lawyers, such as Bar Association Annual Conference 2013 career advice. (“IBA 2013”) as a National Representative The next IBA annual of the IBA’s Young Lawyers’ Committee. conference will be held in The delegation from the Law Society Tokyo from 19-24 October also included President Ambrose Lam, this year. For all young Secretary General Heidi Chu, Council lawyers out there, do watch members Denis Brock and Michael this space for news of the Lintern-Smith, and two other young Law Society’s young lawyer sponsorship 一如既往，本年大會由美國史上首位女國 lawyers Ms. Jessy Cheung and Ms. Grace scheme; I strongly recommend that you 務卿奧爾布賴特的主題演說揭開序幕。她 Cheng, who were sponsored by the Law apply and benefit from the exposure like 在演說中就人權提出的獨特見解，令人印 Society. Being a repeat participant at an I have. IBA annual conference, I was once more 象非常深刻。接下來一周的議程亦相當精 reminded of how useful the event is in Nadine Lai 彩，國際律師協會的70多個專家委員會， terms of providing delegates with the Member, Young Solicitors’ Group 為與會者安排了一連串頂尖級會議，每天 latest in global legal developments, as 均緊湊非常。 well as a stellar network of international 國際律師協會波士頓周年大會 contacts. 2013 當中有關年青律師的研討會尤令我獲益匪淺，讓我有機會認識世界各地的年青 This year, as always, the conference 本人非常榮幸能夠以國際律師協會年青律律師。這類研討會的主題特別為年青律 kicked off strongly with former US 師委員會國家代表的身份，參加2013年 Secretary of State Madeleine K Albright - 師的需要而設，如職業諮詢等，因此較國際律師協會的周年大會。律師會的代表 the first female in the role - delivering the 簡單易明。團成員還有會長林新強律師、秘書長朱潔 keynote speech at the opening ceremony. 下屆國際律師協會周年大會將於本年10月 Her impressive vision on human rights 冰律師、理事白樂德律師、理事史密夫律 19日至24日在東京舉行。如欲得知律師 set a high note for the rest of the week- 師，以及另外兩名由律師會贊助出席的年會年青律師贊助計劃的最新消息，請留意 long event with over 70 IBA specialist 青律師張倩彤律師及鄭子欣律師。這是我 committees packing each day with top- 第二度參加國際律師協會的周年大會，讓本欄公布。筆者極力推薦各年青律師申請 notch programmes. 我再次體會到大會何等有用，不但讓與會有關贊助，開拓國際視野。 I found the young lawyers’ programmes 者獲得全球法律發展的最新資訊，更可建黎蒑律師 to be exceptionally fruitful partly as it 立巨大的國際人際網絡。年青律師組成員 allowed me to meet counterparts from

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Congratulations to the Secretary General’s Cup (Senior Best 為前律師會會長的周永健律師及王桂壎律 Winners of the 2013 Law Net Score) – Mr. Kenneth Lee 師、律師會秘書長朱潔冰律師，以及律師會康樂及體育委員會主席鄭麗珊律師及副 Society Annual Golf Mr. Fred Kan, Golf Team Captain, said 主席陳曉峰律師。 Tournament that the Law Society Golf Team had More than 60 members of the Law again performed very well in 2013 and 大會在晚宴上頒發獎項，得獎名單如下： are looking forward to another successful Society Golf Team joined in “The Law 會長盃（最佳總桿）- year in 2014. Society Golf Team – 2013 Annual Award 畢保麒律師 of Presentations” on 9 January, which Mr. Roden Tong, Golf Team Convenor, 簡家驄律師行盃（男子最佳淨桿）- was also attended by guests including added that team members have greatly 陳傳仁律師 President Ambrose Lam; Former Justice benefited from bi-weekly practice David Yam; Mr. Stephen Wong, Secretary sessions with professional coaching. The 希仕廷律師行盃（女子最佳淨桿）- of The Law Reform Commission and new practice location at the South China 蕭韻儀律師 Principal Government Counsel; Past Athletic Association in Causeway Bay is 秘書長盃（高級最佳淨桿）- Presidents Anthony Chow and Huen also proving to be more convenient for Wong; Secretary General Heidi Chu; members. 李樹發律師 and Ms. Eliza Chang and Mr. Nick Chan, 高爾夫球隊隊長簡家驄律師表示，律師會 Chairlady and Vice Chairman of the Richard Kwok Member, Law Society Golf Team 高爾夫球隊在過去一年再次有出色表現， Recreation and Sports Committee. 並期待球隊在2014年再創佳績。 Awards were presented over dinner to the 熱烈祝賀「2013年律師會年高爾夫球隊召集人湯文龍律師補充，隔周 following winners: 度高爾夫球錦標賽」各得獎者舉行的專業教練指導課，令隊員獲益良 President’s Cup (Best Gross Score) – 「律師會高爾夫球隊—2013年年度頒獎多。新的練習地點現設於銅鑼灣南華體育 Mr. Patrick Burke 典禮」於1月9日舉行，超過60名高爾夫會，對隊員而言更為方便。 Fred Kan & Co Cup (Men Best Net 球隊隊員參加。大會邀得多位嘉賓出席， Score) – Mr. Paul Tan 包括律師會會長林新強律師、前高等法院郭超和律師 Hasting & Co Cup (Ladies Best Net 原訟法庭法官任懿君法官、法律改革委律師會高爾夫球隊隊員 Score) – Ms. Sam Siu 員會秘書兼首席政府律師黃繼兒律師、同

Mr. Kenneth Lee, winner of the Secretary General’s Cup, President Ambrose Lam (left) presenting the President’s Former Justice David Yam and Ms. Karan Sit, a winner receiving the award from Secretary General Heidi Chu. Cup to its winner Mr. Patrick Burke. of the lucky draw. 秘書長盃冠軍李樹發律師從律師會秘書長朱潔冰律師手中律師會會長林新強律師（左）向會長盃的冠軍畢保麒律師頒前高等法院原訟法庭法官任懿君法官與大抽獎的得獎者接過獎盃。發獎盃。薜頴敏律師合照。

Ms. Sam Siu (middle), winner of the Hasting & Co Cup, receiving her award President Ambrose Lam and Secretary General Heidi Chu drawing out the from Ms. Helen Kong and Mr. Yung Ching Tat. lucky draw winners. 希仕廷律師行盃冠軍蕭韻儀律師（中）從江潤紅律師及容正達律師手中接過律師會會長林新強律師和秘書長朱潔冰律師為大抽獎抽出幸運兒。獎盃。

32 www.hk-lawyer.org March 2014 • LAW SOCIETY NEWS 律師會新聞

The 5th Shenzhen-Hong Kong Lawyers Badminton Cup Seventeen members of the Law Society’s badminton team gathered on 11 January for the 5th Shenzhen-Hong Kong Lawyers Badminton Competition. The annual friendly match against our Shenzhen counterparts was held in the Nanshan District of Shenzhen. A total of 11 official matches were played, comprising one men’s singles, one women’s singles, five men’s doubles, two women’s doubles, and two mixed doubles matches. All participants deserve a big round of applause for the team spirit and sportsmanship that were demonstrated throughout the event. Cultivating friendship between Hong Kong and Shenzhen lawyers. This year, our team earned praise not only 比賽可促進深港律師之間的友誼。 for our on-court prowess, but also off-court incidentals such as attractive uniforms 第五屆“深港律師杯”羽毛的隊服(「我們非常喜歡你的裝束，可於 (“We really like your team outfit, can we 球混合團體賽賽後交換球衣嗎？」)及俊朗的外表(「你 exchange shirts after the games?”), as 們的隊伍不乏年輕俊美的球員」、「你 1月11日，律師會羽毛球隊十七名隊員 well as good looks (“Your team has a lot 們的隊伍年輕化了嗎？」)亦令大家眼前 of young and handsome players.”; “Is your 參加了第五屆「深港律師杯」羽毛球混一亮。對於任何讚美之詞，我們卻之不 team getting younger?”) Suffice to say, we 合團體賽，與深圳的同業一較球技。這恭。 are thankful for any compliments. 項年度友誼賽於深圳南山區舉行，比賽今年，我們有不少技術精湛的新隊員加 We would also like to show our appreciation 分為11場賽事，包括一場男子單打、一入，其中大部分剛取得律師資格。我們 to a number of strong new players- most of 場女子單打、五場男子雙打、兩場女子藉此向他們致以感謝，他們的加入無疑 whom are recently-qualified solicitors - who 雙打及兩場混合雙打。活動中所有參賽 just joined our team this year. Without a 者充分表現出團隊和體育精神，值得大令球隊的實力更上一層樓。 doubt they have improved us. 家為之喝采。盧置豪律師 Wilson Lo 今年，我們的隊伍贏得一致好評，除了律師會羽毛球隊隊員 Member, Law Society Badminton Team 球場上的精湛表現外，隊員身上那注目

The badminton team at the Dayu Badminton Pavilion in Nanshan, Shenzhen. Enjoying a hearty post-match meal. 律師會羽毛球隊在深圳南山區大羽羽毛球館留影。大家於賽後享受一頓盛宴。

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YSG committee members with the President of the Hong YSG: “Meet the Veterinarians” new friends and chatted about pets, Kong Veterinary Association, Dr. Tom Mangan. From left: animals and much more. Mr. Sebastian Ko, Dr. Mangan, Ms. Stephanie Lau, Mr. Networking Drinks Daniel Shum, and Ms. Serina Chan. The Young Solicitors’ Group (“YSG”) YSG regularly organises networking 年青律師組委員會成員與香港獸醫學會會長Tom Mangan合 events with other professional bodies 照。左起︰高一鋒律師、獸醫 To m M a n g a n、劉穎言律師、沈嘉 organised its very first joint event with the 明律師及陳潔心律師。 Hong Kong Veterinary Association on 24 with a view to serve members with different interests. January. 報名人數更超出預設名額，參與是次活動 With the increase in numbers of pet Stephanie Lau 的會員、獸醫和友人達八十多人。 owners and animal lovers among our Member, YSG 活動於律師會會所舉行，參加者一邊享用 members, the "Meet the Veterinarians" 年青律師組：美酒佳餚，一邊與新認識的朋友暢談寵 networking drinks was very popular and over-subscribed, with some 80 members, 「認識獸醫」聯誼酒會物、動物等各式各樣的話題。 veterinarians and friends attending the 年青律師組與香港獸醫學會於1月24日年青律師組定期與其他專業團體合辦聯誼 event. 首次攜手舉辦活動。活動，致力滿足有不同興趣的會員。

Participants enjoyed good food and drinks 飼養寵物和愛好動物之會員愈來愈多，大劉穎言律師 at the Law Society Clubhouse as they met 家對「認識獸醫」聯誼酒會均非常踴躍，年青律師組委員會成員

2013 “Connected” Closing Event This program would not have been 2013「法友聯盟」閉幕活動 possible without your positive responses On 26 January, the “Connected 2013” 由年青律師組籌辦的師友計劃「法友聯盟 and enthusiastic support! We would program, a mentorship and buddy 2013」步入尾聲，大會於1月26日下午 also like to thank our YSG working scheme run by the Young Solicitors’ Group 假南華體育會(下稱「南華會」)舉行保齡 group committee members and the Law (“YSG”) came to a healthy and fun close 球活動暨比賽作閉幕，讓大家舒展身心。 Society Secretariat for their hard work in with an intense afternoon group bowling making this a huge success. 比賽結束後，先由會長林新強律師致辭， session-cum-competition at the South 之後大家到南華會咖啡廳茶聚，再由陳曉 China Athletic Association (“SCAA”). This We hope that through these events 峰律師、陳永良律師、陳永泉律師、黎曼 was followed by a speech from President and those organised by individual 儀律師及翁宗榮律師這幾位良師與大家分 Ambrose Lam, a refreshing tea at the mentorship groups, everyone has 享難忘點滴。 SCAA cafe and a very memorable sharing had been able to "connect" with session by mentors Mr. Nick Chan, Mr. practitioners of differing seniority and 我們衷心感謝出席是次活動的超過45名 Stanley Chan, Mr. Winchester Chan, Ms. gained something in the process. 師友及實習律師，同時非常感謝「法友 Yoanne Lai and Mr. Simon Yung. We also thank everyone for your 聯盟2013」的258名參加者。計劃得以 constructive comments and feedback. 成功推行，全賴你們的積極參與和熱烈支 Our thanks go out to over 45 mentors, Hopefully, you will see some of these buddies and mentees who attended the 持！此外，我們非常感激年青律師組工作 suggestions reflected in “Connected event and of course, the 258 participants 小組各委員，以及律師會秘書處的努力， 2014”. On a related note, please who have taken part in “Connected 2013”. 令計劃圓滿成功。 keep an eye out for “Connected 2014” 我們希望通過計劃的活動以及由個別師友 application forms! We hope to see you again soon! 小組舉辦的聚會，讓各參加者與不同年資的「法友」結成「聯盟」，並在過程中 Vicky Man 有所得著。此外，我們感謝大家提供的 Committee Member, YSG 寶貴意見，並儘量將其採納於「法友聯盟 2014」中。順帶一提，「法友聯盟2014 」的申請表快將推出，請踴躍支持！

文穎翹律師年青律師組委員會成員

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THE SOLICITORS DISCIPLINARY TRIBUNAL – Reflections on Decision Making and Process 律師紀律審裁組– 對裁決及相關過程的檢討

By The Solicitors Disciplinary Tribunal 撰文律師紀律審裁組

Members of the Solicitors Disciplinary Tribunal, Clerks and others interested in the disciplinary process gathered on 23 October 2013 at which the Tribunal Convenor Albert T da Rosa Jr., Deputy Convenor Alan Linning and Mr. Justice Frank Stock delivered addresses. This article highlights some of the views expressed.

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Where is Hong Kong Promulgate Ethical Rules?, (59 Tex. and proceed with the election of the relative to other L Rev. 693 (1981)) cited in Deborah chairman. Section 9B(2) of the Legal jurisdictions? L. Rhode, Professional Regulation Practitioners Ordinance (Cap. 159) and Public Service --- An Unfinished (“LPO”) provides that the Chairman The Tribunal Convenor Agenda in Scott L. Cummings ed., of a particular SDT is to be elected introduced the session and The Paradox of Professionalism (UK: by the members of the Tribunal itself examined where Hong Kong Cambridge University Press, 2011) from among the 2 solicitor members. is placed relative to some pg. 161) “[H]owever, many lawyers The Tribunal Convenor must therefore other jurisdictions. He cited believe just the opposite --- that ensure that at least one solicitor is textbooks from: discipline is unfair, oppressive, and prepared to take the chair. Some Australia: “We must counterproductive.” (See Ibid pg. 162) senior members expressed reluctance certainly all hope that the to take the chair but the Convenor As to Hong Kong, the Tribunal Convenor basic ideal of the legal pointed out that SDT proceedings cited a previous interview in which he said profession, as one of service are not fundamentally different from “There is … the cost consideration, given beyond pure economic self any litigation before other courts or that there are about 7,500 solicitors in interest, will survive. But tribunals and therefore solicitors with Hong Kong and, for example, about whether it survives or not is sufficient litigation experience should 120,000 in the UK. The question then is: up to the lawyers of today. be able to read up on the relevant what is the more efficient model to do They should do what they statutory provisions and cases to take the same thing? … can … … to enforce those up chairmanship irrespective of whether ideals strictly where there is … In Hong Kong we have a hybrid they have actual SDT experience. a default. But will they heed model, in the sense that investigation The Chairman of each Tribunal has a this call or dismiss it with a and prosecution lie with the Law casting vote and can represent the SDT yawn and return to billable Society, adjudication with the SDT, an to outsiders because this is provided THE SOLICITORS hours?”(See Former Justice independent body, plus the supervision for by Sections 52(2) and (3) of the Michael Kirby of Australian of the courts. If there is a complaint and Interpretation and General Clauses High Court, Billable Hours the Law Society does not take action, Ordinance (Cap. 1). There is nothing in DISCIPLINARY TRIBUNAL – in A Noble Calling? ((1996) then the chief judge of the High Court the ordinance or the rules to require a 30(2) Melbourne University can direct the Law Society to bring [the decision of the Tribunal to be written Law Review, 261) cited in case for SDT adjudication]. The SDT can up only by the chairman. This should Reflections on Decision Making and Process Adrian Evans, Assessing also count on lay members (to provide always be a collaborative effort of all Lawyers’ Ethics --- A external views).” (See The Law Society members of the Tribunal. Practitioners’ Guide (UK: of Hong Kong, Hong Kong Lawyer, Cambridge University Press, 2011) at (Hong Kong: Thomson Reuters, May Conflict of interests pg. 13) 2013) pg. 21) Many frequently query whether a USA: “[Study] after study has shown Mr. Justice Stock said the Tribunal Tribunal member’s mere acquaintance that the current rules of professional played a vital public function, because with a party or a witness calls for conduct are not enforced. Misconduct the courts and the public as a whole recusal. The House of Lords in Porter is rarely perceived. If perceived, it relied on the trust placed in solicitors. v Magill [2002]1 All ER 465 said “The is not reported. If reported, it is not Maintaining high standards was not just question is whether the fair-minded and investigated. If investigated, violations some catchphrase but was central to informed observer, having considered are not found. If found, they are the rule of law. the facts, would conclude that there excused. If they are not excused, was a real possibility that the tribunal penalties are light. And if significant The Chairmanship was biased.” penalties are imposed, the lawyer soon Each Tribunal consists of three persons, In Johnson v Johnson Kirby J said “… returns to practice …. Lawyers can two of whom are solicitors. The a reasonable member of the public is hardly present their travesty of a penal convention has always been that the neither complacent nor unduly sensitive system as an effective deterrent” (See first named solicitor member will take or suspicious.” ((2000)200 CLR 488, Richard L. Abel, Why Does the ABA up the yoke of calling the first meeting 509, at para. 53)

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The English Court of Appeal in Locabail functions that the Clerk can usefully emphasise the fundamental importance (UK) Ltd. v Bayfield Properties Ltd. said perform. of due process/ natural justice. “… the judge should recuse himself The Clerk can be present during … if, for solid reasons, the judge feels The Role of the Prosecutor deliberations of the Tribunal if there personally embarrassed in hearing the is some clerical or administrative Duty to act fairly case.” ([1999] EWCA Civ 3004, at paras. function that calls for his presence, The Prosecutor has a paramount duty 20-21) such as making a note of deliberations to ensure procedural effectiveness The Tribunal Convenor said because or looking up a reference for members. (even though Tribunal not a Court of the solicitors community is small, if However, the Clerk is not a Member law). “If a solicitor is going to be struck mere acquaintance is a bar, we would and cannot participate in the decision- off the Role for acts of dishonesty or probably not be able to form a tribunal making process or discuss merits of gross recklessness, he is entitled to a and have any cases against a senior the case with members of the Tribunal. fair process and a fair hearing before member of the profession. In any event, it would inappropriate that decision is reached.” (See per Lord for the Clerk to produce a draft of the Jackson in Bimal Thaker v SRA (2011)) Tribunal Makes Independent decision after the deliberations of Proceedings should not be instituted Decision the Tribunal since that would likely absent most careful and rigorous The Convenor reiterated the need for damage the fairness, independence and consideration (See A Solicitor (274/06) the Tribunal to arrive at its decision impartiality of the disciplinary process. per Stone J). independently. “It is difficult to see how However the Clerk may draw attention It is for the Prosecutor to assist the a tribunal could satisfy the requirements to typographical or clerical errors in a Tribunal to decide whether a prima facie of competence, independence, written draft, but must not edit, alter or case for disciplinary action is made out: and impartiality if a non-member amend the draft decision. see Rule 6. participated in the deliberative process The Tribunal can properly direct During the course of the hearing, by which it formed its views on the issues the Clerk to perform administrative the Prosecutor should adopt an that it had to resolve.” (See Mr. Justice functions such as inserting in to a draft inquisitorial, rather than an adversarial Bokhary PJ (as he then was) delivering decision figures, dates, cross references the judgement which all other members or citations, provided these are reviewed role. The Tribunal has wide powers to of the Court agreed in The Court of Final and approved by the Tribunal members. admit/receive evidence, whether or Appeal in Medical Council of Hong Kong However, it is not appropriate for the not admissible in conventional court v Helen Chan [2010] 3 HKLRD 667 at Clerk to conduct legal research for the proceedings (subject only perhaps to the para. 45 [9], (2000) 200 CLR 488, 509, Tribunal members. The Tribunal should requirement of relevance and fairness). at para. 53) conduct its own research on the law and The Prosecutor has to apply the “Natural justice dictates that there must on past sentencing cases. applicable standard and burden of not be any observations made to the proof. There is no power to compel Tribunal in the absence of the parties Duty of disclosure to the Respondent to attend the hearing that might influence their decision.” Respondent or give evidence. The Tribunal has (See Rogers VP (as he then was) in Au The basic/minimum procedural the right to make findings based on Wing Lun v Solicitors Disciplinary Tribunal requirements are contained in the affidavit evidence alone (See Rule 14) [2002] HKCA 418 (unreported) at para. Solicitors Disciplinary Proceedings (but this right should be exercised 12) Rules. Under Rule 9, the Prosecutor exceptionally if the Respondent unable The Deputy Convenor reminded that the must make disclosure of all documents to attend through no fault of his own). Court of Appeal had made observations relied upon not less than 14 days before The Tribunal is not entitled to draw in several cases on the participation the hearing. Disclosed documents must adverse inferences from a Respondent’s of the Clerk in SDT proceedings. As be available for inspection within 7 days: absence, or if the Respondent decides a guiding principle the Clerk has a see Rule 10(1). However, the rules are to not give evidence. The Prosecutor purely administrative and clerical role. silent on disclosure of unused materials must therefore exercise extra care to Nevertheless, the Tribunal has a broad – but gaps can and ought to be filled by lead evidence fully (and not conceal discretion as to the administrative the Tribunal. At all stages, it is vital to weaknesses).

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Investigative Powers of the Tribunal Should a Tribunal adopt an investigatory or adversarial approach? Under section 9B of the LPO, a tribunal is constituted to “enquire and investigate into the matter.” In James Manuel Ho & Another v Grand Pacific Vacation (Hong Kong) Ltd., Chung J (as he then was) cited nine different decisions including, “(f) … the duty to inquire does not mean the Tribunal should take over the role of an advocate for a litigant. The Tribunal must remain neutral and impartial. Thus, litigants must still be allowed to cross-examine witnesses for the other side, and litigants cannot be compelled to testify against their wishes. But the Tribunal has a duty to invite litigants to consider giving evidence when it is apparent he could give evidence on important matters in issue; (g) the duty to inquire can include the Tribunal inviting the parties to comment on matters, or, if necessary, directing them to produce evidence or documents, relating to matters which the Tribunal discerns to be important.”

Confidentiality REUTERS/Adam Hunger Section 9B(1A)(4) of the LPO provides that the Tribunal shall sit in camera. Remarks made by Furthermore, section 11(4) of the LPO Mr. Justice Stock relating to the decision-making process reads: “All proceedings of a Solicitors (i) Pre-hearing preparations (ii) During the Hearing Disciplinary Tribunal and any order made in accordance with the provision Mr. Justice Stock suggested that it is He also pointed out the importance of of section 10 shall be privileged.” useful for Tribunal Members to discuss Tribunal Members not being shy about Therefore, special care is necessary a case among themselves beforehand admitting to not following a submission when electronic communication is in order to identify matters that trouble or a piece of evidence. Therefore it is used for communication amongst them, and so as to identify the real only fair to the parties that are affected issues. Members can also discuss what for a member to tell them he does not tribunal members and with their clerk. obviously relevant material appears to understand something and that it needs Parties should not be identified in be omitted from the papers presented explaining. the subject field. It may be necessary and what issues they may wish to press to use passwords and encryption in The Tribunal should always insist on or probe. communication. n clarity on the part of people presenting

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cases, and insist on ascertaining what obligation on the Tribunal to ask the dealing with a case where parties are the real issues are between the two question. For example, if there is a being examined”, Mr. Justice Stock sides, what is conceded and deciding matter which is condemnatory of a added, “we are often addressing one what is irrelevant. If there is difficulty in person under investigation, which the issue or one event or one series of any of these, the parties or counsel can Tribunal might use as a reason against events as if it is the only thing that’s be requested to reduce to on one piece him, which has not been put to him by ever happened in that person’s life, of paper what the issues are. This will the prosecutor, the Tribunal needs to because you’re concentrating on it.” prove useful in deciding on the issues. bring that up. If the point becomes a “But the Tribunal needs to remember material part of the Tribunal’s reasoning The judge also pointed out how vital that people, solicitors and business and the witness or the complainees it is for all in the process to extend people have very busy days. They might have not been given the opportunity courtesy to one another. Allowances do 20 different things in a day under of dealing with it, then that is not fair. should be made for lay persons and examination for one thing that was That’s a breach of natural justice. those who are facing complaints to done. So the fact that somebody says something 15 months ago and he says be nervous. In any event, the Tribunal (iv) Truth should not tolerate any bullying of another shade of it in court, you must Relying on demeanor as a measure witnesses. Courtesy breeds courtesy make some allowances for the fact that of making decisions is a matter on and it also breeds sensible and mature the person is being asked to remember which people differ. Mr. Justice Stock decision making. Tribunals who see something in the context of a very busy personally considers that there is far too discourteous behavior should quietly life. Very often we find or I find, counsel much emphasis based on demeanor: insist on courtesy. being unrealistic in that regard.” “I don’t think you can tell much by a A fair cross-examination, a fair decision (iii) Fair questioning person’s demeanor. You get people who are confident, but lying. You get people making is a realistic one which makes When a witness is asked questions, the who are nervous but who are telling the allowances for context, the passage Tribunal should make sure a question truth.” of time and people’s natural frailties. is fair. Very often two or three questions What are the really useful guides to “So I don’t think that demeanor tells you are rolled into one and a witness is ascertaining what happened and a very much at all. When I see demeanor picked up as if he were answering witness telling the truth? Mr. Justice as a reason for belief and disbelief and all three when in fact he has only Stock suggested that there are two nothing else, I scratch my head and answered one. The Tribunal should stop main ones on which far too little think this is not very satisfactory. It’s not advocates from doing that. emphasis is placed by decision makers a very good reason.” The other facet of questioning that is and by cross-examiners. The other thing that is over played a lot objectionable is demanding a yes or no One, cross-examiners should focus is inconsistencies, but only to a degree. answer. Sometimes the question allows more on inherent probabilities and Mr. Justice Stock said: “If somebody of a yes or no answer, but very often it improbabilities; so the questioner gives an account which is inconsistent allows of neither. It often allows of a should put himself in the shoes of with contemporaneous documentation “yes, but …”, a “no, but …”, or it allows a the person who is telling the story and doesn’t give a proper explanation ‘I can’t remember’. Always allow people and in order to test whether the story for it, that’s a material inconsistency.” to finish what they are saying. The he is telling is or is likely to be true, Tribunal should stop the representative “But what we see far too often and what ask himself what an honest person from going onto the next question I suspect happens at a tribunal setting faced with that situation would likely until the person has given himself a as well, is that the representatives of have done in the circumstances. Did chance to explain himself or answer the parties become obsessed with the person being questioned act the question fully if he or she wishes to inconsistency between what some in that way and if not, why not? In answer it. body has said five months ago or a year considering inherent probability and The Tribunal Members can also ask ago or what he’s saying in court. If it’s improbabilities, always make allowance questions of witnesses at the end of a major inconsistency, fine.” But the for exceptions, special explanations as questions by one side and then the Tribunal must take care to be realistic in to why someone did not do what one other to clarify points that are obscure. this regard. would expect the honest person to do. Subject to that allowance, inherent In some circumstances, there’s an “One of the things to remember when

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probability and improbabilities are a advocate on behalf of the accused and suspension is reserved for cases strong guide to the truth.” person is quite a useful exercise. involving dishonesty. (See A Solicitor v HK Lawsoc [2003] 4 HKC 229) The second major guide to the truth is (v) The Giving of Reasons contemporaneous documentation or The Prosecutor has a duty to assist the Mr. Justice Stock said that the Tribunal the absence of it where one would have Tribunal in deciding on the penalty. In should set out its reasons in giving its expected it. particular, the Prosecutor should point decision. “Not only does the giving of out cases where a mandatory penalty In weighing the evidence, Mr. Justice reasons tend to betray whether the is provided by statute (eg. see Sections Stock suggested: “Tribunal members decision making process has been 53(2) and (5), LPO; penalty for a should ask whether the witness is on an acceptable one, from experience, solicitor that knowingly employs a clerk the face of the matters to be trusted; it actually helps the decision making prohibited from engaging working with is he a person of apparently good process. In the process of writing a solicitor is that he must be struck off). character? Does he have a motive reasons for a decision, there is an to lie? But it is also important to opportunity to reflect on whether The Prosecutor must also assist differentiate between dishonesty on the the writing is intellectually honest the Tribunal on understanding one hand, and on the other hand mere and whether it’s sensible and sticks the relevance of evidence of past incompetence or even stupidity.” together,” he said. misconduct. “Very often incompetence and stupidity In practice, judges decide among Costs can take the appearance of dishonesty. themselves who will write the judgment, Under Section 10(2)(e) of the LPO, So when we have cases involving assuming they are unanimous on the Tribunal has the power to order solicitors or other professional people the outcome, and the draft is then payment by any party of the costs “of we must consider whether it’s possible circulated among the others for and incidental to the proceedings of the that it’s not dishonesty but it was discussion, comment and suggestions. Tribunal”. This covers the costs of the incompetence or stupidity, in which Writing out reasons is therefore an Clerk’s work provided that the work was case you need to give the person benefit integral part of the decision making lawfully done and the sums charged of the doubt.” process and a useful exercise. are reasonable and proportionate. The Lies don’t necessarily mean the person For whom does the Tribunal write Tribunal should therefore monitor the has committed the disciplinary offence reasons? Primarily, these would be the activities of the Clerk and in particular that is being investigated. It might parties of the proceedings, particularly the costs of the Clerk both before and support the case against him. But the losing side. The losing side needs to after making their decision. the Tribunal must remind itself that know with clarity, why the Tribunal has By way of recommendation, the there’s a difference between a lie and a decided that way. Tribunal can inform the Clerk and the mistake. And even if somebody lies, it Mr. Justice Stock said “Do not write parties of the maximum amount of may not be probative of the matter of reasons for fear of the appeal process. work it would normally expect the Clerk which the person is accused but may It helps the appeal tribunal immensely to carry out on a case, and require the be because that person does not want to know with clarity that the Tribunal Clerk to seek specific authorization in to admit something because he thinks recognises the issues, that it recognises advance before carrying out additional it will make his conduct look worse. what are not the real issues and that work. In the event that additional Remember also that a witness may be it is providing rational reasons for administrative work beyond the norm is unreliable even as to memory in one the decision. But the people who are performed by the Clerk, it is suggested aspect of his evidence but that does not primarily concerned are the parties the Tribunal explain why it considers mean all his evidence is unreliable. themselves.” such work was necessary when ordering Sometimes when the members of the payment of the Clerk’s costs. Tribunal are having trouble in making Penalty Conversely, the Tribunal should explain a decision, it helps for somebody to There are four basic penalties if a what items of the Clerk’s costs are play devil’s advocate, particularly if any solicitor is found guilty: reprimand, not recoverable if extra work has been one of them is minded to find against fine, suspension and striking-off. There undertaken without prior instruction or a practitioner. In cases where there are is a disparity in seriousness between approval by the Tribunal. n difficulties, somebody playing the devil’s the range of penalties and striking-off

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律師紀律審裁組的成員、書記，以及其他對紀律處分程序有興趣的人士，於2013年10月23日聚首一堂，聆聽審裁組召集人 Albert T da Rosa Jr、副召集人 Alan Linning 及司徒敬法官向在場人士發表演講。本文節錄當天各位講者所發表的部分重要內容。

相比於其他司法管轄區，香港的守。絕少人察覺到有不當行為的發生﹔ 此問題在於﹕在處理同一事情上，哪一種實際情況如何﹖ 即使察覺到，也沒有人舉報﹔即使有人模式會較為有效﹖… 舉報，也沒有人進行調查﹔即使有人進首先由審裁組召集人講解是次研討會的 …香港實行的是混合模式，意思是調查行調查，也察覺不到違規情況的出現﹔ 內容，並探討香港相比於其他司法管轄與檢控權力均由香港律師會行使，裁決即使察覺到違規情況的出現，違規者依區，其實際情況如何。以下是他對一些由獨立行事的律師紀律審裁組作出，而然會得到開脫﹔違規者即使無法開脫，著作章節的引述﹕ 法院只負責監督。如果有人作出投訴，其所受的懲罰也只是微不足道﹔即使作澳大利亞﹕「肯定地說，我們所有人都但香港律師會沒有採取相應的行動，高出了嚴厲的懲罰，涉事的律師不久後還希望法律專業的根本理想能夠不斷綿延等法院首席法官便有權指示香港律師會是會回到其執業崗位上來….律師對於 [將個案提交律師紀律審裁組審理]。此下去，這理想就是將法律視作並非單純懲罰制度具有阻嚇力量之說，實不以為外，律師紀律審裁組也可以借助於非法以自身經濟利益為出發的服務。但它是然。」(參見Richard L. Abel, Why Does 律專業人士 (以提供外界的觀點) 。」(參否能夠綿延下去，取決於今天的律師作 the ABA Promulgate Ethical Rules?, (59 見The Law Society of Hong Kong, Hong 出如何的取捨。律師應當盡其所能…… Tex. L Rev. 693 (1981))，於Deborah Kong Lawyer, (Hong Kong: Thomson 當有違責情況發生時，應嚴格恪守這一 L. Rhode, Professional Regulation and Reuters, May 2013) 第21頁) 理想。但律師願意聽從這一呼籲，還是 Public Service -- An Unfinished Agenda 不屑一顧，繼續鑽營於利潤的追求上 in Scott L. Cummings ed., The Paradox of 司徒敬法官指出審裁組所擔當的，是一項呢﹖」(參見Adrian Evans, Assessing Professionalism (UK: Cambridge University 非常重要的公共職能，因為法院及公眾人 Lawyers’Ethics — A Practitioners’ Guide Press, 2011)第161頁中的引述)「許多士都對律師寄予信任。因此，維持律師服 (UK: Cambridge University Press, 2011) 律師所相信的卻是恰恰相反—紀律處分務於一個高水平，並非單線是一句口號，第13頁所引述的，關於澳大利亞高等法並不公平、具壓迫性，效果卻是適得其而是法治的核心。院前大法官Michael Kirby在Billable Hours in 反。」(參見同上第162頁) A Noble Calling?((1996) 30(2) Melbourne 審裁組主席一職至於香港的情況，審裁組召集人引述先前 University Law Review, 261)一文中所作所作的一次訪談，而在該次訪談中他指審裁組由三名人士組成，而其中兩人須為的評論) 出﹕「當中…存在對成本的考慮，因為香律師。習慣上，一個審裁組成立後，排名美國﹕「[一再進行的]研究顯示，現行港的律師人數大約有7500名，但舉例來首位的律師須負責召開首次會議，並進行的專業操守規則並未獲得大家的切實遵說，英國的律師人數大約有12萬名。因主席選舉。《法律執業者條例》(第159

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章)第9B(2)條訂明，律師紀律審裁組須「在審裁組就所須解決的問題而形成其的。審裁組應就相關法例及過去所宣判在兩名律師成員中選出一人作為主席。觀點的審議過程中，如有非審裁組成員參的案例自行進行查考。因此，審裁組召集人須確保兩名律師當與，我們很難期望它能符合勝任、獨立、中，至少有一人願意擔任主席一職。一公正等要求。」(參見終審法院常任法官向答辯人作出披露的責任些資深成員表示不願意擔任審裁組主包致金(其當時職務)在Medical Council 關於基本／最低限度的程序規定，載於席，但召集人指出，律師紀律審裁組的 of Hong Kong v Helen Chan [2010] 3 《律師紀律審裁組法律程序規則》中。法律程序，與在法院或其他審裁庭席前 HKLRD 667 at para. 45 [9], (2000) 200 根據第9條規則，檢控員必須至少在聆訊進行的訴訟並無根本不同，因此具有充 CLR 488, 509, at para. 53一案所作的判展開的14天前披露所有他賴以作為依據足訴訟實務經驗的律師，應當具備充足決，該判決獲審理該案的其他終審法院法的文件，而須予披露的文件，則必須在能力研讀有關的法定條文和案例，以擔官一致贊同。) 7天之內提交以供查閱。然而，該等規則任審裁組主席的工作，而不論其曾否在並無提及未被使用之材料的披露問題— 「根據自然公義原則，如當事方不在場，審裁組中有實際案件審理經驗。但審裁組能夠及應當填補此等缺口。無便不得向審裁組表達任何能影響審裁組所論在什麼階段，強調程序／自然公義的審裁組主席有權投下決定性的一票，並作決定之觀點。」(參見上訴法庭副庭長根本重要性，都是至關重要的。可對外代表審裁組，因為在《釋義及通羅傑志 (其當時職務) 在Au Wing Lun v 則條例》(第1章)中已有所訂明。香港並 Solicitors Disciplinary Tribunal [2002] 檢控員的角色無任何條例或規則規定，審裁組的裁決 HKCA 418 (unreported) at para. 12 一案必須由主席負責撰寫，故審裁組的裁決中所作的評論) 公正行事的責任應為所有成員的共同努力成果。檢控員的一項重要職責，是確保能達致副召集人提醒大家，上訴法庭在數宗案程序效益(儘管審裁組本身並非法庭)。利益衝突件中，曾就書記在審裁組法律程序中的「律師若因不誠實或嚴重罔顧後果的行參與作出了評論。作為一項主導原則，許多人常有一個疑問﹕審裁組成員如認為，將要面對姓名在律師登記冊上被剔書記只應擔當純粹的行政和文書職務。識某一當事方或是證人，他在有關聆除的制裁，那麼在這一裁決作出以前，然而，審裁組對於書記通常可履行的行訊中是否應當避席﹖上議院在Porter v 該律師應享有權利獲得提供公正的法律政職能，擁有廣泛的酌情決定權。 Magill [2002]1 All ER 465一案中指出﹕ 程序和聆訊。」(參見Lord Jackson在「所須審視的，是一名公正和知情的觀假如有任何文書或行政工作需要書記在 Bimal Thaker v SRA (2011)一案中所作察者在對相關事實作出考慮後，會否得場協助(例如為案件的審議過程作記錄，的評論。)假如我們未能對有關案件作出出結論認為審裁組存在真正的偏袒可又或是為審裁組成員搜集參考資料)，最嚴謹和縝密的考慮，有關的法律程序能。」則可容許書記在審裁組審理案件的過便不應提起(參見石仲廉法官在A Solicitor Kirby J在Johnson v Johnson一案中程中在場。不過，由於書記並非審裁組 (274/06)一案中所作的評論。) 稱﹕「…一名合理的公眾人士，是既的成員，故他不可以參與審裁組的裁決檢控員須協助審裁組確定表面證據是否不自滿也不過分敏感或懷疑的人。」過程，以及就案情的是非曲直與審裁組成立，以採取必要的紀律處分行動﹕參 ((2000)200 CLR 488, 509, at para. 53) 成員一起進行討論。書記若在審裁組完見第6條規則。成對有關個案的審理後，提交該案的裁英國上訴法院在Locabail (UK) Ltd. v 決擬稿，這在任何情況下都是不合適的在聆訊過程中，檢控員所扮演的，應當 Bayfield Properties Ltd. 一案中稱﹕「若做法，因為此舉可能會有損紀律處分程是調查、而非辯論對抗的角色。審裁組基於可靠的理由，法官於審理某宗案件序的公平、獨立和公正性。然而，若該在接納／取得證據方面享有廣泛的權時會令他個人感到尷尬…他便應該在該裁決的書面擬稿出現印刷或文書上的錯力，而不論根據傳統的法院程序，該等項聆訊中避席…。」([1999] EWCA Civ 誤，書記可以提請各成員關注，但不得證據是否可予接納(前提是必須符合相關 3004, at paras. 20—21) 對該裁決擬稿進行編輯、更改或修訂。性與公平性等要求)。審裁組召集人稱，律師並非一個龐大的審裁組可以就書記履行其行政職能作出檢控員必須運用適用的標準和舉證責群體，如果僅因認識某人便須為此避適當的指示，例如將數字、日期、參照任，但他無權強制答辯人出席聆訊或出席，審裁組勢將難以組成，也無法對業資料或引文加進裁決的擬稿中，但前提庭作供。審裁組有權只根據宗教式誓章內的資深會員採取任何紀律處分行動。是必須由審裁組成員進行覆檢並獲得他所提出的證據來作出裁斷(參見第14條規審裁組獨立作出裁決們的認可。但假如書記為審裁組成員就則)(但答辯人在自身並無任何過失情況下召集人強調，審裁組必須獨立作出裁決。法律問題進行查考，這做法是不被允許若無法出席聆訊，上述權利只能在例外

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的情況下行使)。答辯人若缺席，又或是司徒敬法官就裁決程序的，不過…」﹔「不是的，不過…」﹔或「答辯人決定不出庭作供，審裁組並不能我記不起」。因此，我們必須讓被問者將他所作的評論據此對其作出不利的推論。因此，檢控要說的話說完。若被問者未能獲得機會作出員必須以格外審慎的態度來進行全面舉 (i) 聆訊前的準備工作解釋，又或是當他或她欲回答有關問題，但證(以及不得將弱點隱藏)。司徒敬法官認為較為有效的做法，是審裁組未能獲得機會作出整全的回答，審裁組便應成員應就某宗需要審理的個案，預先一起進先行阻止代表律師提出下一個問題。審裁組的調查權力行商討，以識別他們特別感到棘手的事宜，當其中一方問完了他的問題，而另一方隨後審裁組對案件的審理，應當是以調查方從而確定真正的問題所在。此外，各成員也也完成了提問，審裁組成員便可以向證人發式、還是以辯論對抗的方式來進行呢﹖ 可以商討在所呈交的文件中，有什麼相關材問，以澄清一些模糊不清的地方。在某些情根據《法律執業者條例》第9B條，審裁料是明顯被遺漏，以及當中有什麼爭議點，況下，審裁組有責任提出該等問題。例如，組的組成，應以「研訊與調查該事宜」是他們希望加以強調和研究的。假如有某些可予責難的事情，可以向正接受調查的人士提出，而審裁組也可據此作為針為目的。鍾安德法官 (其當時職務)在 (ii) 聆訊進行期間對該人的其中一項理由，但檢控員並沒有就 James Manuel Ho & Another v Grand 他認為審裁組成員若未能充分理解某份供此等事情向該人作出提問，在這情況下，審 Pacific Vacation (Hong Kong) Ltd.一詞或某項證據，他們不應羞於承認。審裁裁組便應就此等事情向該人作出提問。假如案中，引述了9項不同裁決，其中包括﹕ 組成員若願意告訴受影響的一方他對案中的某些事情不大了解，希望能作出解釋，該點成為了審裁組裁決理由的關鍵部分，但「(f) … 審裁組雖然肩負調查責任，這對受影響的一方會較為公平。該名證人或被投訴者並未獲得給予機會作出回應，這對他們是不公平的，也違反了自然但並不意味它所扮演的角色，是作為審裁組應要求案情的陳述者，以清楚明確公義。訴訟當事人的代訟人。審裁組必須保的方式陳述其案情，並確定雙方之間的真持中立和公正。因此，訴訟當事人必正問題所在，以及有何問題已得到承認， (iV) 事實須有權盤問另一方的證人，訴訟當事有何事情並不相關。倘若當中存在任何困觀察一個人的行為舉止，作為判定該人是否人亦不得被強制在違背自己意願的情難，審裁組可要求各當事方或其代表律師觸犯了法例的一個衡量因素，相信每個人對此會有不同的看法。司徒敬法官個人認為，況下作供。然而，假如明顯地，訴訟將有關的爭議點略述於一張紙上，這一做行為舉止這項因素現時實被過份強調。他當事人可以就一些重要爭議事項提供法在確認爭議點方面會非常有用。說﹕「我並不認為我們能透過一個人的行相關證據，審裁組在這情況下有責任此外，司徒敬法官也指出，在整個審理過為舉止而得知許多事情。有些人表現得很自要求訴訟當事人考慮向審裁組作供。程中，每個人都需要互相尊重，這一點十信，但事實上他是在說謊﹔有些人表現得很分重要。一般人士或被投訴者在此等場合 (g) 調查案件的責任，可以包括審裁緊張，但其實他是在說真話。」心情緊張，是十分正常的事情，我們應多組就其所察覺到的重要事項，要求各加體諒。然而，審裁組絕對不可容忍任何「所以，我絕不認為一個人的行為舉止可當事方就該等事項表達意見﹔又或威嚇證人的情況發生。尊重可帶來更進一以讓你得知許多事情。我見到一些裁決，是，假如有此必要，可指示各當事方步的尊重，也可促使作出明智與慎重的裁單純以人的行為舉止作為相信或不相信某提供相關的證據或文件。」決。即使在聆訊過程中出現無禮的行為，些證供的依據，我對此感到十分困惑。我審裁組仍應默默地持守以禮相待的原則。總覺得這並非一個良好的裁決理由，亦令保密人難以接受。」 (iii) 公平的提問《法律執業者條例》第9B(1A)(4)條訂證人在回答問題時，審裁組應確保他所面另一種經常被過份強調的情況是「不一明，審裁組須進行非公開形式的聆訊。對的是公平的提問。一種經常出現的情況致」(雖然只是在某程度上)。司徒敬法官此外，《法律執業者條例》第11(4)條是，某一方提出了一個看似單一的問題，說﹕「某人所作的解釋若與當時的文件證亦規定﹕「律師紀律審裁組的所有法律但事實上當中包含兩至三個問題，而證人據不符，但卻又未能給予合理的解釋，這程序，以及任何按照第10條條文作出對這一問題所作的回答，常被視作是對全便是重大的不一致。」的命令，均享有特權。」因此，審裁組部三個問題的回答。審裁組應當防止代表「但我發覺經常在法庭上出現的，也懷疑各成員之間，或是審裁組成員與書記之律師以此等方式提問。是否曾在審裁庭上出現過的一種情況，就間如以電子方式進行通訊，便務須特別另一種令人反感的提問方法，是只要求對方是雙方代表律師經常會糾纏於例如某人在審慎，尤其是，在主旨一欄中不可透露回答「是」或「不是」。在某些情況下，五個月前、一年前，又或是在庭上說過的當事人的身份。在通訊過程中，如有需有些問題可容許人們回答「是」或「不是」話，所出現的前後不一致地方。假如該等前後不一致的情況事關重大，我們絕對要，可使用密碼及將有關通訊加密。 n ，但許多時候，不論被問者回答「是」還是「不是」，都無法提供一個最適切的答應當追究下去。」然而，審裁組在這一點案。在許多情況下，合適的回答是﹕「是上，必須從現實的角度出發。

44 www.hk-lawyer.org March 2014 • PROFESSIONAL PRACTICE 專業實務

「當我們處理一宗個案，而當事方在接受「很多時候，從表面上看，不勝任與愚笨而撰寫裁決理由。裁決理由能大大有助上盤問時，我們必須謹記一點。」司徒敬法好像就是不誠實。因此，當我們處理與律訴審裁庭明確知悉審裁組了解問題所在，官補充說。「我們經常會將某一個問題、師或其他專業人士有關的案件時，我們必了解到哪一些並非真正的問題，而它是正某一宗事件，或是一連串的事件，看成是須考慮是否有可能他們並非不誠實，而只在為有關裁決提供合理的理由。但最終需該名當事人一生中唯一的事情。當中的問是不勝任或愚笨而矣。在這情況下，我們要關注的，還是各當事方本身。」題所在，是我們把注意力都集中在該等事須將疑點利益歸於該等人士。」懲處情上。」某位正接受調查的人說謊，並非意味他必律師若被裁定違反了規定，他所面對的懲「但審裁組必須謹記，每個人、每個律師定作出了違規的行為。他的說謊舉動，可處基本上有四種﹕受譴責、罰款、暫時吊及商界人士，每天都是繁忙地工作。他們用以作為針對他的證據支持，但審裁組必銷執業資格、以及姓名從律師登記冊上剔在一天之內，可能處理了20多項各樣不須警覺的是，說謊與犯錯是兩回事。即使除。至於審裁組會向其作出哪一種懲處，同的事情，但被查問的，只是其所作的如某人說了謊，但就該宗案件而言，這並非主要視乎違紀的嚴重程度而定，而將姓此眾多的事情中的一件。所以，某人若在必然可以作為對他提出指控的證據。一種名從律師登記冊上剔除及暫時吊銷執業 15個月前提及某些事情，而他在法庭所說可能的情況是，他不願意作出承認，是因資格等懲處，只在涉及不誠實的情況下才的，與此又有少許出入，我們便必須以寬為他擔心人們會對他產生更壞的印象。另會作出。(參見A Solicitor v HK Lawsoc 鬆的態度來接納。因為他被要求回憶的，一點我們需要謹記的是，基於人的記憶力 [2003] 4 HKC 229) 只是在他極度繁忙的生活中，所經歷的某有限，儘管證人的某些證供看來可能不大些片段而矣。我們，或是我個人，總覺得可靠，但我們不能因此斷定他的證供是完檢控員有責任就懲處的作出向審裁組提供代表律師在這方面常常是不切實際。」全不可靠。協助。尤其是，檢控員應指出哪些是法例中訂明須作出強制性懲處的案例(例如，參良好的盤問與裁決，是指符合實際情況，有些時候，審裁組成員會對某宗案件感到見《法律執業者條例》第53(2)及(5)條﹔ 並對環境、時間流逝、人性弱點等各方面難以作出決定，這時我們可嘗試安排某個律師若明知但卻僱用禁止受僱於律師行的均作出了適當衡量的盤問與裁決。要確定成員來針對案情故意唱反調，而這將會對人當文員，他必須面對其姓名從律師登記發生了什麼事情，而證人的說話又是否真如何作出適當的裁決提供幫助，尤其是當冊上剔除的懲處)。確，其真正有用的指導是什麼﹖司徒敬法審裁組成員中有人傾向裁定對某一執業者官認為，這方面有兩項重要的指導，但它所作的投訴成立時。假如在裁決上遇到困此外，對於涉及過去之不當行為的證據，們並未為裁決者與盤問者所重視。難，我們可安排某成員代表被控人，並故檢控員也必須協助審裁組了解其相關性。首先，盤問者應把關注點更多放在固有的可意提出相反的論調，這是一個頗為有效的費用能性與不可能性上﹔因此，提問者應設身處做法。根據《法律執業者條例》第10(2)(e)條的地，將自己放在與被提問者的同一位置，而 (v) 提供理由規定，審裁組有權命令任何一方支付「審為了測試被提問者的回答是否屬實或相當可司徒敬法官稱，審裁組應在作出裁決時陳裁組的法律程序的事務費及附帶事務費」能屬實，提問者應當先問問自己，在該情形述其理由。他說﹕「提出理由，不單能顯。這包括書記所提供服務之費用，但該下，一名誠實的人在面對有關情況時，其最示有關的裁決過程是否恰當，而根據經等服務必須是合法地提供，而所收取的款有可能作出的回應是什麼，而被提問者本人驗，它確能為裁決過程提供實際的幫助。項，也必須是合理和相稱。因此，審裁組是否作出了如此的回應。若否，原因為何﹖ 審裁組成員在撰寫裁決理由的過程中，在作出裁決之前及之後，均須對書記的工在考慮可能性與不可能性時，我們應不時考有機會反思其所陳述的理由是否為他本人作進行監察，尤其是有關書記的費用方慮例外的情況，以及考慮就某些人不作出預所確信，以及它們是否合情合理和相互一面。期一名誠實的人將會作出之回應而給予的特致。」別解釋。除了須作出上述的考慮外，固有的透過提出建議，審裁組應告知書記及各當在實際案件中，法官們會指定一人負責撰可能性與不可能性，也是對真實情況的強而事方，審裁組一般預期書記在該案件中的寫有關的判案書，並(假定他們對裁決結果有力指導。」最高工作量，並要求書記在進行額外工作一致贊同) 相互傳閱該判案書的擬稿以供作前，應先取得審裁組的核准。書記若承擔第二項對真實情況的重要指導，是當時的討論、評論和提出意見之用。因此，撰寫了超過一般規定的額外行政工作，審裁組文件證據，或是並無當時的文件證據(正裁決理由，是裁決過程的一個不可分割部在下達支付書記費用的命令時，應解釋為如原來所預期的)。分，而且也是一項非常有用的舉措。何審裁組認為該等工作是有此必要。在權衡有關證據時，司徒敬法官認為﹕ 審裁組的裁決理由是為誰而寫呢﹖基本「審裁組成員應問道﹕從案件的表面來相反，假如審裁組並無作出事先指示，又上，它是為紀律處分程序的各當事方而看，證人是否可信﹖他是否看來具有良好或是書記在未獲審裁組事先核准的情況下寫，尤其是敗訴的一方，因為該方有需要的品格﹖他是否有說謊的動機﹖然而，十進行了額外工作，審裁組應當解釋在書記明確知悉審裁組如何達致該項裁決。分重要的一點，是我們需要將不誠實與不所收取的費用中，有哪些項目是他不應獲勝任或什至是愚笨加以區別。」司徒敬法官說﹕「不要為了擔心上訴過程得支付。 n

www.hk-lawyer.org 45 • March 2014

THE NEW COMPANIES ORDINANCE - Highlights of Some Major Changes (a Companies Registry series) 新《公司條例》— 主要改變概要 (公司註冊系列）

By Ada Chung, Registrar of Companies Companies Registry of the Government of the HKSAR Karen Ho, Deputy Principal Solicitor Companies Registry of the Government of the HKSAR 作者鍾麗玲太平紳士，公司註冊處處長香港特區政府公司註冊處何劉家錦副首席律師香港特區政府公司註冊處

46 www.hk-lawyer.org March 2014 • COMPANIES 公司

The first quarter of 2014 heralds a new era for Hong Kong’s company law with the THE NEW COMPANIES ORDINANCE - commencement of the new Companies Ordinance (Cap. 622) (“the New Ordinance”) on 3 March 2014. The New Ordinance aims to achieve four main objectives, namely, Highlights of Some Major Changes enhancing corporate governance, facilitating business, ensuring better regulation and modernising Hong Kong’s company law. (a Companies Registry series) he New Ordinance replaces those existing companies, the conditions in whether private or non-private, are Tprovisions in the old Companies the memorandum are deemed to be categorised as a separate type of Ordinance, Cap. 32 (“Cap. 32”) contained in the articles of association, companies governing the formation and operation except for conditions relating to • a definition for “public ompany”,c of companies, which are repealed authorised share capital and par value, i.e. a company other than a private upon the commencement of the New which are regarded to be deleted for company or a company limited by Ordinance. The provisions of the old all purposes. For companies which guarantee, is introduced Ordinance which are not repealed and apply to be incorporated under the The 5 types of companies that can be which relate mainly to prospectuses New Ordinance, they need to submit formed under the New Ordinance are:- and insolvency remain in Cap. 32, which their incorporation form and articles • Public company limited by shares is renamed the Companies (Winding of association only. In addition to the up and Miscellaneous Provisions) mandatory articles required for every • Private company limited by shares Ordinance. company, companies may choose to • Company limited by guarantee adopt all or any of the provisions of the without share capital This article, the first in a series, aims Model Articles prepared for the type to set out some of the major changes • Public unlimited company with share of companies to which they belong. introduced by the New Ordinance capital, and These Model Articles are set out in the to modernise the law and enhance • Private unlimited company with Companies (Model Articles) Notice (Cap. corporate governance. The next article share capital 622H). will highlight the major changes Clarifying the rules on indemnification introduced to achieve other main Abolishing par value objectives. of directors In line with international trends, the Under the old law, there were no opportunity has been taken to migrate I. Modernising the Law provisions regulating a director’s right to to a mandatory no-par regime for To modernise the law, various initiatives be indemnified against liabilities to third all companies. As a result, relevant have been introduced:- parties. To clarify the scope of the right concepts such as “authorised share of directors to be indemnified against capital”, “share premium” and “nominal Rewriting the law in simple and plain liabilities to third parties, the relevant value” no longer exist. Retiring language rules on indemnification are provided the concept of par value creates an We have modernised the language and for under the New Ordinance. With the environment of greater certainty, re-arranged the sequence of some of exception of certain liabilities and costs simplifies accounting entries and the provisions in a more logical and (such as fines and penalties), a company gives companies greater flexibility in user-friendly order, so as to make the is permitted to indemnify a director structuring their share capital. New Ordinance more readable and against liabilities to a third party if the comprehensible. Under the current Streamlining the types of companies specified conditions are met. drafting convention, the New Ordinance The types of companies that can be is written in simple and plain language. II. Enhancing Corporate formed under the New Ordinance are Governance Abolishing the memorandum of streamlined:- With the aim of enhancing corporate association • Unlimited companies without share governance, the New Ordinance capital are abolished The memorandum of association has introduces the following major been abolished for all companies. For • Companies limited by guarantee, initiatives:-

www.hk-lawyer.org 47 • March 2014

Strengthening the accountability of in a general meeting might be done present and voting is required to pass directors by a written resolution signed by all a resolution to approve a scheme members without convening a meeting. involving a takeover offer or general There were provisions in the old law However there were no statutory rules offer to buy back shares (including prohibiting all public companies, as on proposing or passing a written a privatisation scheme), is replaced well as private companies which are resolution. The New Ordinance provides under the New Ordinance by a new members of a group of companies of the procedures for proposing, passing requirement that the number of votes which a listed company is a member, and recording written resolutions. cast against a resolution to approve from appointing a body corporate as A company’s articles may set out such a scheme must not be more than their director. There was no restriction alternative procedures for passing a 10 percent of the votes attached to all for other private companies. The New resolution without convening a meeting, disinterested shares. “Disinterested Ordinance requires, on top of these provided that the resolution is agreed to shares” basically means shares held restrictions, that private companies by the members unanimously. by non-interested parties. For other must have at least one director who is a members’ schemes, the headcount test natural person. To enhance the right of shareholders, is retained, with a new provision giving There are no provisions on directors’ the expenses of circulating members’ the Court a discretion to dispense with duty of care, skill and diligence in proposed resolutions for annual general the test where appropriate. To address Cap. 32 and the common law position meetings (“AGMs”), and members’ the concern that minority shareholders in Hong Kong in this respect is not statements relating to the proposed are reluctant to challenge a scheme entirely clear. The standard of the resolution or other business to be dealt in Court because of the potentially duty in old case law, which focuses on with at AGMs, will be borne by the substantial legal costs, it is provided the knowledge and experience which company if the required threshold for that a dissenting member might be a particular director possesses (the requests are met and the requests to ordered to pay legal costs only if his or subjective test), is considered too lenient circulate such documents are received her opposition to the scheme is frivolous nowadays. In the light of overseas in time for sending with the notice of the or vexatious. developments, the New Ordinance relevant meeting. introduces a statutory statement to Under Cap. 32, a poll would be called for Improving the disclosure of corporate provide clear guidance to directors. The if the demand is made by not less than information new provision stipulates that a director 5 members, members representing not The New Ordinance requires public must exercise reasonable care, skill and less than 10% of the total voting rights, companies and companies not qualified diligence, and sets out a mixed objective or members holding not less than 10% for simplified reporting (details of and subjective test in the determination of the total paid-up share capital of the simplified reporting will be given in of the standard. The objective tests company carrying the right to vote at the the next article) to prepare a more looks at the general knowledge, skill meeting. The threshold for demanding comprehensive directors’ report which and experience that may reasonably be a poll is lowered from 10% to 5% of includes an analytical and forward- expected of a person carrying out the the total voting rights under the New looking “business review”, whilst functions of the director in question. Ordinance. The threshold of 5 members allowing private companies to opt is retained but the threshold based on out from the requirement by a special Enhancing shareholder engagement the total paid-up capital is removed. resolution. The review should contain, in the decision making process for example, information relating to The old Companies Ordinance Modifying the “headcount test” environmental and employee matters provided that anything which might The “headcount test”, pursuant to which that have a significant impact on the be done by a company by resolution a majority in number of the members company. The new requirement is in

48 www.hk-lawyer.org March 2014 • COMPANIES 公司

line with the international trend on that a director may entrench himself to obtain information or explanation integrated reporting. in office. It provides that the approval from the auditor of its subsidiary of members must be obtained for any undertaking that is not a Hong Kong Fostering shareholder protection contracts under which the guaranteed incorporated company and persons The scope of the unfair prejudice remedy term of employment of a director with holding or accountable for any of the is extended to cover proposed acts the company exceeds or may exceed 3 accounting records of such a subsidiary and omissions, so as to remove the years. undertaking. uncertainty as to whether a member Except for some specified transactions can bring an action for unfair prejudice III. Implementation of the New (most of which relate to the purchase where a course of action is only at the Ordinance or redemption of a company’s own proposal stage, or where there is only The New Ordinance brings the legal shares), there was no provision in a threat to do or not to do something. framework for the incorporation and Cap. 32 restricting members’ rights to The remedies that may be granted by operation of companies in Hong Kong vote or requiring members to abstain the Court are also extended to cover an in line with modern international from voting on transactions in which order restraining the proposed act or standards, and ensures that the they have an interest. In the New requiring the doing of an act that the infrastructure of Hong Kong’s company Ordinance, there is a new requirement company has proposed not to do. law will continue to best serve the for disinterested members’ voting for needs of Hong Kong as an international To avoid potential conflict of interests, connected transactions, namely, in commercial and financial centre. It also the old law prohibited a company from considering if the relevant resolution reinforces Hong Kong’s competitiveness entering into loans or other similar is passed, every vote in favour of the as a place to do business. transactions with a director. For a listed resolution cast by interested members company or a private company that would be disregarded. The requirement To prepare all for the change, the is within the same group as a listed is applicable to a “specified company” Companies Registry has sent circular company, the reference to “director” for various prohibited transactions. letters to over one million companies was extended to cover persons or on the register to announce the corporations closely associated with a Strengthening auditor’s rights to commencement of the New Ordinance, director. The New Ordinance expands information highlighting the major changes. From the prohibition to cover a wider category To ensure that an auditor will be in January 2014, a dedicated hotline has of entities connected with a director. In a position to perform his oversight been set up for answering enquiries the case of a “specified company”, i.e. functions in an effective manner, relating to the New Ordinance. a public company or a private company the New Ordinance empowers Comprehensive information about the or company limited by guarantee that auditors to require a wider range of New Ordinance is available at the “New is a subsidiary of a public company, the persons, including persons holding or Companies Ordinance” section on the prohibition also covers, among others, accountable for any of the accounting Companies Registry’s website at www. an adult child, a parent, a cohabitee, a records of the company or its Hong cr.gov.hk. Briefing materials, highlights minor child of the cohabitee who lives Kong incorporated subsidiary, or any of major changes, answers to Frequently with the director and an associated body such persons at the time to which the Asked Questions and derivation/ corporate. information or explanation relates, to destination tables have been uploaded provide them with the information and on the website. Our aim is to make the The New Ordinance also introduces a explanation that they reasonably require transition to the new regime as smooth requirement for members’ approval for the performance of their duties. In as possible for all concerned. n of any long-term employment of a particular, the auditor of a holding director, so as to minimise the risk company may also require the company

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新《公司條例》(香港法例第622章)(下稱「新條例」) 加強董事的問責性於2014年3月3日開始實施，標誌着香港公司法踏進舊法例禁止所有公眾公司及與上市公司屬同一集團的私人公司委任法人團體為董新紀元。新條例旨在達致的四個主要目的，是加強企事。其他私人公司則無此限制。新條例規業管治、方便營商、確保規管更為妥善及使公司法例定，除了以上的限制之外，私人公司須有現代化。最少一名個人出任為董事。第32章亦沒有關於董事須以謹慎、技巧及努力行事的條文，而香港普通法在這方條例取代舊有《公司條例》(香港文。該等章程細則範本載於《公司(章程面亦非清晰。舊案例中採納主觀準則，把新法例第32章)（下稱「第32章」) 細則範本)公告》(第622H章)。重點放在董事本身具備的知識和經驗上，關於公司的成立及運作的條文，該等條文現今被視為過於寬鬆。鑑於海外的發展，廢除股份面值由新條例開始實施後廢除。舊有條例中不新條例訂明董事須以合理水平的謹慎、技為符合國際趨勢，新條例強制所有公司採被廢除的條文，即主要為關於招股章程和巧及努力行事，並就有關標準定出一套混用無面值股份制度。因此，相關的概念如公司無力償債的條文，則保留在第32章合的客觀及主觀準則。客觀準則乃任何人「法定股本」、「股份溢價」及「面值」內。新條例實施後，第32章改稱為《公在執行有關董事的職能時可合理預期會具等將不復存在。廢除面值概念可締造更明司(清盤及雜項條文)條例》。備的一般知識、技巧及經驗。確的營商環境、簡化會計記項，及讓公司本文旨在載列新條例為使法例現代化及加在改動股本結構方面有更大靈活性。提高股東在決策過程中的參與程度強企業管治所引入的主要新猷。本系列的舊有條例訂明，如公司可藉在成員大會下一篇文章將講述為達致其他兩個主要目簡化公司類別的的修改。上的決議作出某項事情，則該項事情可新條例簡化可組成的公司類別：在沒有舉行會議的情況下，藉一項由公 I. 使法例現代化 • 取消無股本的無限公司；司全體成員簽署的書面決議作出，但並為使法例現代化所訂立的一些新措施包 • 擔保有限公司(不論是私人或非私人公沒有規管提出和通過書面決議的法定規括：司)成為獨立的公司類別；則。新條例訂明提出、通過及記錄書面 • 界定「公眾公司」，即私人公司或擔決議的程序。公司的章程細則可載列在本文旨在載列新條例為使法例現代化及加保有限公司以外的公司。不舉行會議的情況下，全體成員一致通強企業管治所引入的主要新猷。本系列的過決議的其他程序。下一篇文章將講述為達致其他兩個主要目在新條例下可組成的五類公司為：的的修改。 • 公眾股份有限公司；為加強股東的權利，成員就周年大會提出的決議，以及成員就周年大會上將會處理 • 私人股份有限公司；以淺白的語文重寫法例的決議或其他事務所作的陳述書，如公司 • 無股本的擔保有限公司；按照目前草擬法例的一貫做法，新條例以及時收到足以令公司須傳閱該等文件的要 • 有股本的公眾無限公司；淺白的語文編寫。一些條文亦重新排列，求，使公司在發出有關大會的通知時可同使其先後次序更符合邏輯和便於使用，從 • 有股本的私人無限公司。釐清彌償董時送交該等文件，則公司須承擔傳閱文件而令新條例更易於閱讀和理解。事的規則的費用。舊有《公司條例》並沒有有關彌償董事對根據舊有條例，如提出要求以投票方式進廢除組織章程大綱第三者的法律責任的條文。就此，新條行表決的人數不少於5名成員；或佔總表新條例之下，所有公司的組織章程大綱予例釐清彌償董事的規則。除了某些法律責決權不少於10%；或持有公司已繳款並以廢除。載於原有公司的章程大綱的條文任及費用 (例如罰款及罰則) 的例外情況帶有表決權的股本總額不少於10%，便 (除了刪除關於法定股本及面值的條文外) 外，公司可在符合指明條件下，就董事對須以投票方式進行表決。新條例將最低人，會被視為公司章程細則的條文。根據新第三者的法律責任提供彌償。數的規定，由佔總表決權的10%下調至條例註冊成立的公司，只需提交法團成立 5%。新條例亦保留5名成員的最低人數 II. 加強企業管治表格及章程細則，後者須包括新條例所規定，但根據已繳款股本總額而定出的人指明的條文，除此之外，公司可選擇採納為加強企業管治，新條例下的新猷包括：數規定則被取消。所屬類別的章程細則範本的所有或任何條

50 www.hk-lawyer.org March 2014 • COMPANIES 公司

修訂「人數驗證」蓋至成年子女、父母、同居者、同居者的「人數驗證」，概括來說，即要求大多數未成年子女，及有聯繫的法人團體。出席會議且有投票的成員通過決議，同意新條例亦規定公司須獲成員的批准，才可一項計劃的規定。在新條例下，凡涉及收訂立董事受僱於公司的保證年期超過或可購要約或回購股份而作出的公開要約的計超過三年的合約。劃（包括私有化計劃），新規定將取代「除一些指明交易外(大部份涉及公司回購人數驗證」。新規定述明，反對通過有關或贖回本身股份)，第32章並沒有條文限計劃的決議的票數，不得超過附於所有無制成員就其有利益關係的交易表決的權利害關係股份的表決權的10%。「無利害利，或規定成員須就有關交易放棄表決。關係股份」基本上是指由無利害關係各方新條例就有關連交易引入無利益關係成員所持有的股份。至於其他成員計劃則保留表決的新規定，即在考慮有關決議是否通人數驗證，新增條文亦賦予法院酌情權，過時，不理會有利益關係成員對決議所投在合適的情況下，可不施行驗證。為顧及的贊成票。該規定適用於「指明公司」的少數股東或會因為可能須要支付高昂的訟多項受禁交易。費而不願在法院反對計劃，新條例訂明反對計劃的成員只會在所提出的反對屬瑣屑加強核數師獲取資料的權利無聊或無理纏擾的情況下，方可被飭令支為確保核數師可有效地履行其監察職能，付訟費。新條例賦權核數師可要求更廣泛類別的改善公司資料的披露人士，提供核數師為履行職責而合理所需的資料或解釋，這些人士包括持有該公司鑑於國際間有關綜合報告的趨勢，新條例 (或在香港成立的附屬公司)的會計紀錄或規定公眾公司及不符合擬備簡明報告資格須就該等紀錄負責的人士。控權公司的核的公司（簡明報告的詳情將載於下一篇文數師，更可要求公司向其非在香港成立為章）須擬備更全面的董事報告，當中須包法團的附屬企業的核數師及持有該附屬企括具分析性及前瞻性的「業務審視」，以業會計紀錄或須就該等紀錄負責的人，取便披露例如對公司有重大影響的環境事務得該等資料或解釋。和僱員事務的資料。私人公司股東可藉特別決議選擇不擬備業務審視。 III. 實施新條例

加強對股東的保障新條例為在香港成立及營運公司提供了一個符合現代國際標準的法律框架，並確保新條例擴大不公平損害補救的範圍，以公司法繼續切合香港作為國際商業及金融涵蓋「擬作出或不作出的作為」，藉此中心的需要，亦提升了香港作為營商地的釐清現行條例不清晰之處。法院的濟助競爭力。的範圍亦擴至包括作出命令，禁制公司擬作出的作為，或規定公司作出其擬不為令大家作好準備，公司註冊處已發信給作出的作為。登記冊上超過一百萬間公司，公布實施新條例的日期及概述主要的改變，並自為避免出現利益衝突，舊法例禁止公司貸 2014年1 月開始設立熱線解答有關新條款予董事或作出其他類似交易。就上市公例的查詢。有關新條例的全面資訊，包括司或與上市公司隸屬同一集團的私人公司簡介資料、主要修改概要、常見問題的答而言，限制引伸至包括與董事有密切聯繫案及條文來源/對照表，亦已上載公司註的人士或公司。新條例擴闊相關限制，以冊處網頁(www.cr.gov.hk)內「新《公司條涵蓋更多與董事有關連的實體。就公眾公例》」一欄。我們的目標是希望所有相關司，或附屬公眾公司的私人公司或擔保有人士能順利過渡至新制度。 n 限公司（即「指明公司」），禁止範圍涵

www.hk-lawyer.org 51 • March 2014 Ship Collision Liability in Hong Kong - Dawn of a New Era?

與船舶碰撞法律責任有關之香港法例的新紀元？

By Ernest Yang, Partner DLA Piper Hong Kong Xiaoshan Chen, Registered Foreign Lawyer DLA Piper Hong Kong Eric Woo, Senior Associate ONC Lawyers 作者楊大明合夥人歐華律師事務所陳曉山註冊外地律師歐華律師事務所胡慶業律師柯伍陳律師事務所

The recent High Court judgment in Sungleam Maritime Limited v The Owners and/or Demise Charterers of the Ship or Vessel “He Da 98” and Sister Ship “Shuncheng” (“The He De 98”) [2011] 5 HKLRD 126 decided that the Defendants’ vessel, He Da 98, was wholly to blame for the collision with the Plaintiffs’ vessel Pontodamon. The authors explore the first-ever ship collision case in Hong Kong in which the Court awarded 100% liability to the Plaintiff, which might be significant given the occurrence of such high-profile incidences in recent years.

52 www.hk-lawyer.org March 2014 • ADMIRALTY 海事法

n 30 November 2007, the Plaintiffs’ vessel Pontodamon collided with the ODefendants’ vessel He Da 98 in the port area of Shanghai. Pontodamon is a Panamax-sized bulk carrier of 38,684 gross tonnes. She is 224.95 meters in length with a beam of 32.24 meters. At the material time, she was leaving the Shanghai port and heading eastwardly direction at a speed of about 16 knots. He Da 98 is a cargo vessel of 4,083 gross tonnes. She is 98.5 metres in length with a beam of 16.8 metres. At the relevant time, she was heading in a south-westerly direction at a speed of six to seven knots.

Had both vessels proceeded along the directions and at the speeds mentioned above, there would have been no collision. Unfortunately, approximately two minutes before the collision, Pontodamon turned to port (ie. left), and at almost the same time He Da 98 turned to starboard (ie. right).

The collision occurred when the port bow of He Da 98 made contact with the starboard side shell plating of Pontodamon. Both vessels were then oriented in a roughly northern heading with an angle of about 45 degrees between them.

1 He Da 98 Pontodamon Shanghai VTS (1:400)

5.1

5.0

4.9

4.8

REUTERS/ Tyrone Siu

Rescuers approach a partially- submerged boat after two vessels 4.7 collided in Hong Kong October 1, 2012. 香港2012年10月1日，兩艘船相撞後，救援人員接近一淹沒 4.6 的船。

4.5

LONG 122º LA -31º -3 -4 -5 -7 -8 -937-0 -3 -1 -2 -3 -4 -5 -6 -7 -8 -9 38-0 LONG 6.7

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The International Regulations for should maintain her course and speed. his loss was caused by negligence of Preventing Collisions at Sea 1972 Instead, she turned port (without the defendant, and that such collision (“COLREGS”) (as promulgated in sounding two short whistle blasts to and the damage resulting from it Cap. 369N) govern the manner in signal He Da 98) while He Da 98 was would not have happened but for the which vessels should navigate to avoid turning starboard, which eventually defendant’s fault. If the claimant also collisions. There is no dispute that He caused the collision. found to be negligent, the liability will Da 98 was more maneuverable than be apportioned according to degree of Pontodamon. There is also no dispute Decision of the Court fault of each party. that according to COLREGS, He Da The Court decided that He Da 98 was The requirement to apportion liability is 98 was the vessel to give way while wholly to blame for her failure to turn expressly provided for in Section 187 of Pontodamon had the right of way. starboard at an earlier stage to avoid the Merchant Shipping Act 1995, which collision and that she only turned to provides that: Claimants’ case starboard after crossing the bow of “(1) Where, by the fault of two or The Claimants’ case is that Pontodamon Pontodamon, which was too late. On more ships, damage or loss is caused maintained her course and speed the other hand, the Court said that to one or more of those ships … the initially. When the crew on board Pontodamon was not at fault by turning liability to make good the damage Pontodamon observed that He Da 98 port to avoid the collision because or loss shall be in proportion to the did not take action to avoid collision, at that time He Da 98 had crossed degree in which each ship was in Pontodamon tried to call her on VHF Pontodamon’s bow and 25% of He fault. radio and making the light and whistle Da 98 was to the starboard side of signals but He Da 98 did not respond. Pontodamon. The Court also found the (2) If, in any such case, having fact that Pontodamon failed to abide regard to all the circumstances, it Thereafter, Pontodamon continued to by the traffic separation scheme and is not possible to establish different maintain her course and speed until proceeding at a speed of 16 knots was degrees of fault, the liability shall be she observed He Da 98 right ahead not causative of the collision, and that apportioned equally…” and crossing her bow. She then the failure of Pontodamon to sound turned to port and reduced speed to The Court is bound to apportion liability two short whistle blasts before turning avoid collision. The crew on board unless it was impossible to do so (The to port does not constitute a source of Pontodamon then observed He Da 98 Anneliese [1970] 1 Lloyd’s Rep. 355, CA), blame. suddenly turned to starboard, causing and the Court will look at the degree the captain of Pontodamon to decide The Court’s decision suggests that there in which the respective faults of the turning hard on port. However, it was was no fault created by Pontodamon vessels in fault have contributed to not sufficient to avoid collision. which may constitute a source of blame the collision (The Buccinum (1936) 55 and that the actions of Pontodamon are L1.L.Rep.205 at 218, CA). Whether the Defendants’ case justified because of the faults created by Court should attach more blame to any deliberate act should depend upon all The Defendants’ case is that He Da 98. However, it is rarely the case the circumstances (The Savina [1976] Pontodamon was travelling at an that when two moving vessels collided 2 Lloyd’s Rep. 123 at 133, 134, HL). excessive speed in circumstances where with each other, only the actions of The ground for differentiating liability she was navigating within a traffic the one vessel are to be blamed. In of each vessel must be supported by separation scheme, within a designated particular, the Court does not regard evidence and it is not enough that the anchorage where there were fishing Pontodamon’s breach of COLREGS as Court should have a general leaning in vessels / anchored vessels nearby, and a source of blame, which is inconsistent favour of one side rather than the other was steaming towards oncoming traffic with the approach adopted by the (The Lucile Bloomfield [1967] 1 Lloyd’s properly navigating along a traffic lane. English Court. Rep. 341 at 350, CA). Pontodamon failed to abide by the traffic separation scheme in that she did not The Position in England and In recent English cases, the Court’s travel within the appropriate traffic lane Wales apportionment of liability ranges from and was travelling against the flow of The law of tort is generally applicable 50/50 to 85/15. The extent of liability traffic. to collisions at sea. To enable the depends upon which vessel carries more blame for the collision: As a stand on vessel, Pontodamon claimant in a ship collision action to recover damages, he must prove that

54 www.hk-lawyer.org March 2014 • ADMIRALTY 海事法

Apportionment Case Implication of The He Da 98 to of Liability Ship Collision Liability in Hong 50/50 1. The Maloja II [1993] 1 Lloyd’s Rep. 48 QB Kong 2. The British Aviator [1965] 1 Lloyd’s Rep. 271 CA The position in Hong Kong should 3. MIOM 1 Ltd v Sea Echo ENE [2010] EWHC 3180 be similar to England given that the 4. The Bow Spring and The Manzanillo II [2004] EWCA Civ 1007 requirement to apportion ship collision 5. The Sanwa and The Choyang Star [1998] 1 Lloyd’s Rep. 283 liability is also expressly provided for 60/40 1. The Samco Europe and The MSC Prestige [2011] EWHC 1580 QB in Section 3 of the Merchant Shipping 2. The Aleksandr Marinesko and The Quint Star [1998] 1 Lloyd’s Rep. (Collision Damage Liability and Salvage) 265 QB Ordinance (Cap 508), the contents of 3. The Skyron and The Hel [1994] 2 Lloyd’s Rep. 254 QB which is almost identical to section 187 of 4. The Pelopidas and The TRSL Concord [1999] 2 All E.R. (Comm) the Merchant Shipping Act 1995. 737 66.7/33.3 1. The Owners and/or Demise Charterers of the m/v “Eleftheria” v The To date, there is no reported judgment Owners and/or Demise Charterers of the m/v “Hakki Deval” [2006] in Hong Kong which has considered the EWHC 2809 (Comm) implications of The He Da 98. However, it 2. The Puritan and The Navios Enterprise [1998] 2 Lloyd’s Rep. 16 is submitted that the Court’s approach in 70/30 1. The Angelic Spirit and the Y Mariner [1994] 2 Lloyd’s Rep. 595 QB the apportionment of liability in The He Da 2. The Owners of the Cargo Lately Laden on Board the M.V.Sun Cross 98 is inconsistent with the approach of the v The Owners and/or Demise Charterers of the M.V.Rickmers Genoa English Court and should not be followed. [2010] EWHC 1949 This is because according to the English 3. The Krysia [2008] EWHC 1523 law, the Court should look at the degree in 4. The Alexia and The Enif [1999] 1 Lloyd’s Rep. 643 which the respective faults of the vessels 75/25 1. The Devotion and The Golden Polydinamos [1993] 2 Lloyd’s Rep. have contributed to the collision and 464 QB apportion liability accordingly. The Court 2. The Sitarem and The Spirit [2001] 2 All E.R. (Comm) 837 should not consider whether the faults of 80/20 1. The Mineral Dampier and The Hanjin Madras [2002] C.L.C. 11 CA one vessel are justified by the actions of 2. The Hagieni and The Barbarossa [2000] 2 Lloyd’s Rep. 292 QB the other as adopted in The He Da 98. 3. The Topaz and The Irapua [2003] EWHC 320 It is interesting to note that after the 85/15 1. Owners of the Ship Bulk Atlanta v Owners of the Ship Forest Defendants in The He Da 98 filed an Pioneer [2007] EWHC 84 appeal against the Court’s decision, the 2. The Maersk Colombo [1999] 2 Lloyd’s Rep. 491 parties themselves agreed to re-apportion the liability to 75% for He Da 98 and 25% for Pontodamon. It appears that In Samco Europe and The MSC Prestige Rep. 271 CA, the Court found that even the parties are of the view that the [2011] EWHC 1580 QB, the Court the parties’ vessels were travelling at Court should not have decided that the regarded the plaintiff vessel’s failure excessive speed and eventually held Defendants were wholly liable to the to announce her alteration to port by that both vessels were equally to collision. Therefore, litigants involved in a appropriate sound and light signals blame. ship collision dispute in Hong Kong would as a source of blame and the Court There is only one recent English case be well advised to treat The He Da 98 eventually held that the plaintiff vessel The Owners and Bareboat Charterers decision with caution. n was 40% responsible for the collision. of the Vessel “Global Mariner” v The In The Hagieni and The Barbarossa Owners and Bareboat Charterers of [2000] 2 Lloyd’s Rep. 292 QB, the Court Messrs DLA Piper Hong Kong was the vessel “Atlantic Crusader [2005] regarded the defendant vessel’s failure instructed to represent the Defendants and EWHC 380 in which the Court awarded to proceed in her own traffic lane as prepare for a three-day trial hearing after 100% liability to the Plaintiff. However, part of the blame for the collision and taking over the case from the Defendants’ in that case, the defendants’ vessel eventually held that the defendant previous legal representatives on 12 August was solely to blame for the collision vessel was 80% responsible. Further, 2011, four days before the hearing. Messrs. because it struck the Plaintiff’s vessel in The British Aviator [1965] 1 Lloyd’s Ince & Co was instructed to represent the while the vessel was at anchor. Plaintiffs.

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在近期的Sungleam Maritime Limited v The Owners and/ Pontodamon的船頭之後才右轉，但是 or Demise Charterers of the Ship or Vessel “He Da 98” 為時已晚。因此，「He Da 98」須為這次 and Sister Ship “Shuncheng”(“The He De 98”)[2011] 5 意外的發生負完全的法律責任。另一方 HKLRD 126一案中，被告人一艘名為「He Da 98」的船隻，面，法庭認為 Pontodamon決定向左轉與原告人的貨船Pontodamon相撞，高等法院裁定被告人須對是以避免碰撞發生，此中並不存在任何過失，因為「He Da 98」在當時已經越過了次意外負全部責任。 Pontodamon的船頭，其船身已有百分之作者探討了香港有史以來的第一宗，法庭裁定被告人須負全部二十五是在Pontodamon的右舷一邊。此法律責任的船舶相撞案件。鑒於近年香港所發生的備受社會矚外，法庭亦裁定，Pontodamon雖然沒有目事件，該案因而具有相當重大的意義。遵守分道航行制的規定，並以時速16海里的速度航行，但這種種情況，皆並非導 007年11月30日，原告人的船隻的船員發覺「He Da 98」並無採取必要行致兩船相撞的原因。雖然在Pontodamon 2Pontodamon與被告人的船隻「He Da 動以避免船隻的碰撞發生，他們嘗試向左轉之前，她並沒有發出兩短的號笛以 98」在上海港口範圍發生碰撞。透過VHF無線電及發出閃燈和鳴笛來作出預警，但這並不促使她需要對意外的引起「He Da 98」的注意，但對方並無作 Pontodamon是一艘巴拿馬型散裝貨發生負責。出回應。輪，總噸位38,684噸，長224.95米，寬法庭的判決指出，就該意外事故而 32.24米。事發時，該貨輪正在離開上海之後， Pontodamon繼續保持其航向和速言，Pontodamon並沒有觸犯任何導致該港口，並以大約16海里的時速向東面航度，但不久發現「He Da 98」就在其正前意外發生的過失﹔另一方面，由於「He 行。「He Da 98」是一艘貨船，總噸位方，並且正在橫越其船頭。Pontodamon Da 98」所犯的過失，Pontodamon在當 4,083噸，長98.5米，寬16.8米。事發於是向左轉和減速，試圖避免雙方發生時所採取的應變行動是可以理解的。然時，該船正以6至7海里的時速向西南方碰撞。此時，Pontodamon上的船員察覺而，當有兩艘船在航行途中相撞，最終卻航行。「He Da 98」突然轉右，Pontodamon的只有其中一艘船需要為事故的發生負責，船長於是急向左轉，但最終無法避免兩船該兩艘船隻假如能維持上述的方向和這種情況是十分罕見的。尤其是，法庭相撞。速度航行，碰撞是絕無可能發生的。認為Pontodamon即使違反了COLREGS 的規定，但那並非導致撞船意外發生的不幸的是，在事故發生之前大約兩分被告人的案情鐘，Pontodamon在航道上向左轉，而原因。此舉與英國法院的取向並不一致。被告人的案情是﹕事發時，Pontodamon 「He Da 98」幾乎在同一時間向右轉。正以超過限制的速度航行，而在當英格蘭與威爾士的情況當「He Da 98」的左舷船頭碰到時，她是需要按照分道航行制的規定航侵權法一般適用於海上船隻的碰撞事故。 Pontodamon的右舷船殼板後，兩船便告行，並需要按指定的地點停泊。當時在在船舶碰撞的訴訟中，申索人如要獲得賠相撞。事故發生後，兩艘船的船頭大致朝 Pontodamon的附近範圍，還有漁船和償，便必須證明他所蒙受的損失，是因被向北方，而雙方之間形成一個大約45度其他下錨停泊的船隻，而她的航向，是告人的過失所導致，而且，若非被告人的角。對著從正確航道迎面駛來的船隻。由於過失，便絕對不會發生船隻的碰撞事故和《 1972年國際海上避碰規則》(下稱 Pontodamon沒有依從適當的航道航行，造成損害。申索人如被法庭裁定同樣犯「 COLREGS 」)(如第369N 章所頒布的) 並且其航向是與規定的方向相反，因此乃有疏忽，則原告人與被告人須按各自所犯是為規管船舶的航行方式而制定，避免船違反分道航行制的規定。過失的程度來承擔法律責任。隻碰撞事故發生。與Pontodamon相比， Pontodamon作為航道上的直航船舶，理英國的Merchant Shipping Act 1995第「He Da 98」在當時毫無疑問處於較為應一直維持其自身航向和速度。但情形 187條就法律責任的分攤作出了規定：可操控的狀態。此外，根據COLREGS的恰好相反，當「He Da 98」向右轉時，她「(1) 凡因2艘或多於2艘船隻的過規定，Pontodamon在當時是享有優先通卻決定向左轉(且沒有發出兩短的號笛給失而對該等船隻中的一艘或多於一艘行權，故「He Da 98」應讓Pontodamon 「He Da 98」作出預警)，最終釀成事故。 ...... 造成損害或損失，則對該等損害或先行。這一點雙方並無爭議。損失作出補救的法律責任須與每艘船法庭裁決隻的過失程度相稱。申索人的案情法庭裁定，事故的發生，是由於 (2) 如在考慮有關個案的一切情況申索人的案情是﹕Pontodamon一直保持「He Da 98」未能及時右轉所致。後，仍無法確定過失的程度，則有關著最初的航向和速度。當Pontodamon上在事件中，「He Da 98」是在越過了法律責任須平均分攤...... 」

56 www.hk-lawyer.org March 2014 • ADMIRALTY 海事法

除非實際上不可行，否則法庭必須對案件所涉及的法律責任進行分攤(The Anneliese 在近期的英國案例中，只有The Owners and [1970] 1 Lloyd’s Rep. 355, CA)，並根據發生船隻碰撞的實際情況，決定雙方所 Bareboat Charterers of the Vessel “Global 犯過失的程度(The Buccinum (1936) 55 L1.L.Rep.205 at 218, CA)。然而，對於蓄 Mariner” v The Owners and Bareboat 意導致意外發生的行為，法庭是否應對其施加重罰，須視整體情況而定 (The Savina Charterers of the vessel “Atlantic Crusader [1976] 2 Lloyd’s Rep. 123 at 133, 134, HL)。涉案船舶究竟應承擔多大程度的法 [2005] EWHC 380一案，是關於法庭裁定被律責任，必須根據所掌握的證據來衡量，而法庭不應偏重任何一方的利益(The Lucile 告人須承擔全部法律責任。然而，由於在該 Bloomfield [1967] 1 Lloyd’s Rep. 341 at 350, CA)。案中被告人的船隻所撞到的，是原告人已拋錨停泊的船隻，因此被告人的船隻在事故中在近期的英國案例中，法庭分攤法律責任的範圍是在50/50至85/15之間。肇事船舶須承擔全部法律責任。所須承擔法律責任的程度，取決於哪一艘船在事故中犯了較嚴重的過失： He Da 98一案對香港船舶碰撞法律法律責任的案例分攤責任之影響 50/50 1. The Maloja II [1993] 1 Lloyd’s Rep. 48 QB 香港的《商船(碰撞損害法律責任及救助)條 2. The British Aviator [1965] 1 Lloyd’s Rep. 271 CA 例》(第508章)第3條，由於也就船舶碰撞事 3. MIOM 1 Ltd v Sea Echo ENE [2010] EWHC 3180 故的法律責任分攤作出了明確的規定，而該 4. The Bow Spring and The Manzanillo II [2004] EWCA Civ 1007 5. The Sanwa and The Choyang Star [1998] 1 Lloyd’s Rep. 283 條與英國的Merchant Shipping Act 1995第 60/40 1. The Samco Europe and The MSC Prestige [2011] EWHC 1580 QB 187條幾乎如出一轍，因此香港在這方面的 2. The Aleksandr Marinesko and The Quint Star [1998] 1 Lloyd’s Rep. 法律規定，與英國的應該類似。 265 QB 3. The Skyron and The Hel [1994] 2 Lloyd’s Rep. 254 QB 迄今為止，香港仍然沒有任何經彙報判決論 4. The Pelopidas and The TRSL Concord [1999] 2 All E.R. (Comm) 及「He Da 98」一案所產生之影響。但是， 737 個人認為香港法庭在「He Da 98」一案中對 66.7/33.3 1. The Owners and/or Demise Charterers of the m/v “Eleftheria” v The Owners and/or Demise Charterers of the m/v “Hakki Deval” [2006] 法律責任分攤的處理方法，與英國法院向來 EWHC 2809 (Comm) 的做法不符，因此不應將其視作準繩。根據 2. The Puritan and The Navios Enterprise [1998] 2 Lloyd’s Rep. 16 英國法律，法庭應首先察看各船隻在碰撞事 70/30 1. The Angelic Spirit and the Y Mariner [1994] 2 Lloyd’s Rep. 595 QB 故中所犯過失的程度，並據此作出相應的法 2. The Owners of the Cargo Lately Laden on Board the M.V.Sun Cross v The Owners and/or Demise Charterers of the M.V.Rickmers Genoa 律責任分攤。法庭不應當考慮一艘船在事故 [2010] EWHC 1949 中所犯的過失，會否因另一艘船作出了不當 3. The Krysia [2008] EWHC 1523 行為而獲得網開一面，正如「He Da 98」一 4. The Alexia and The Enif [1999] 1 Lloyd’s Rep. 643 案的情況般。 75/25 1. The Devotion and The Golden Polydinamos [1993] 2 Lloyd’s Rep. 464 QB 有趣的是，自「He Da 98」一案的被告人 2. The Sitarem and The Spirit [2001] 2 All E.R. (Comm) 837 就法庭所作的裁決提出上訴後，事故雙方 80/20 1. The Mineral Dampier and The Hanjin Madras [2002] C.L.C. 11 CA 同意自行對該案的法律責任再作分攤，由 2. The Hagieni and The Barbarossa [2000] 2 Lloyd’s Rep. 292 QB 3. The Topaz and The Irapua [2003] EWHC 320 「HeDa98」承擔百分之七十五，其餘的百分 85/15 1. Owners of the Ship Bulk Atlanta v Owners of the Ship Forest 之二十五則由Pontodamon承擔。如此看來， Pioneer [2007] EWHC 84 事故雙方也認為，法庭裁定被告人須為碰撞 2. The Maersk Colombo [1999] 2 Lloyd’s Rep. 491 意外的發生負全責是不恰當的做法。因此，在Samco Europe and The MSC Prestige [2011] EWHC 1580 QB一案中，法律師在為涉及香港船舶碰撞糾紛的訴訟人提庭認為原告人的船舶並沒有發出適當的號笛和閃燈以作為訊號，讓其他船隻曉得她計供法律意見時，應提醒他們對「He Da 98」劃改變航道，因此原告人須為此承擔法律責任。最後，法庭裁定原告人的船舶在有關一案的裁決結果採取審慎的態度。 n 事故中，所須承擔的法律責任程度為百分之四十。在The Hagieni and The Barbarossa [2000] 2 Lloyd’s Rep一案中，法庭認為被告人的船隻並沒有保持在自身的航道上航歐華律師事務所於2011年8月12日，即在聽行，而那是導致意外發生的其中一個原因。最後，法庭裁定被告人的船隻須就有關事證會四天前接受被告委托從被告先前的律師故承擔百分之八十法律責任。此外，在The British Aviator [1965] 1 Lloyd’s Rep. 接手本案，並準備一個為期三天的審判聽證 271 CA一案中，法庭裁定於案發時，當事雙方的船隻都以超過限制的速度航行，因會。英士律師事務所奉命代表原告。此雙方須平均分攤法律責任。

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INDUSTRY INSIGHTS 業界透視

Administrative 行政 Kong between 2002 and 2012 - or more than 200,000 babies - were to couples Cross-border school rush who both came from Mainland China. stokes tensions Birth in Hong Kong secured residency for the children and accompanying benefits, Fifteen years after the right of abode including free education. issue led to two landmark Court of Final Appeal (“CFA”) judgments, The CFA judgements - Ng Ka-ling REUTERS/Bobby Yip it now appears the Hong Kong and others vs Director of Immigration [1999] 1 HKLRD 315 and Chan Kam- education sector’s turn to handle the 心就學，邊境附近地區的學額因而變得 repercussions. nga vs Director of Immigration [1999] 非常緊張。 1 HKLRD 304 - confirmed the right One recent wintry dawn, more than 100 of abode in Hong Kong for almost 1.7 自1997年回歸以來，中港兩地關係越趨 Mainland Chinese parents started lining million persons born in the mainland, up outside a primary school in Hong 緊密，自由行及貿易協定等措施為香港 though this was deemed impractical Kong to try to clinch Grade One places 帶來經濟上的得益。 by many in Hong Kong in terms of for their children. They were among available resource. The Hong Kong 但內地人大量湧港，亦令這個700萬人 700 parents competing for 550 school government has been looking into how spots in an area near the border with the 口的城市怨聲載道，例如產科床位不敷 it can alleviate the general situation and mainland that has become a magnet 應用、樓價飆升，現在隨著雙非兒童逐 assuage local concerns. for people in Shenzhen and nearby 漸長大，又再引起爭奪學位的問題。 cities who want their Hong Kong-born - Hong Kong Lawyer and Reuters 2002年至2012年間在本港出生的嬰兒 children educated in the financial hub. News 中，約有四分之一即超過20萬為雙非 Since Hong Kong returned to Chinese 兒童。港生兒童除了可取得居留權外， rule in 1997, both sides have integrated 跨境學額緊張加劇兩地矛盾 more closely and Hong Kong has 亦可獲得附帶福利，其中就包括免費教 benefited from economic benefits such 十五年前，居港權的問題令終審法院作育。 as visiting mainland tourists and trade 出兩項意義重大的判決，如今似乎輪到終審法院在Ng Ka-ling and others agreements. 香港的教育界面對這個問題的反響。 vs Director of Immigration [1999] But the influx has also caused 近日，本港一所小學外有過百名內地家 1 HKLRD 315及Chan Kam-nga vs resentment in the city of seven million 長冒著嚴寒，清早開始排隊輪候，目的 Director of Immigration [1999] 1 people, from crowded maternity wards to soaring apartment prices, and now, 是為子女爭得一個小一學位。這批家長 HKLRD 304兩案的判決中確定，近 with the children growing up, the 是700名爭奪北區550個學額的家長之 170萬名在內地出生的人士擁有居港 scramble for schools. 一。由於不少深圳和鄰近地區的家長均權，但不少港人就認為本港的資源不勝 Roughly a quarter of births in Hong 希望其港生子女能夠在香港這個金融中負荷，裁決是不切實際的。香港政府一

58 www.hk-lawyer.org March 2014 • INDUSTRY INSIGHTS 業界透視

直研究如何緩解現時的局面及減輕港人 investment products and for example, by ensuring that 的憂慮。 opportunities in a private banking contractual disclaimers are context does not (of itself) constitute brought to customers’ attention -《香港律師》及路透社新聞 investment advice; before signature and being able to • even if the bank owed an advisory document that. duty, it was not in breach by failing to - Jonathan Cary, Partner, RPC Banking 銀行 warn Chang of risks associated with accumulators because he could have “Cleaning up the calculated those risks as a matter 「整理文書工作中」 of simple arithmetic (Kwok v HSBC paperwork” 這不是與訟一方在披露過程中採取不合 Private Bank (Suisse) SA [2012] HKEC 作態度時的委婉之詞。相反，這是新加 This is not a euphemism for a party’s 903, considered); reluctant approach to discovery. Rather, 坡上訴庭對Deutsche Bank AG v Chang • given that no advisory duty was it is an observation by the Singapore Tse Wen [2013] SGCA 49一案所持的 found to exist, it was unnecessary to Court of Appeal in its judgment in consider the judge’s finding that the 看法。 Deutsche Bank AG v Chang Tse Wen bank could not rely on contractual [2013] SGCA 49. 讀者也許記得，新加坡高等法庭在Chang disclaimers because Chang was 一案(載於2013年4月「業界透視」一欄) Readers may recall that in the Chang unaware of them. However, the case (“Industry Insights”, April 2013), Singapore Court of Appeal doubted 判Chang勝訴，主要的理由是法庭認為涉 the Singapore High Court allowed the judge’s analysis of the state of 案銀行：(i)有責任於立約前向Chang提供 Chang’s claim, primarily on the basis the law on contractual estoppel. 財富管理方面的建議；及(ii)因建議Chang that it found the bank: (i) had assumed The Singapore Court of Appeal’s 進行遠期累計股票期權買賣，違反了該 a pre-contractual duty to advise Chang judgment is consistent with similar 責任。 as to his wealth management; and (ii) cases in other common law jurisdictions had breached that duty by reference to 儘管案中的客戶服務協議確認該銀行只 (in particular, Hong Kong). While banks Chang’s trading in forward accumulator may rest easier, there are lessons to be 會提供執行服務，而且雙方並無訂立顧 share trades. learned. For example, while expressing 問協議，但法庭仍然裁定該銀行負有提 That judgment raised a few eye-brows some sympathy for Chang, the 供建議的職責，這令人相當意外。 because the duty to advise was found Singapore Court of Appeal suggested to arise despite the client service that banks would do better by: 銀行不服提出上訴，去年最終獲新加坡 agreement confirming that the bank 上訴庭推翻該裁決。讀者應注意以下事 • communicating with customers was providing execution only services 項： clearly as to what services are and and there being no advisory agreement. are not being provided; • 普通法法院在考慮立約前謹慎責任是 The bank’s confidence in its appeal • “cleaning up the paperwork”; 否存在時，通常會顧及整體案情； was well founded when the Singapore Court of Appeal last year overturned the judgment. Some brief take-away points include: • when considering whether a pre- contractual duty of care arises, common law courts will usually have regard to the whole “factual matrix”; • the absence of a written advisory agreement points to there being no duty to advise; • the line between advisory or non- advisory services can be a fine one. However, merely introducing

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• 沒有訂立書面顧問協議即代表沒有提 Readers may recall the Court of Final proceedings since 2002; 供建議的責任； Appeal’s landmark judgment in re Wing • the other corporate defendant had • 諮詢服務與或非諮詢服務之間的界線 Fai Construction Co. Ltd (in liquidation) been dissolved in 2001, such that the [2012] 1 HKLRD 589, that (among 可以相當模糊。然而，僅僅在私人銀 defendant had lost any opportunity other things): (i) confirmed the test 行業務層面介紹投資產品和機會，這 to claim a contribution; for dismissal for want of prosecution • other key players in the case were （本身）並不構成投資建議； is rooted in abuse of process; (ii) laid either dead or had vanished and no • 即使銀行有責任提供建議，但未有 an onus on all parties (including one appeared to object to the strike 提醒Chang累計股票期權的相關風險 defendants) to case manage cases; and out. 一事，並不構成違反該責任，因為這 (iii) disapproved of a strategy of “letting Indeed, the court recognised that the 涉及的是簡單的算術，Chang本可計 sleeping dogs lie”. decision to dismiss was “very easy” in 算出這些風險(Kwok v HSBC Private Since that landmark judgment, it is these circumstances. Bank (Suisse) SA [2012] HKEC 903 fair to suggest that a number of brave 一案曾對此予以考慮)； defendants have sought to test the However, how did dismissal for abuse ambit of the courts’ powers to dismiss of process (for example, “want of • 由於案中不存在提供建議的責任，因 for abuse of process but (to date) most prosecution”) become so difficult, 此並沒有必要考慮原審法官的裁決， have been disappointed. For example, absent such exceptional circumstances? 即Chang不知悉合約中的免責條款， see “Industry Insights” for May 2013 As Lord Cornwallis, a noted a dog-lover, 故銀行不能倚仗這些條款。然而，新 (“Dismissal of dormant claims”), July is reputed to have said at the “Battle of 加坡上訴庭對原審法官就合約不容反 2013 (“Time for the Dog Whisperer”) Yorktown” in 1781 (signalling the end of 悔法狀況所作的分析提出質疑。 and September 2013 (“Preparing to the American War of Independence) - fight sleeping dogs”). “How did it come to this?”. 新加坡上訴庭的判決與其他普通法司法 The recent case of Granadex SA v 管轄區（特別是香港）對類似案件作出 - Warren Ganesh, Senior Consultant, Bangkok Bank PCL [2014] HKEC 79 is Smyth & Co in association with 的判決一致。雖然銀行可鬆一口氣，但 a fairly rare example of a successful RPC 應汲取當中的教訓。例如，新加坡上訴 application to strike out a plaintiff’s 庭對Chang的情況寄予同情，不過建議銀 inactive claim. As if to emphasise just 「沉睡中的狗兒」最新進展行作出以下改善措施： how “last resort” dismissal of stale claims is in practice (for now), the 隨著流浪狗絕育計劃成為近日香港頭 • 清楚向客戶交代銀行提供及不提供哪 defendant’s application to strike out 條，也許是時候重新探討不無關係的些服務； succeeded because: 「沉睡中的狗兒」問題，亦即是全無行 •「整理好文書工作」，例如確保客戶 • the plaintiff’s action had commenced 動(「沉睡」)多年的「陳舊」申索。在簽署合約前注意到當中的免責條 as far back as 1993 (HCCL No. 187 of 讀者也許記得，終審法院在re Wing Fai 款，並將此記錄在案。 1993); Construction Co. Ltd (in liquidation) • the action had been dormant for - RPC合夥人Jonathan Cary [2012] 1 HKLRD 589一案作出意義 sixteen years; 深遠的裁決，其中包括：(i)確定以訴訟 • the plaintiff company had been 程序中無人作出行動為理由撤銷申索的 Civil Procedure 民事訴訟程序 subject to liquidation 驗證準則源於濫用程 Update on some history 序；(ii)奠定與 of “sleeping dogs” With a “neuter and release” programme for stray dogs in the headlines in Hong Kong it is, perhaps, an opportune time to revisit the not unrelated issue of strike out of “sleeping dogs”; namely, “stale” claims that have been inactive (“asleep”) for years.

60 www.hk-lawyer.org March 2014 • INDUSTRY INSIGHTS 業界透視

訟各方 (包括被告人)有責任以案件管理方式管理案件，及(iii)不贊同採取「別招惹沉睡中的狗兒」(即「別惹事生非」) 的策略。

客觀而言，這項意義深遠的裁決出現後，曾有些被告人勇敢地一試，以濫用程序為理由向法院申請撤銷申索，惜(至今)大多無功而還。例子詳見「業界透視」一欄，包括2013年5月號的《撤銷暫擱訴訟》、2013年7月號的《別招惹沉睡中的狗兒》及2013年9月號的《作好準備迎戰沉睡中的狗兒》。

近期Granadex SA v Bangkok Bank PCL [2014] HKEC 79一案，被告人成功把原 Company 公司 shadow company to change its name. 告人全無行動的訴訟剔除，成為少數的 Often in such cases, the real company 成功例子。裁決彷彿要強調剔除陳舊申 Shining a light on shadow and intellectual property owners are left 索實際上(現在)是多麼「不得已」，被告 companies chasing unscrupulous individuals across 人申請剔除獲批的理由如下： “the border” who will have achieved Re USA Exxon Mobil Oil Ltd [2014] HKEC their short term objectives by forming a • 原告人的訴訟早在1993年(HCCL No. 80 and re Power Dekor (HK) Ltd [2014] shadow company in Hong Kong in order 187 of 1993)展開； HKEC 42 are but two recent examples to deceive potential customers. • 訴訟處於不活動狀態已達16年； of cases in Hong Kong in which the High Court has expressed concern about the Sections 20 - 22 of the outgoing • 2002年，原告公司被入稟申請清盤； practice of “shadow companies” being Companies Ordinance deal with the • 由於另一公司身份的被告人已於2001 registered in Hong Kong in order to pass registration of corporate names. These are in large part reflected in (among 年解散，被告人已無法要求它分擔款 themselves off as the real thing. others) Sections 108-110 of the new 項； Shadow companies share a number of Companies Ordinance. • 案中其他關鍵人士均已死亡或失去蹤 traits. For example: As noted by the judge in both cases, 影，而且看來沒有任何人反對剔除有 • the use of an identical or similar these provisions could go further. corporate name to that of a 關申索。 While they empower the Registrar reputable company and its business of Companies (among other things) 事實上，法院認為在這種情況下作出撤 and trademark(s); to direct that a company changes a 銷的決定是「非常容易」的。 • company officers who reside outside corporate name that is the “same as or 然而，為何不在這種特殊情況下，以濫 the jurisdiction (often across “the too like” a name in the index of company border”); 用程序為理由撤銷申索(例如「訴訟程序 names, they do not specifically entitle the Registrar to refuse to register a 中無人作出行動」)，竟變得如斯困難？ • a registered office in Hong Kong that is the same as that of the company company with a name that is the “same 引用同屬愛狗之士的Cornwallis勳爵在 providing secretarial services; as or too like” another. 1781年(標誌美國獨立戰爭結束的)「約 • the use of incorporation documents 克鎮戰役」的名句–「何以事情發展到 The judge concluded by stating that (re in Hong Kong to pass off the shadow 如此地步？」 Power Dekor, para.6): company’s “services” as that of the real company, including infringement “It seems that greater scrutiny needs to - Warren Ganesh高級顧問， of intellectual property rights. be employed in the approval process to Smyth & Co與RPC聯營 ensure that a company name will not be In both cases orders were granted accepted for registration if it is the same (among other things) requiring the or very similar as a name appearing

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in the Registrar’s index of company 「看來審批過程中需要採取更嚴格的審 were laid against Raymond Kwok, the names”. 查措施，以確保當某公司名稱與載於處 company said in a statement on the 長公司名稱索引的另一名稱相同或非常 Hong Kong stock exchange. - Jason Carmichael, Partner, Smyth & Co in association with RPC 相似時，該公司名稱將不獲註冊。」 The case will not affect its business and operations, the company said. - 夏禮豪合夥人，揭開影子公司的面具 The Kwok brothers and Rafael Hui, Smyth & Co與RPC聯營 Hong Kong’s former Chief Secretary for 高等法院曾於一些案件中，對有人在香 Administration, were charged in August 港註冊「影子公司」以偽冒其他公司的 2012 for offences linked to bribery and 情況表示關注，近期 re USA Exxon Criminal 刑法 misconduct in public office. Mobil Oil Ltd [2014] HKEC 80 及re Property tycoons hit with Two others have also been charged Power Dekor (HK) Ltd [2014] HKEC in the case including Thomas Chan, additional charges in 42兩案正是例子。 the board member in charge of land bribery case purchases at Sun Hung Kai Properties, 影子公司有一些共同特徵，例如： and Francis Kwan, a former banker. Thomas and Raymond Kwok, the • 採用的公司名稱與另一間知名企業的 billionaire co-chairmen of Sun Hung Kai - Hong Kong Lawyer and Reuters 名稱、業務和商標相同或類似； Properties Ltd, had additional charges News • 公司主要人員居於香港境外(通常為內 filed against them last month in a 地)； bribery investigation surrounding Asia’s largest developer, the company said. 新地郭氏兄弟被加控罪 • 香港的註冊辦事處與秘書服務公司的辦事處相同； The Sun Hung Kai probe, Hong Kong’s 捲入涉賄案的亞洲最大地產發展商之一 biggest corruption case since its 的新鴻基地產上月發出公告，指其聯席 • 以影子公司的香港註冊文件冒充真正 anti-graft agency was formed nearly 主席郭炳江和郭炳聯再被加控控罪。的公司提供「服務」，包括侵犯知識 40 years ago, involves one of Asia’s 產權。 most powerful families and the world’s 此案是本港廉正公署自成立近40年來最 second-largest property company with 兩案中，法庭均頒令(除其他事項外)要求大宗的涉貪案，涉案郭氏家族是亞洲最 a market capitalisation of US$33 billion 影子公司更改名稱。在這類案件中，不富有的家族之一，旗下的新鴻基地產是 (HK$256 billion). 法之徒往往透過在港成立的影子公司欺全球第二大地產商，市值330億美元(約 Thomas Kwok received an additional 騙潛在客戶，達到他們的短期目的後逃 2560億港元)。 charge under the anti-graft law, while 去，最終剩下真正的公司和知識產權擁 two additional charges for conspiracy 該公司在港交所公告中表示，郭炳江被有者向這些境外的不法之徒追究。 to commit misconduct in a public office 多加一項觸犯防止賄賂條例的控罪，而在即將被取代的《公司條例》中，第20 至22條負責公司名稱的登記事宜，而在新《公司條例》中，大部分相關條文載於第108至110條。

正如審理該兩案的同一名法官所指，這些條文可更進一步。雖然這些條文賦予公司註冊處處長多項權力，包括在某公司名稱與公司名稱索引中的另一名稱「相同或過分相似」時，指示該公司更改公司名稱，但條文並沒有明確賦權處長拒絕註冊一間名稱與另一名稱「相同或過分相似」的公司。

該法官總結如下(Power Dekor 一案第6 段)：

62 www.hk-lawyer.org March 2014 • INDUSTRY INSIGHTS 業界透視

REUTERS/Suzie Wong

郭炳聯則被多加兩項串謀觸犯公職人員 Sources with ties to the leadership unrest, which is a major concern for 行為失當的控罪。 told Reuters that the government was China’s leadership. considering a sweeping reorganisation 此外，公告亦表示案件不會影響集團的 of cabinet ministries next month that - Reuters News 正常業務及運作。郭氏兄弟及香港前政 will dissolve the Ministry of Land and 務司司長許仕仁在2012年8月被落案起 Resources and transfer some powers to 內地考慮擴大環保部權力訴觸犯與行賄和公職人員行為失當罪行 the Ministry of Environmental Protection 為解決日益嚴重的污染問題，內地政府有關的罪行。 (MEP), long regarded as too weak to punish law-breaking polluters. 考慮改組架構，其中有機會擴大環境保另外兩名同被起訴的人士為新鴻基地 Amendments to China’s 1989 護部在資源方面的權力，讓該部門取得產董事陳巨源及港交所前高級副總裁 environmental law, likely to be rubber- 將來相關項目的否決權，並在處罰污染關雄生。 stamped at the annual session of the 者方面獲更大權限。 country’s legislature next month, are -《香港律師》及路透社新聞 expected to also give the environment 有熟悉政府領導層的人士向路透社透 ministry the powers to impose unlimited 露，中央正考慮下月進行大規模部委重 penalties on firms that fail to rectify 組，包括解散國土資源部，及將部分權 problems and allow regulators to 力轉移至環保部。長久以來，外界一直 Environment 環境 suspend or shut down persistent 認為環保部權力不彰，難對污染環境的 offenders. China considers new 違法者作出懲處。 A nationwide monitoring system will powers for pollution 對1989年《環境保護法》作出的建議 watchdog as part of be established to force industries to disclose exactly how much pollution 修訂大有可能在下月舉行的全國人大會 government shakeup they cause, and it will become a criminal 議上通過。預計相關修訂將賦權環保部 China could grant its undersized offence to misuse or switch off pollution 對無法糾正問題的企業施以不設限的懲 environment ministry new powers control technology and misreport 罰，並允許監管機構暫停或關閉屢犯的 over resources, possibly allowing emission levels. 企業。 it to veto future projects, and more China’s big polluters routinely exceed 此外，當局將設立全國監管系統，強制 muscle to punish polluters as part of a government emissions limits, say 各產業公開其造成的確實污染量，而濫 government shake-up to tackle decades environmentalists, and high pollution of unchecked growth. levels have sparked widespread social 用或關閉污染控制技術，以及不實申報

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排放等級，將被列為刑事罪行。中資企業赴美上市熱潮重臨 refusing” to comply with SEC requests for audit papers relating to the firms’ 有環保人士指，產生大量污染的內地企中資企業正紛紛湧向美國上市，數量之 audits of 10 Chinese companies listed in 業經常超出政府設立的排放量上限，而多料創2010年以來的紀錄。初創科技企 the US. 且嚴重污染已經造成社會不安，引起中業的估值大幅上升，是吸引這些企業赴 The Big Four firms have announced they 央領導層高度關注。美上市的原因，而早前中美之間的審計 will challenge the Initial Decision. The 爭議並未對熱潮構成阻礙。 - 路透社新聞 court’s decision to suspend the right of the Chinese affiliates of the “Big Four” 據接受路透社訪問的投資銀行人士指， accounting firms to issue audit reports 本年可能有30多家中資企業在美國上 for US-listed clients for six months does IPO 首次公開招股市，其中包括京東商城。該公司為內地 not take effect until the appeal process 第二大電子商務企業，僅次於阿里巴 has concluded (and assuming the China firms head for 巴。上月京東商城表示，尋求集資額達 appeal is unsuccessful). That could take US IPOs, not fussed by 15億美元(約114億港元)，有望成為第二 years. accounting flap 大規模的中資企業赴美招股活動。 In the meantime, it is important to keep in mind the following points: Chinese companies are flocking to the 投資者對中國概念股的熱情再現，特別 US IPO market in their biggest numbers 是互聯網相關股。根據艾瑞諮詢集團數 •an appeal should have reasonable since 2010, drawn by soaring valuations 據，以交易量計算，中國網上零售市場 prospects of success. First, the for tech start-ups and undeterred by a court accepted that the statutory 去年大幅上升42%至1萬8500億人民幣 flare-up in an accounting row between meaning of “wilful refusal” was not (約1萬3700億港元)，預計到2016年將 Washington and Beijing. simple. Second, the court dismissed 再增長近一倍。 Some 30 Chinese companies could difficult issues concerning “conflict list in the US this year, according to 這些利好因素蓋過了投資者對會計違規 of laws”; for example, the accounting firms’ argument that to comply investment bankers interviewed by 行為及企業管治問題上的疑慮。自2011 with the SEC’s Section 106 requests Reuters. That includes JD.com Inc, 年起，這些問題已迫使多間在美上市的 China’s second-biggest e-commerce could put them in breach of China’s 中資企業除牌。 firm after Alibaba Group Holding Ltd. national security laws (protecting, among other things, “state secrets”). It said last month it is seeking to raise - 路透社新聞 US$1.5 billion (HK$11.4 billion), in what Third, the judge accepted that may be the second-biggest US IPO by a supplementary evidence filed by Chinese company. the accounting firms after the Regulatory 監管 court hearing was “potentially The return to US shores comes on the exculpatory”; back of renewed investor enthusiasm US court judgment ups for China plays, particularly for Internet stakes on China audits • an issue arises as to whether a stocks. The country’s online retail suspension is in the public interest, market by transaction volume jumped In its “Initial Decision” No. 553 (22 all things considered; for example, 42% last year to 1.85 trillion yuan January 2014), a US Securities and the effect it could have on audit (HK$1.37 trillion) and is expected to Exchange Commission (“SEC”) clients and investors, not to mention almost double in size by 2016, according administrative law court decided who will perform the audits if the to figures from iResearch. that the Chinese affiliates of five suspension takes effect; international accounting firms breached • for now, the Initial Decision should That has trumped lingering concerns Section 106 of the US Sarbanes-Oxley not affect the accounting firms’ about accounting irregularities and Act 2002, in failing to comply with SEC audits for the current financial year; corporate governance issues that have requests for audit documents relating to • as readers may recall, in May 2013 forced many US-listed Chinese firms to Chinese companies listed in the US. be delisted since 2011. the US Public Company Accounting In short, the court found that the Oversight Board, the China Securities - Reuters News accounting firms breached Section Regulatory Commission (“CSRC”) 106(e) of the Act by apparently “wilfully and the Chinese Ministry of Finance

64 www.hk-lawyer.org March 2014 • INDUSTRY INSIGHTS 業界透視

entered into a Memorandum of Understanding on Enforcement Cooperation, providing for mutual assistance and the exchange of information to secure compliance with their respective securities laws. It is feasible that the SEC and the CSRC will cooperate further as regards the SEC’s requests in this case; • there are already some signs that diplomacy may save the day. In the week after the Initial Decision and after various documents were produced by the CSRC, the SEC 在此期間，讀者應緊記以下各點： • 讀者也許記得，美國上市公司會計監 agreed to withdraw its action against 管委員會與中國證券監督管理委員 Deloitte for alleged failure to comply • 上訴有合理勝算。首先，法院已認同會(下稱「中證監」)及中國財政部於 with a subpoena in connection with 「故意拒絕」的法定含義並不簡單。 2013年5月簽署了《執法合作備忘 its work relating to Longtop Financial 其次，法院駁回關於「衝突法」的錄》，訂下跨境互助及資料互換的基 Technologies Ltd. 棘手問題，例如該等會計師事務所曾礎，以確保有關企業符合兩地的證券指出，若遵守美證監根據第106條提 - David Smyth, Senior Partner, 法。兩地證監有機會就美證監在此案出的要求，有機會導致它們違反中國 Smyth & Co in association with 的要求進一步合作； RPC (保護「國家機密」等的)《國家安全法》。其三，法官已認同該等會計師 • 有跡象顯示，外交方法或可令局面有四大會計師事務所中國分部事務所於法庭聆訊後提交的補充證據轉機。「初步裁決」發出一周後，中證監提供各種文件，美證監之後同意遭美國法院罰暫停審計「有可能為它們開脫罪責」；撤回對德勤的起訴，該案指德勤未有 • 引申一個問題，就是經考慮所有情美國證券交易委員會(下稱「美證監」)的遵守傳票，提供與東南融通相關的審況，暫停「四大」進行審計的權利是行政法庭在第553號「初步裁決」(2014 計文件。否符合公眾利益。例如，對客戶和投年1月22日)中，裁定五間國際會計師資者有何影響，而且暫停一旦生效， - 施德偉高級合夥人，事務所的中國分部未有遵照美證監的又由誰來執行審計；要求，交出在美上市中資企業的審計文 Smyth & Co與RPC聯營 • 就目前而言，「初步裁決」應該不會件，違反了美國《2002年沙賓法案》第影響「四大」今個財政年度的審計； 106條。

簡言之，法院認為該等會計師事務所顯 Feel free to write in to us with more short contributions on latest industry 然是「故意拒絕」遵守美證監的要求， developments and trends. Simply contact the editor at: 交出它們為十間在美上市中資企業進 [email protected] 行審計的相關文件，違反了該法案第本刊歡迎各位提交短篇文章，廣大讀者分享業界的最新發展和動態。請與本刊 106(e)條。編輯聯絡，電郵: [email protected] 四大會計師事務所已宣布會就「初步裁 The information provided here is intended to give general information only. It is not a 決」提出上訴。法院裁定暫停「四大」 complete statement of the law. It is not intended to be relied upon or to be a substitute 中國分部為在美上市客戶進行審計的權 for legal advice in relation to particular circumstances. 利，為期六個月，但這項裁決待上訴過本欄所提供的資訊僅屬一般資訊，並不構成相關法律的完整陳述，亦不應被依程結束(並假設上訴失敗)才會生效，可能賴為任何個案中的法律意見或被視作取代法律意見。需時數載。 For full Reuters reports, please visit reuters.com 如欲查閱路透社的完整報導，請瀏覽 reuters.com

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CASES IN BRIEF 案例撮要

ADMINISTRATIVE 行政 for judicial review. The property having been resumed, X had no further interest Zitta Investments Ltd in it. X’s only right and interest was in [2013] 5 HKLRD 32 obtaining proper compensation for the Court of First Instance resumption of its property, which was Constitutional and Administrative Law protected by the detailed provisions of List No 89 of 2013 the LRO concerning the right enshrined in Article 105 of the Basic Law. 業或在該物業上所擁有的權利，已於政 Godfrey Lam J 府收回該物業後絕對終止。X就地政總署 24 September, 11 October 2013 Where X and the Government could not agree on the proper amount of 署長提出的收回補償建議提出司法覆核 compensation payable, the LRO sets 許可申請，理由之一是該建議中的評估 Compensation for resumption out the machinery for the amount of 並不公平合理。 of land — Lands Tribunal proper compensation payable to be determined 裁決 - 駁回申請，除其他事項外： forum for resolving dispute on by the Lands Tribunal applying the amount payable LRO. Where a comprehensive system of X提出申辯的適當訴訟地是土地審裁處， X was the former owner of part of determination and appeals procedure 而不是向高等法院提出司法覆核申請。 existed, leave for judicial review would a property which was resumed for 該物業已被收回，因此X已不再擁有該 redevelopment by the Government, not be granted save in exceptional 物業的任何權利。X的唯一權利及權益是 following which X’s rights in and over circumstances. 就該物業被收回而獲取適當補償，這權 the property absolutely ceased pursuant to Section 5 of the Lands Resumption 利受《收回土地條例》的詳細條文所保原訟法庭 Ordinance (Cap. 124) (“LRO”). X 障，而該等條文表明了《基本法》第105 sought leave to apply for judicial review 憲法及行政訴訟2013年第89號條所賦予的權利。 concerning an offer of resumption 高等法院原訟法庭法官林雲浩 compensation by the Director of 倘若X與政府未能就適當的應付補償額達 Lands, arguing that inter alia the offer 2013年9月24日、10月11日成共識，則《收回土地條例》已訂明相 made was not a fair and reasonable 應機制，就是交由土地審裁處根據《收 assessment. 收回土地補償—土地審裁處是適當回土地條例》裁定須支付的補償額。如 Held, dismissing the application, that, 的訴訟地解決應付金額的爭議果目前已有一套全面的釐定制度及上訴 inter alia: 程序，除非情況非常特殊，否則法庭不 X原為某物業其中一部分的業主，其後政 The proper forum for X to ventilate his 會給予司法覆核許可。府收回該物業重新發展。根據《收回土 arguments was in the Lands Tribunal 地條例》（第124章）第5條，X就該物 and not the High Court on an application

66 www.hk-lawyer.org March 2014 • CASES IN BRIEF 案例撮要

ADMIRALTY 海事法 (「先前訴訟」)中扣押，後來法官在先前 Fearless I [2013] 5 HKLRD 48 訴訟中裁定，C以該 Court of First Instance 兩艘船隻的船長和船 Admiralty Action Nos 197 & 198 of 員工資的承讓人身份 2012 提出的申索，並不屬 Peter Ng J 於《高等法院條例》 2, 16 October 2013 (第4章)第12A(2)(n) 條的海事管轄範圍 Action in rem —nothing 內，並將有關對物訴 inequitable about wrongful 訟令狀及C早前就該 arrestor bearing legal and 等船隻取得的扣押令 financial consequences of own (見[2013] 2 HKLRD actions Held, dismissing the applications, 620一案)作廢。與此同時，本案原告 that, inter alia: 人，即船長和船員，針對該等船隻發出 Two vessels were first arrested by C in previous admiralty proceedings (the C’s claim as assignee of the master and 對物訴訟令狀，向被告人等追討另一段 “Previous Proceedings”), in which crew’s wages could only be brought as 時期的欠薪。 an in personam action by issuing and the judge held that C’s claims as the 原告人亦取得扣押令，並於其後登錄因 assignee of the wages of the masters serving an in personam writ on Ds. C 欠缺行動而作出的判決，以及取得出售 and crews of the vessels owned by the had no right to apply for a warrant of 該等船隻的命令，而售賣所得收益已繳 defendants (“Ds”) did not fall within arrest against the vessels and no right the admiralty jurisdiction under Section to participate in the sale proceeds paid 存法庭。C現以介入人的身份要求優先於 12A(2)(n) of the High Court Ordinance into court. 所有其他申索(除首席執達主任的申索外) (Cap. 4) and set aside the writs in rem None of the authorities relied on by ，從售賣所得收益中付還它在先前訴訟 and warrants of arrest obtained by C supported its position that even a 中扣押該等船隻所招致的費用。C辯稱， C against those vessels (see [2013] 2 wrongful arrestor was entitled to his 雖然它就該等船隻並無任何有效的對 HKLRD 620). In the meantime, the costs and expenses in arresting and 物申索，但它是首個作出扣押的一方， masters and crews, plaintiffs (“Ps”) in maintaining the ship, so long as all 令售賣所得收益產生，使所有債權人受 the present actions, issued admiralty the creditors derived some de facto 惠。 writs in rem against the vessels in benefit from the arrest was rejected. respect of their claims against the Further, the threshold for a shipowner of 裁決 - 駁回申請，除其他事項外： defendants (“Ds”) for wages for a obtaining damages for wrongful arrest C以船長和船員工資的承讓人身分提出的 different period. was notoriously high, namely crassa 申索，只能夠透過向被告人等發出及送 negligentia or gross negligence, implying P also obtained warrants of arrest. 達對人令狀以對人訴訟方式提出。C既無 malice or its equivalent. Ps subsequently entered judgment in 權申請針對該等船隻的扣押令，亦無權 default and obtained orders for the sale 瓜分已繳存於法庭的售賣所得收益。 of the vessels, and the proceeds of sale 原訟法庭 were paid into court. C now sought, as C的立場是，只要全部其他債權人事實 intervener, reimbursement of its costs 海事訴訟2012年第197及198號上受益於有關扣押，不當的扣押者亦有 and arresting the vessels in the Previous 高等法院原訟法庭法官吳嘉輝權取回扣押和保管船隻的費用及開支， Proceedings out of the sale proceeds in 2013年10月2、16日但它引述的依據均未能支持此立場。 priority to all claims save those of the 此外，船主若要就不當扣押取得損害 Chief Bailiff. C argued that, although it 賠償，須符合極高的門檻，就是嚴重疏 had no valid claims in rem against the 對物訴訟—由不當扣押者承擔其訴忽，而這意味當中須存有惡意或相等的 vessels, it was the first arresting party 訟引起的法律和財務後果並無不 and the producer of the sale proceeds 公平之處因素。 for the benefit of all the creditors. 涉案兩艘船隻最先被C在先前的海事訴訟

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CIVIL PROCEDURE Civil Justice Reform continued to apply 狀有效期的酌情權便不會產生。民事司法制度改革對《高等法院規則》作出修民事訴訟程序 and the court should not more readily grant applications for extension. The 改，但之前的典據仍繼續適用，故法 law concerning the validity of a writ 庭不應該更輕易便批准延期申請。有關 Sealegend Holdings Ltd v China Taiping and its extension was no mere formal 令狀有效期及其延展的法律，絕非只是 Insurance (HK) Co Ltd [2013] 4 HKLRD procedural rule. Underlying it was 形式上的程序規則。有關法律的基礎政 508 the policy of the law that promoted 策，是促進訴訟的終局性、防止陳舊的 Court of First Instance finality of litigation, the prevention of 申索，以及保障被告人免被申索無限期 Admiralty Jurisdiction Action No 95 of stale claims, and the protection of a 纏繞。 2012 defendant from having a claim hanging over his head indefinitely. Godfrey Lam J in Chambers 11 September 2013 原訟法庭 COMPANY 公司海事訴訟2012年第95號 Writ — validity — court Re Sun Light Elastic Ltd should not more readily grant 高等法院原訟法庭法官林雲浩(內 [2013] 5 HKLRD 1 applications for extension post- 庭聆訊) Court of First Instance CJR 2013年9月11日 Companies (Winding-up) Proceedings The plaintiff (“P”) was a BVI company No 302 of 2012 and the registered owner of a vessel, 令狀— 有效期— 民事司法制度改 Harris J in Chambers which was insured by four defendants 革後，法院不應更輕易批准延 27 September 2013 (“D1–4”) under two policies. On 18 期申請 May 2012, P issued a writ in respect of an insurance claim it had made, but 原告人為一間英屬維爾京群島公司兼 Unfair and prejudicial conduct — prayer for winding-up subsequently withdrawn, relating to 某船隻的登記船主，該船的兩份保單 order struck out for having no damage to the vessel’s engine sustained 由四名被告人(即第一至第四被告人)承 in July 2006. A year later, P served an realistic prospect of success 保。2012年5月18日，原告人就其提出 amended writ on D1, D2 and D4 in Hong 的一項保險索賠發出令狀，但隨後將令 The plaintiff (“P”) and respondent (“R”) Kong and sought leave to extend the held the majority of shares in company 狀撤回。該保險索賠是關於該船隻引擎 validity of the amended writ under Order C. P issued a petition under Section 於2006年7月所遭受的損毀。一年後， 6 Rule 8(2) of the Rules of the High 168A of the Companies Ordinance (Cap. 原告人在香港向第一、第二及第四被告 Court (Cap. 4A, Sub. Leg.) (“RHC”), so 32) alleging unfair prejudice against as to serve it on Taiwan-incorporated 人送達經修訂令狀，並根據《高等法院 R, seeking a buyout order and, in the D3 out of time. D3 had been notified in 規則》(第4A章，附屬法例)第6號命令第 alternative a winding-up order. R then January 2007 that P wished to reopen 8(2)條規則向法庭提出延展經修訂令狀 applied to strike out the prayer for the the claim, but heard nothing further 有效期的許可申請，以在時限過後向在 alternative relief of winding up C (the until 13 May 2013, when P asked whether 台灣成立的第三被告人送達該經修訂令 “Prayer”) arguing that it was bound to it would appoint solicitors in Hong Kong 狀。第三被告人早在2007年1月已獲告 fail. to accept service of the writ. 知原告人有意重新展開有關申索，但之 Held, granting the application, that, Held, dismissing P’s application, but 後再沒有收到任何消息，直至2013年5 inter alia: granting D1–2 and D4’s application 月13日，原告人詢問第三被告人會否在 There was a difference in approach in for security for costs, that, inter alia: 港委任律師以接受令狀的送達。 practice with some decisions placing The discretion to extend the validity of more weight on the undesirability 裁決 - 駁回原告人的申請，但准許第一、 a writ did not arise unless the plaintiff of having an unnecessary winding- 第二及第四被告人的訟費保證金申請， first established good reason, including up petition hanging over a company 除其他事項外： one which supported deliberate non- on the one hand, and on the other, compliance with the time limit involved. 除非原告人先確立充分理由，包括為蓄 on the difficulty of concluding with The authorities which predated the 意不遵守相關時限的理由，否則延展令 sufficient certainty at the early stage of changes to the RHC introduced by

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作出清盤令，而不作出《公司條例》第 168A條的補救措施，尤其當清盤令是替代補救。呈請人必須指出是甚麼特定事宜令他認為清盤令可能是適當或唯一可行的補救措施。

本案中，法庭實際上沒有可能會作出清盤令，因此該請求會被剔除。根據現有事實，若下定論說答辯人經審訊被判敗訴，將不願意或無能力購買呈請人的股份，是不公平的。另一點亦顯示納入該請求並未經過深思熟慮，就是並非所有股東都已加入其中。

CONTRACT 合約 proceedings that a winding-up order 原訟法庭 would never be the appropriate remedy 高等法院公司(清盤)案件2012年第 Bank of China (Hong Kong) Ltd v Tsang for the court to grant. 302號 Sheung Bun [2013] 5 HKLRD 62 The way to resolve this difference was Court of Appeal 高等法院原訟法庭法官夏利士(內 to exercise the court’s jurisdiction to 庭聆訊) Civil Appeal No 7 of 2013 strike out very sparingly and only on Yuen, Kwan and Chu JJA the clearest grounds. A petitioner 2013年9月27日 was entitled to have adjudicated the 16, 22 October 2013 merits of the claim, unless the court 不公平及損害行為—因實際上沒有 was satisfied that the claim could not 機會成功而把清盤令的請求剔除 Where no undue influence, succeed. no constructive notice of 原告人和答辯人持有C公司的大多數股 The court would only grant a winding- impropriety on bank 份。原告人根據《公司條例》(第32章) up order, especially in the alternative, In 1997, the plaintiff bank (“P”) approved 第168A條提出呈請，指答辯人作出不公 rather than relief under Section 168A of further facilities to the borrower, secured 平損害，尋求法庭作出收購命令，或清 the Ordinance if there was a particular by a legal charge (the “Charge”) over reason for doing so. The petitioner 盤令作替代。答辯人其後向法庭申請將 the defendant’s (“D”) property (the must be able to point to particular C公司清盤的替代補救請求(下稱「該請 “Property”). D was friends with the matters he was concerned might make a 求」)剔除，理由是該請求注定會失敗。 borrower’s shareholders (“SH”). The winding-up order the appropriate or only Charge contained a joint and several 裁決 - 准許申請，除其他事項外： practical relief. covenant of D and the borrower to repay 實際上，過往的裁決做法迥異，有些裁 Here, there was no realistic prospect all monies due to the bank whether of a winding-up order being made and 決較為不願意令公司被不必要的清盤呈 past present or future. P claimed that the Prayer would be struck out. On 請纏繞，另一些裁決則認為難以在訴訟 under the Charge vacant possession the available facts, it could not be fairly 初段便有足夠把握確定法院絕不會批准 of the Property and monies due by the concluded that R would be unwilling 清盤令作為合適的補救措施。 borrower. D counterclaimed that the or unable to buy P’s shares if he were Charge was null and void on the basis 要解決此分歧，方法是運用法院的管轄 unsuccessful after trial. A further of non est factum, misrepresentation, 權進行剔除，但務必非常謹慎及理據非 indication that the inclusion of the undue influence and unconscionable Prayer had not been properly considered 常充分。除非法院信納有關申索無可能 bargain. The judge held that D knew was that not all the shareholders had 成功，否則呈請人有權獲法院裁定該申 that he was signing the Charge which been joined. 索有可取之處。 was explained to him and there was no undue influence by SH. D appealed. 只有在具特定理由的情況下，法院才會

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Held, dismissing the appeal, that, 款人的股東(下稱「該等股東」)為朋友。 Obtaining access to computer inter alia: 該押記載有一項被告人及借款人須向銀 with view to dishonest gain The Court of Appeal would only reverse 行償還所有過去、現在或將來應付款項 — meaning of “computer” a finding of primary fact if it was satisfied 的共同和各別契諾。原告人根據該押記 included “smartphone” mobile that the finding was plainly wrong. If 提出申索，要求被告人交出該物業的空 phone not satisfied, it should defer to the trial 置管有權及支付借款人欠下的款項。被 The defendant (“D”) was acquitted of judge’s conclusion even if in some doubt 告人反訴，指該押記基於「否定曾經訂 obtaining access to a computer with as to its correctness. The rationale for 約原則」、失實陳述、不當影響及不合 a view to dishonest gain for himself such deference was not limited to the 情理談判而無效。原審法官裁定，被告 or another. D set his smartphone at a superiority of the trial judge’s position 人知道他當時簽署的是該押記，相關人 vantage point to record via video a toilet to make determinations of credibility 士已向他作出解釋，而且該等股東並沒 in the ladies’ washroom of his office. The and his familiarity with the evidence. phone was discovered and D admitted 有作出不當影響。被告人提出上訴。 The parties to a case on appeal had that he had intended to film a female already been forced to concentrate on 裁決 - 駁回上訴，除其他事項外： colleague secretly with it. The term persuading the trial judge that their “computer” is not defined in the Crimes 上訴法庭只會在信納基本事實的裁斷 account of the facts was the correct Ordinance (Cap. 200) (the “CO”). The 存在明顯錯誤的情況下，才會推翻該 one. Requiring them to persuade three prosecution tendered expert evidence 裁斷。如上訴法庭不信納當中存在明顯 more judges at the appellate level was that the smartphone could perform all requiring too much. The trial on the 錯誤，即使對其是否正確存有某程度疑 the functions of a computer and was merits should be “the main event” rather 問，亦應遵從原審法官的定論。遵從原 a “computer” pursuant to the CO as than “a tryout on the road” 審的做法並不只是因為原審法官可就可 defined under Section 22A(12) of the The defence of undue influence must 信度作出凌駕性的決定，以及他熟悉案 Evidence Ordinance (Cap. 8) (the “EO”), fail on the evidence. As such, it could not 中證據。涉及上訴案件的當事人已被迫 Section 26A of the Inland Revenue be said that P would have constructive 集中精力說服原審法官，他們敍述的事 Ordinance (Cap. 112) (the “IRO”) and Section 19 of the Business Registration notice of any alleged impropriety in 實才是正確的。若要求他們再於上訴階 relation to the transaction or that it Ordinance (Cap. 310) (the “BRO”). The 段說服多三位法官，則是要求太多。對 should have been put on inquiry such Magistrate held in his findings, including 案情的審理應該是「重頭戲」，而不是 that it could not rely on D’s apparent a dictionary consideration of the word 「試演」。 consent to the transaction. Therefore, “computer”, that D’s smartphone was it was unnecessary to consider if P 根據相關證據，不當影響的抗辯理由定 not proven as such under CO Section had taken reasonable steps to dispel 必失敗。故此，法庭不能說原告人會對 161(1)(c). The Secretary for Justice appealed against the acquittal. constructive notice. 任何指稱有關該交易的不正當行為有法律構定的知悉，又或者說原告人應提出 Held, finding D guilty as charged, 上訴法庭查詢以致原告人不能依賴被告人對該交 that: 高等法院民事上訴2013年第7號易作出的明顯同意。因此，法庭無必要 The Legislative Council left the term 考慮原告人有否採取合理步驟消除法律 “computer” undefined in Section 高等法院上訴法庭法官袁家寧、構定知悉。 161 of the CO because, with rapid 關淑馨及朱芬齡 developments in scientific technology, 2013年10月16、22日 the definition of “computer” was broad, evolving and non-exhaustive. The court CRIMINAL 刑事如沒有不當影響，則不構成銀行 should consider expert opinion and decide whether a device in question was 對不正當行為具有法律構定的知 Secretary for Justice v Wong Ka Yip Ken a computer. 悉 [2013] 4 HKLRD 604 Court of First Instance On a proper interpretation, the 1997年，原告銀行(下稱「原告人」)向 dictionary meaning of “computer” Magistracy Appeal No 77 of 2013 借款人批出其他信貸融通，這些融通以 applied to Section 161 of the CO and 被告人物業(下稱「該物業」)的法定押記 Barnabas Fung J included D’s smartphone. This was in (下稱「該押記」)作為保證。被告人與借 12, 29 April 2013 line with the definition of “computer”

70 www.hk-lawyer.org REUTERS/Tyrone Siu March 2014 • CASES IN BRIEF 案例撮要

「電腦」一詞的解釋等各項因素後，裁 of good character might be unlikely to 定控方未能證明被告人的智能手機是《 indulge in very serious violence without 刑事罪行條例》第161(1)(c)條所指的「 first being provoked” (“Paria direction”, 電腦」。律政司司長就無罪裁決提出上 after Paria v The State [2003] UKPC 36); 訴。 and (b) gave disproportionate attention to the irritating behaviour of V and his 裁決 - 裁定被告人罪名成立： wife as background of provocation.

立法會對《刑事罪行條例》第161條之 Held, dismissing the application, that, 「電腦」一詞不作出定義，是因為科技 inter alia: 發展迅速，「電腦」的定義廣闊、不斷 In respect of the character direction, the 演變，且不能盡錄。法庭應考慮專家意 question whether there was provocation 見，裁定有關的器材是否電腦。 by V was not really in issue; so a Paria direction would not have taken matters 適當的解釋應該是，字典對「電腦」作 further and the direction given was 出的定義適用於《刑事罪行條例》第161 adequate to the case. The standard as a device for electronic data storage, 條，並包括被告人的智能手機。這符合國 directions on good character and processing and retrieval adopted 際間對「電腦」作為一個電子數據儲存、 propensity in murder/provocation cases internationally, and was consistent with 處理及重新獲取的裝置的定義，並與其他 had not been changed for judges in the statutory provisions and judgments 國家的條文及判決相符。這個解釋並不會 England and Wales, and would normally in other jurisdictions. This interpretation 引致任何荒謬或明顯不公義之處。 convey to the jury the key message would not result in any absurdity or that a defendant, by virtue of his good manifest injustice. character, was less likely to be guilty of an unprovoked killing with intent. 原訟法庭 HKSAR v Wong Lau Hing As for the “last straw” direction, the [2013] 5 HKLRD 85 高院裁判法院上訴案件2013年 very extensive attention given by the Court of Appeal judge to the irritating behaviour had 第77號 Criminal Appeal No 374 of 2011 not risked moving the jury away from 高等法院原訟法庭法官馮驊 Stock V-P, Macrae JA and McWalters J the importance of the defence of V’s 2013年4月12、29日 provocation. 17 October 2012, 14 May, 29 October 2013 目的在於不誠實地獲益而取用上訴法庭電腦 —「電腦」一詞的定義包括 Murder — “last straw” direction 高等法院刑事上訴2011年第374號「智能」手機 The defendant (“D”) was convicted 高等法院上訴法庭副庭長司徒敬及被告人被裁定一項「目的在於使其本人 of murder, having offered to plead 高等法院上訴法庭法官麥機智及高或他人不誠實地獲益而取用電腦」罪不 guilty to manslaughter on the basis of 等法院原訟法庭法官麥偉德成立。被告人在公司女廁的有利位置架 provocation by elderly co-tenants who 2012年10月17日、2013年5月14 lived in opposite cubicles. D claimed that 設智能手機進行錄影。電話被發現後，日、10月29日 the victim (“V”) and his wife went out of 被告人承認意圖以該智能手機偷拍一名 their way to annoy him, particularly by 女同事。《刑事罪行條例》(第200章) banging the corridor window while he 謀殺—「最後挑舋」指引並沒有就「電腦」一詞作出釋義。控方 was sleeping or trying to sleep. On the 被告人被裁定謀殺罪名成立。他曾承認提出專家證據，指該智能手機能執行電 night in question, D killed V allegedly 誤殺，理由是被居於對面板間房的長者腦所擁有的所有功能，而且根據《證據 under provocation. At trial, D’s evidence 租客激怒。被告人聲稱受害人和其妻子條例》(第8章)第22A(12)條、《稅務條 differed materially from his statement. 特意激怒他，尤其是趁他正在睡覺或想例》(第112章)第26A條及《商業登記條 At issue was whether the judge: (a) 睡覺時敲打走廊的窗戶。案發當晚，被例》(第310章)第19條對「電腦」的定 having issued the standard second limb of the good character direction, should 告人殺死受害人，他指稱是受到激怒所義，該智能手機屬於《刑事罪行條例》 have then reminded the jury that “a man 致。在審訊中，被告人所作的證供與其所指的「電腦」。裁判官考慮過字典對

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陳述書有很大差別。本案的爭論點是， The Court held previously that H had 原審法官：(a)在作出良好品格指引的第 always been and remained the beneficial 二項標準因素後，應否提醒陪審團「具 owner of C and that the current value of H’s shareholding in C formed part of the 有良好品格的人於沒有先被激怒的情況 asset pool for distribution between the 下，或不太可能沉迷於非常嚴重的暴力 parties. 行為」(即「Paria 指引」，這以Paria v The State [2003] UKPC 36一案命名)； At the time of the trial, neither party resided in Hong Kong since H had 及 (b) 是否對受害人及其妻的惱人行為作 moved to Taiwan purportedly for 為激怒背景給予不符比例的關注。 his work, travelling to Hong Kong 裁決 - 駁回申請，除其他事項外： occasionally. W had flown back for the trial. On the eve of the trial, H wrote to 離婚 — 婚姻資產分配品格指引方面，受害人有否作出激怒並 the Court with a medical note from a 一對居於香港的夫婦結束他們17年的不是問題，故Paria 指引並不會對事情有 Hong Kong doctor stating that due to 何幫助，因此原審法官作出的指引是足 heart and blood pressure problems, he 婚姻。分開後，妻子返回瑞典與兩人唯夠的。英國法官在謀殺/激怒案件中就良 would not be able to attend. 一的兒子居住，並於兩年後提出離婚呈請。除了芬蘭籍丈夫的公司（下稱「該好品格和傾向所採用的標準指引並未曾 Held, making ancillary relief orders 改變，而且該標準指引通常向陪審團傳 and ruling that, inter alia: 公司」）及該公司的銀行賬戶，兩人在達一個關鍵信息，就是由於擁有良好品香港並沒有其他資產。 The Court would proceed with the trial 格，被告人無緣無故蓄意殺人的可能性 in the absence of H. There had been 法庭早前裁定，丈夫過往一直是並將繼較低。至於「最後挑舋」指引，原審法 a history of H being tardy and difficult 續是該公司的實益擁有人，並且丈夫擁官以大篇幅講述相關惱人行為，並不會 about disclosure of documents plus in 有的該公司股權的現時價值構成雙方之令陪審團減低對受害人作出激怒行為這 the interest of justice, the Court should 間可作分配的資產一部分。個抗辯理由的重視程度。 press on with matters. H’s medical condition was not acutely serious; if he 在審訊時，雙方均不居於香港，丈夫據 had turned up, the Court would have 稱已因工作關係遷往台灣，只偶爾回 taken frequent breaks. 港。妻子為審訊而返回香港。在審訊前 FAMILY 家庭 Any assets held by C were held on trust 夕，丈夫致函法院，並附上一份由香港 for H who was the beneficial owner 醫生發出的醫療報告，指丈夫因心臟和 SLA neé S v HKL (No. 2) of all of its shares. Following Prest v 血壓問題，將無法出席審訊。 [2013] 5 HKLRD 125 Petrodel Resources Ltd [2013] 3 WLR 1, 裁決 -作出附屬濟助命令，並裁定 District Court the Court was satisfied that C’s assets Matrimonial Causes No 7500 of 2010 were amenable to any order that it made (除其他事項外)： against H in respect of his beneficial Deputy Judge Carlson in Chambers 法院會在丈夫缺席的情況下展開審訊。 ownership of its assets, the company 丈夫在披露文件方面曾有遲緩和不合作 20–22, 26 March, 5, 12, 18 April, 19 being the legal owner of those assets as 的前科，加上為秉行公義，法院應加緊 July 2013 his trustee. Still, it was not open to the Court to say however, that C should have 進程。丈夫的健康狀況並非異常嚴重， Divorce — Distribution of concurrent liability with H for the lump 若他出席審訊，法院會給予頻密的小休 matrimonial assets sum payment which the Court awarded 時間。 to W. This was H’s personal liability. A Hong Kong-based couple ended their 任何由該公司持有的資產，均是以信託 marriage after 17 years. Following the 方式為丈夫持有，而丈夫乃該公司所有 break-up, the wife (“W”) returned to 區域法院股份的實益擁有人。按Prest v Petrodel Sweden to live with the only child of the 婚姻訴訟2010年第7500號 Resources Ltd [2013] 3 WLR 1一案， marriage and filed a divorce petition two 法院信納，由於該公司是以丈夫的受託 years later. There were no assets in Hong 區域法院暫委法官郭靄誠 Kong to speak of save for the Finnish (內庭聆訊) 人身份作為該等資產的法定擁有人，因 husband’s (“H”) company (“C”) and C’s 2013年3月20-22、26日、4月5 此若法院對丈夫於該公司資產的實益擁 bank account. 日、12、18日及7月19日有權作出命令，則該公司的資產將受該

72 www.hk-lawyer.org March 2014 • CASES IN BRIEF 案例撮要

按揭貸款，而被告人亦成為該物業的註命令管轄。不過，法院並不能說該公司 and their father had decided to buy it 冊業主。原告人支付每月的按揭供款，與丈夫應同時承擔法院判給妻子那一整 without P’s involvement. Plus, since P had asked her to assign the title to the 並於1983年提早償還某部分貸款。原告筆款項的法律責任，因此乃丈夫的個人 Property to him in about 1998–1999, the 人自1987年年中，一直與妻子和子女居法律責任。 action was time-barred. 於該物業並支付所有開支，直到2012 Held, giving judgment to P, that, inter 年為止。該物業於2013年初因重建而出 alia: 售。 LAND 土地 On the evidence, there was a common 被告人自1987年後期起亦居於該物業， Liu Wai Keung v Liu Wai Man understanding and intention formed 但她和兒子在1992年遷出並租住另一居 [2013] 5 HKLRD 9 by the family that a property would be 所。2011年，原告人向被告人提出法 purchased, with the down payment Court of First Instance 律程序，指她是以絕對法律構定信託代 to be funded by P’s savings and a High Court Action No 1106 of 2011 他持有該物業。被告人則堅稱出資的是 mortgage loan from the bank on 她，而不是原告人，而且是她和父親決 Godfrey Lam J preferential terms available to D. On 16–19, 22–23 April, 30 September the basis of this understanding and 定購買該物業，原告人並不參與其中， 2013 intention, P financed the purchase 故此該物業屬她所有。此外，原告人約 of the Property and had been in 在1998至1999年曾要求她將該物業的業 Beneficial ownership —common continuous occupation of it and paid 權轉給他，因此有關訴訟已喪失時效。 all outgoings until 2012. Accordingly, P intention constructive trust 裁決 - 判原告人勝訴，除其他事項外： established had altered his position in reliance on the common intention, and it would be 證據顯示，這家庭有一個相同的意圖和 The plaintiff (“P”) and defendant (“D”) unconscionable for D to assert her legal 共識，就是會購買一所物業，首期以 were siblings. P set out that their family title to the Property against him. 原告人的儲蓄支付，並以被告人可向銀 decided in June 1981 to buy a new family home (the “Property”) and agreed P’s action was not time-barred. Where 行取得的特惠條件進行按揭貸款。基於 that P would pay for the purchase and the legal estate was vested in the 此共識和意圖，原告人為購買該物業 the Property would belong to him. P trustee, the relevant property was “in 出資，並一直佔用該物業及支付所有開 gave a large proportion of his salary [his] possession”. He held the legal 支，直到2012年為止。因此，原告人已 estate qua trustee with the equitable to his parents towards this purpose. 基於此共同意圖而改變其立場，而被告 estate being vested in the beneficiary. The Property was then purchased with 人堅稱擁有該物業的法定所有權是不合 a mortgage taken out on preferential 情理的。 terms that were available to D, who 原訟法庭 then worked in a bank; D became the 原告人的訴訟並未喪失時效。凡法律上高等法院民事訴訟2011年第1106 registered owner. P funded the monthly 的產權已歸屬於受託人，則有關物業乃號 mortgage instalments and an early 「由[他]管有」。他以受託人的身份持有 partial repayment of the loan in 1983. 高等法院原訟法庭法官林雲浩法定產業權，而衡平法產權則歸屬於受 From mid-1987, P lived there with his 2013年4月16-19日、22日-23日益人。 wife and their children, and paid all 及9月30日 outgoings until 2012 when the Property was sold for redevelopment in early 實益擁有權 — 確立共同意圖的法 2013. 律構定信託 D had also lived in the Property since For full summaries and judgments, late 1987, but in 1992, she and her son 原告人與被告人為兄妹。原告人表示， please refer to Westlaw and Hong moved out into rented accommodation. 其家人在1981年6月決定購買新的家 Kong Law Reports & Digest at In 2011, P brought proceedings against 庭住所（下稱「該物業」），並且同意 www.westlaw.com.hk D claiming she held the Property on a 由原告人出資購買，而該物業將屬他所就完整的摘要和判決書，請到 constructive trust for him absolutely. D 有。原告人為此把大部分工資給予其父 www.westlaw.com.hk asserted that the Property was hers as 參閱Westlaw及《香港法律彙報與母。被告人當時於銀行工作，於是購買 she, and not P, had funded it, and she 摘錄》。該物業時便以她可取得的特惠條件申請

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CHAN CHUN KIT COMTOIS FRANCIS LEE CHEUK FUNG 陳俊傑 NICKY 李卓峯 FRESHFIELDS BRUCKHAUS DERINGER 富而德律師事務所

CHAN PUI LAM FUNG WAI CHUN LEUNG FU HANG PETER VINCENT 梁富衡陳沛林馮崴駿 YOUNG & CO., CHEUNG & CO., ROWDGET W. KELVIN 楊振文律師行張嘉偉律師事務所

CHANG KWOK WEI GAN LIU LI JIA WILLIAM 甘柳李佳張國威

LI & PARTNERS 李偉斌律師行

CHIU HANG KATY HUYNH WILLIAM LIN K Y BENJAMIN 趙珩黃國威林耕宇 DAVIS POLK & WARDWELL

CHUNG GARRICK KAM WAN KEI NG WING YIN BARRY 甘韞琦 CLAUDIA 鍾嘉偉 CLIFFORD 伍穎姸 CHANCE FRESHFIELDS 高偉紳律師行 BRUCKHAUS DERINGER 富而德律師事務所

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POON WING KI CHAN ADALIA CELESTE LEUNG PUI HANG 潘穎琪陳汶軒梁珮珩 STEPHENSON CHAU & CO., K.B. HOWSE WILLIAMS BOWERS HARWOOD 周啟邦律師事務所何韋鮑律師行羅夏信律師事務所 CHAN KA YING KAREN LEUNG SUET YING RACHEL 陳家盈梁雪凝 ALLEN & OVERY ALLEN & OVERY 安理國際律師事務所安理國際律師事務所

TSANG CHEUK CHAN HOI NAM STEPHEN LI WAI TAK JANE CHI 陳凱南李慧德曾卓之 CHAN WAI TUNG LO KAI FUNG CALVIN 陳煒彤羅啟 CLIFFORD CHANCE 高偉紳律師行 LO SUET WING CHERYL 勞雪穎 CHAN YEE TING 陳苡婷 MAK YAN KEI TSAO JIN WEI 麥昕琦 CHRISTOPHER CLIFFORD CHANCE KIRKLAND & ELLIS 曹晉瑋高偉紳律師行凱易律師事務所 BAKER & MCKEN- HO HOI FAI ZIE 何海輝 MORRIS HELEN ALEXANDRA 貝克‧ 麥堅時律師 NAKAI MASAYUKI 事務所 HO KIT YING SALLY 中井雅之何潔盈 LEE ROBERT LAW OFFICES YUNG, YU, YUEN & CO. WANG LUYING 翁余阮律師行李慕白律師事務所 STACEY NG HONG JING BRIAN 王露影 HO PO WAN 何寶雲吳康政

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WONG CHUK KWUN LAI TING KWAN CHARLES NG WING CHONG CYNTHIA JACQUELYN 雷霆鈞伍穎莊黃筑筠 FRESHFIELDS BRUCKHAUS DERINGER DEACONS LAU SZE YAN ALLISON 富而德律師事務所的近律師行劉斯欣 SHI CHAO LAU KAREN 施超劉珈綸 CLIFFORD CHANCE STEPHENSON HARWOOD 高偉紳律師行羅夏信律師事務所 YIP WILLIAM SUEN KAI HON SAMSON 葉劍廉 LAU SI WING CINDY 孫棨漢 ALLEN & OVERY 劉思穎 TAM WING SEE 安理國際律師事務所 BAKER & MCKENZIE 譚穎思貝克‧ 麥堅時律師事務所 BIRD & BIRD LEE HO YI 鴻鵠律師事務所李皓怡

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TONG KAI YIN JAMES 唐啟賢 Partnerships and Firms changes received as from 1 January 2014 CLIFFORD CHANCE 合夥人及律師行變動取自2014年1月1日起香港律師會所提供之最新資料高偉紳律師行

WONG HON YAN LORRAINE 王瀚恩 • CHAN KAM SHING • CHEUNG CHUN PUN ceased to be a consultant of became a partner of Orrick, Herrington & WONG CHEUK CHUN RICHMOND Donald Yap, Cheng & Kong as Sutcliffe as from 31/01/2014. 黃卓雋 from 15/01/2014, and commenced 張俊斌 practice as the sole practitioner in the 自2014年1月31日成為奧睿律師事務所合 WONG TSIT WENDY name of Gilbert Chan & Co., Lawyers 黃婕夥人。 as from 16/01/2014. WONG YAT LAM 陳錦成 • CHIU CHI KONG 黃逸琳自2014年1月15日辭去葉鄭江律師行顧 ceased to be a partner of Li & Partners STEPHENSON HARWOOD 問一職，並於2014年1月16日獨資經營 as from 28/01/2014. 羅夏信律師事務所陳錦成律師事務所。趙志剛自2014年1月28日辭去李偉斌律師行合夥 WU WEIJING • CHAN KIN TIN 人一職。吳偉靜 commenced practice as the sole practitioner of K.T. Chan & Co. as • CHU CHING MAN ROSSANA XU HUICHAO from 10/01/2014 and ceased to joined Troutman Sanders as a partner as 徐慧超 be a consultant of Christine Tsang from 13/01/2014. STEPHENSON HARWOOD and Company, Solicitors as from 朱靜文羅夏信律師事務所 30/01/2014 自2014年1月13日成為長盛國際律師事務陳建田 YAN WING TUNG 所合夥人。甄穎彤自2014年1月10日獨資經營陳建田律師 • CHU DAVID CHARLES LINKLATERS 行，並於2014年1月30日辭去曾少英律 ceased to be a partner of Dechert as 年利達律師事務所師事務所顧問一職。 from 23/01/2014, and joined Proskauer YAU YIU SHUN ERWIN • CHAN SIU WING SELWYN Rose as a partner as from 24/01/2014. 邱耀信 ceased to be a partner of Alan Lam, 朱卓偉 DAVIS POLK & WARDWELL Yam & Pe as from 10/02/2014. 自2014年1月23日辭去德杰律師事務所合陳兆榮夥人一職，並於2014年1月24日加入普洛 YIM HO 自2014年2月10日辭去林、任、白律師思律師事務所成為合夥人。嚴灝行合夥人一職。 ALLEN & OVERY • CHU WEN MAN KATHERINE 安理國際律師事務所 • CHAN WAI LING joined Henry H.C. Wong & Co. as a became a partner of Winnie Leung & partner as from 05/02/2014. YIP CHUN WAH Co. as from 13/01/2014. 葉振華朱蘊雯陳慧齡 CLIFFORD CHANCE 自2014年2月5日加入黃浩翔律師行為合夥高偉紳律師行自2014年1月13日成為梁鳳慈律師行合人。夥人。 YIU CHI MUN OLIVIA • CHUI KA YIN 姚智敏 • CHAN YUK FAI ceased to be a partner of Robin Bridge & ALLEN & OVERY commenced practice as the John Liu as from 25/01/2014. 安理國際律師事務所 sole practitioner in the name of 趙家妍 Brian Chan & Associates as from 自2014年1月25日辭去喬立本廖依敏律師 YU SIU WAN 09/01/2014. 行合夥人一職。余小雲陳旭輝 TSUN & PARTNERS 自2014年1月9日獨資經營陳旭輝律師 • DE’ATH LISA JOANNE 秦覺忠律師行行。 ceased to be a partner of Howse Williams Bowers as from 01/02/2014. ZHOU XIAOLIN 自2014年2月1日辭去何韋鮑律師行合夥人周曉琳一職。

76 www.hk-lawyer.org March 2014 • PROFESSIONAL MOVES 會員動向

• FAIRBAIRN MARK GERARD • LEUNG HO YAN • SILLI REBECCA ceased to be a partner of O’Melveny & joined Robin Bridge & John Liu as a joined Minter Ellison as a partner as Myers as from 23/01/2014, and joined partner as from 10/02/2014. from 06/01/2014. DLA Piper Hong Kong as a partner as 梁可欣自2014年1月6日加入銘德律師事務所為 from 24/01/2014. 自2014年2月10日加入喬立本廖依敏律合夥人。自2014年1月23日辭去美邁斯律師事務師行為合夥人。所合夥人一職，並於2014年1月24日加入歐華律師事務所為合夥人。 • LEUNG SZE MAN ANITA • TANG MOON HEY joined John C H Suen & Co as a ceased to be a partner of Wong • GU RENFANG partner as from 29/01/2014. & Tang as from 05/02/2014, and joined Fitzgerald Lawyers as a partner 梁思敏 commenced practice as the sole as from 02/01/2014. practitioner in the name of M.H. Tang 自2014年1月29日加入JOHN C H 顧仁芳 & Co. on the same day. SUEN & CO為合夥人。自2014年1月2日加入德龍律師事務所合鄧滿喜夥人。 • MAK LAI CHUN PRUDENCE 自2014年2月5日辭去王鄧律師事務所合 joined Henry H.C. Wong & Co. as a 夥人一職，並於同日獨資經營鄧滿喜律 • HEATON GREGORY TAVIS partner as from 05/02/2014. 師事務所。 joined K&L Gates as a partner as from 麥麗春 17/01/2014. • TEH KAREENA POH GAIK 自2014年2月5日加入黃浩翔律師行為合自2014年1月17日加入高蓋茨律師事務 ceased to be a partner of Baker & 夥人。所為合夥人。 McKenzie as from 25/01/2014, and • MC DAID JAMES DECLAN joined Dechert as a partner as from • KWAN SUET MAN ceased to be a partner of Deacons as 27/01/2014. became a partner of Chung & Kwan as from 01/02/2014. 自2014年1月25日辭去貝克‧ 麥堅時律 from 01/01/2014. 馬德能師事務所合夥人一職，並於2014年1月關雪雯 27日加入德杰律師事務所為合夥人。自2014年2月1日辭去的近律師行合夥人自2014年1月1日成為鍾沛林律師行合夥一職。人。 • WALLACE JULIAN RICHARD became a partner of Kennedys as from • MOORE JOHN DOUGLAS • LAM BIK KWAN MARGARET 24/01/2014. ceased to be a partner of Morrison ceased to be a partner of Szwina 華祖蔭 & Foerster as from 31/01/2014, and Pang, Edward Li & Company as from joined Slaughter and May as a partner 自2014年1月24日成為肯尼狄律師行為 31/01/2014, and joined Winnie Mak, as from 10/02/2014. 合夥人。 Chan & Yeung as a partner as from 莫德華 07/02/2014. • WANG PENG 林碧君自2014年1月31日辭去美富律師事務所 became a partner of Shearman & 合夥人一職，並於2014年2月10日加入自2014年1月31日辭去李國強、彭書幗 Sterling as from 06/02/2014. 司力達律師樓為合夥人。律師行合夥人一職，並於2014年2月7日王鵬加入麥陳楊律師事務所為合夥人。 • PARSONS MARK DAVID RICHARD 自2014年2月6日成為謝爾曼‧思特靈律 ceased to be a partner of Freshfields 師事務所為合夥人。 • LAM KING HO HOWARD Bruckhaus Deringer as from ceased to be a partner of Freshfields 01/02/2014, and joined Hogan Lovells Bruckhaus Deringer as from as a partner as from 10/02/2014. 18/01/2014, and became a partner 自2014年2月1日辭去富而德律師事務所 of Latham & Watkins as from 合夥人一職，並於2014年2月10日加入 01/02/2014. 霍金路偉律師行為合夥人。林敬豪自2014年1月18日辭去富而德律師事務 • ROMPOTIS PHILLIP 所合夥人一職，並於2014年2月1日成為 became a partner of Stephenson 瑞生國際律師事務所合夥人。 Harwood as from 28/01/2014. 龍菲臘自2014年1月28日成為羅夏信律師事務所合夥人。

www.hk-lawyer.org 77 • March 2014

“When we’re connected to others, we become better people.” Randy Pausch, The Last Lecture 「唯與人聯繫，方能進步。」摘自Randy Pausch 的《最後的演講》

78 www.hk-lawyer.org March 2014 • ASIDE 隨筆

The mentorship programme “Connected”, rolled out by the Young Solicitors’ Group of The Law Society of Hong Kong, aims to promote communications and ties among senior practitioners, junior practitioners and trainee solicitors. Winchester Chan and his group demonstrate how the programme allows them to build up friendships and promote idea exchanges between practitioners of different generations.

he “Connected” programme held group – in which members are free Tfive events since April 2013 - the to express their views on current kick-off indoor Snowsports event in affairs, announce new events or raise April, a wine-tasting event in July, a any questions. For example, buddies macaron baking event in October, a would advise mentees who completed tour of Sha Tau Kok in November their training contracts on the and the closing Bowling event in preparation for their admission papers January 2014. and how to sail through the difficult times as newly-qualified solicitors. Group 6 members, in particular their From left: Mentee Simon, Mentor Winchester and Winchester, as mentor, also provides mentor, Winchester Chan, actively Buddy Jeff at the Sha Tau Kok Tour in November. tips to fellow buddies and mentees 左起︰學員李超亮實習律師、良師陳永泉律師及益友 participated in all of them. In the on how to brush up on advocacy skills 陳平生律師在11月舉行的沙頭角之旅合照。 kick-off event when all 10 members and legal knowledge. Mentees and were present, Group 6 enjoyed the buddies recall that in one gathering, opportunity to mingle with each other Winchester brought for the group a and plan their next immediate group copy of Justitia, the University of Hong event – a dim sum lunch, in May 2013, Kong Law Association Review for the for individuals in the group to learn year 1972 – 1973, with contributions of more about one another. reputable legal practitioners such as Apart from meeting at the Sir TL Yang (the former Chief Justice “Connected” events, Group 6 had of Hong Kong from 1988 - 1996), monthly gatherings and would even Professor Evans (then Head of the organise birthday parties for fellow University of Hong Kong Faculty of group members. In August, Group 6 Law), Mr. Justice Ribeiro, Mr. Justice celebrated the birthdays of mentor Peter Cheung and Mr. Justice Patrick Winchester and mentee, Simon, at the Chan etc. Young members were taken Law Society Clubhouse. In December on a journey into the elite minds of the they organised a Christmas Party where legal profession, which was indeed members from other groups were an eye-opening experience for all invited as well. And in January, Group involved! Having a Chinese New Year Celebration Dinner on 15 6 had a dinner to celebrate the Chinese Though “Connected 2013 – 14” has come January 2014. New Year. 2014年1月15日的團年晚宴。 to a close, Group 6 members still meet Aside from gatherings, Group 6 regularly, sustaining their friendship, members keep themselves connected exchanging ideas and promoting the with one another via their Whatsapp spirit of being “Connected”. n

www.hk-lawyer.org 79 • March 2014

由香港律師會年青律師組推出的「法友聯盟」師友計劃，旨在促進資深律師、初級律師和實習律師之間的溝通和聯繫。陳永泉律師一組正好說明這計劃如何讓不同年齡層的執業者建立友誼及促進交流。

2013年4月起，「法友聯盟」除了聚會，第六組組員亦透過首席法官）、Evans教授（時任香港大學自計劃舉辦了五項活動，包括4月 WhatsApp群組保持緊密聯繫。各人可法律學院院長）、李義法官、張澤祐法的室內雪地運動啟動禮、7月的品酒活以在群組中自由表達對時事的看法、公官和陳兆愷法官等。這書不但帶領年青動、10月的馬卡龍烘焙班、11月的沙頭布新活動或提出任何問題。舉例，益友組員走進法律界頂尖智者的思維，更令角之旅，以及2014年1月的閉幕保齡球會向完成實習期的組員就如何準備認許所有組員大開眼界！活動。文件提供意見，亦會提點剛獲認許的律雖然「法友聯盟2013-14」已告一段師如何克服各種困難。而身為良師的第六組表現非常踴躍，尤其良師陳永泉落，第六組各人仍然定期聚首，不忘維陳永泉律師亦會教授各益友和學員如何律師，五項活動皆有參加。啟動禮上，繫友誼、互相交流及推廣「法友聯盟」提升訟辯技巧及增進法律知識。各益第六組全數十名組員均有出席，他們不的精神。 n 友和學員猶記得，陳永泉律師在某次聚但趁機相互認識，更計劃於2013年5月會上，為組員帶來一部1972年至1973 舉辦點心午餐聚會作為下一次活動，讓年的《Justitia: 組員互相加深了解。 the University 除了在「法友聯盟」的活動上聚首，第 of Hong Kong 六組每月皆舉行聚會，甚至會為同組成 Law Association 員籌辦生日派對。去年8月，第六組為良 Review》，書中撰師陳永泉律師和學員李超亮實習律師在文者均為聲望卓越律師會會所慶祝生日。另外，他們在12 的法律界人士，包括月舉辦聖誕派對，其他小組的成員亦獲楊鐵樑爵士（1988 邀參加。而本年1月，第六組各人一起共年至1996年前香港晉晚宴，歡度團年。

Opening Dim Sum Lunch, 16 May 2013. 2013年5月16日舉行首次點心午餐聚會。

Baking macarons in October. 10月的馬卡龍烘焙班。

Celebrating the birthday of mentor Winchester Chan and buddy Simon Lee at the Law Society Clubhouse. 於去年8月為良師陳永泉律師和學員李超亮實習律師在律師會會所慶祝生日。 80 www.hk-lawyer.org March 2014 • ASIDE 隨筆

Cherry Sim On KareN Nic JoEy Carol WinchesTer

An illustration of the word JEff “CONNECTED” containing the names of all 10 members of Group 6. 第6組十名組員全部的英文名字組成 Edmon Dennis 「法友聯盟」的英文「Connected」。

Comments from members of Group 6: 第六組組員的後感： “Everyone in Group 6 is active, enthusiastic, responsive, helpful and 「第六組每位組員都非常積極、熱情、踴躍、樂於助 caring for each other. Also everyone is ready and willing to solve 人和關心對方。此外，大家都樂意為對方解決問題。 problems with each other. We are truly a ‘Connected’ group!” 我們確實結成一個「法友聯盟」！」

- Winchester Chan, Mentor - 良師陳永泉律師 “Our group is more like a family. We had monthly gatherings to 「我們這一組像個大家庭，每月都舉行聚會為組員慶 celebrate group members’ birthdays. They were warm and sweet 祝生日。聚會氣氛既溫馨又熱鬧，我們在輕鬆的環境 gatherings in which we could share our views in a casual way and 下互抒己見，而且歡笑聲不絕於耳。每次聚首皆盡興 had lots of fun. We had a wonderful time together!” 而歸！」

- Carol Yao, Buddy - 益友姚瑤律師

“What makes this group special and successful is that everyone is 「大家都熱衷參與...... （亦）主動籌劃和付諸實行，這 willing to participate, …(and to) take the initiative to plan and make 些正是這一組的特別之處，亦是賴以成功的因素。」 things happen.” - Dennis Lee, Mentee - 學員李銘尉實習律師

Members of Group 6: 第六組組員： Mentor: Winchester Chan 良師：陳永泉律師 Buddies: Carol Yao, Edmond Lai, Jeff Chan 益友：姚瑤律師、賴汶徽律師、陳平生律師 Mentees: Cherry Ho, Dennis Lee, Joey Wong, Karen Lam, Nic Yau, 學員：何宛螢實習律師、李銘尉實習律師、黃祖詒 Simon Lee 律師、林詩琪律師、邱啟雄實習律師、李超亮實習律師

www.hk-lawyer.org 81 • March 2014 CAMPUS VOICES 法學院新聞

Chinese Law Reform 香港律師會與城大合辦中國司 seminar co-organised by 法改革研討會 The Law Society of Hong Kong and CityU 2014年1月16日，香港律師會與香港城市大學(下稱「城大」)聯合舉辦「中 On 16 January 2014, the Chinese 國司法改革」研討會。研討會由城大法 Law Reform seminar was held by the Law Society of Hong Kong 律學院中國法與比較法講座教授暨城大 and City University of Hong 司法教育與研究中心主任王貴國教授， Kong (“CityU”). It was chaired 連同香港律師會大中華法律事務委員會 by Professor Wang Guiguo, 副主席黃江天律師主持。 Chair Professor of Chinese and Comparative Law, CityU Law 會上先由王教授介紹研討會的三位演 School, and the Director of Centre 講嘉賓，包括吉林省高級人民法院副院 for Judicial Education and Research, 長呂岩峰、青海省高級人民法院政治部 CityU; as well as Mr. James Wong, 主任羅鵬先及四川省高級人民法院研究 Vice Chairman of Greater China Legal Affairs Committee of the Law 室主任羅登亮，他們同為第八屆中國高 Society of Hong Kong. 級法官研修班的學員。王教授表示，這

Prof. Wang first introduced the 幾位內地高級法官除了具備豐富司法經 guest speakers, who were also 驗，亦對中國法律問題有深入研究，能 participants in the 8th Chinese 夠邀得他們與香港律師共同探討法律問 Senior Judges Programme. They 題，實屬非常難得。 were Mr. Lu Yanfeng, Deputy President of the Supreme People’s Court of Jilin out that the crux of legal trial lies 首位發表演講的是呂副院長，題目是 Province; Mr. Luo Pengxian, Political with the judges: it is important for 《提高司法公信力的若干思考》。他指 them to have the ability to judge Officer of the Supreme People’s Court 出司法審判的關鍵是法官，法官必須具 of Qinghai Province; and Mr. Luo fairly. Mr. Luo Pengxian then shared 備公正判案的能力。其後由羅鵬先主任 Dengliang, Research Officer of the his experience at the Supreme 分享在青海高級人民法院政治部的工作 Supreme People’s Court of Sichuan People’s Court of Qinghai Province, Province. Prof. Wang said that they not while explaining the significance 經驗，並講解保障法律獨立對推動國家 only have ample experience in legal of protecting the independence of 發展的重大意義。第三位講者羅登亮主 law in national development. Mr. Luo practice, but also possess extensive 任與大家回顧內地人民陪審制度自上世 Dengliang delineated the historical knowledge in Chinese legal problems. 紀初至今的發展史，並指出國家的司法 This made the event a rare opportunity development of the people’s jury system 改革除了應加強法官在法律實務方面的 for Hong Kong lawyers to discuss and since the beginning of last century in analyse issues with such three senior China, and urged that the country’s 專業能力，亦應擴大人民陪審制度的實 Chinese judges. judicial reform should enhance the 際職能。 practical function of the public jury, Mr. Lu spoke on “Some Thoughts on while concurrently strengthening the Enhancing Legal Credibility”, pointing professionalism of judges.

82 www.hk-lawyer.org March 2014 • CAMPUS VOICES 法學院新聞

HKU to host “Obligations Hong Kong Law Society Continuing VII Conference” in July Professional Development (“CPD”) Accreditation: we intend to apply for The Faculty of Law at the University CPD accreditation; further information of Hong Kong (“HKU”), in conjunction will be available in March. with Melbourne Law School, will host the “Obligations VII Conference” at 港大將於七月主辦 the University of Hong Kong from 「債權法研討會之第七部」 15–18 July 2014. “Obligations VII” is the seventh in a series of international 香港大學法律學院(下稱「港大」)將與 biennial conferences on the law of 墨爾本法律學院於2014年7月15至18 obligations, which bring together 日假香港大學攜手主辦「債權法研討 scholars, judges and practitioners from 會之第七部」。這個國際研討會系列 throughout the common law world. The series has become the leading 的主題為債權法，每兩年舉行一次， international forum for discussion 匯聚全球的普通法學者、法官和執業 between scholars and practitioners in 者，本屆已是系列中的第七部。這個 the field. 研討會系列已成為此領域學者和執業 Over 100 papers will be delivered 者進行交流的頂尖國際論壇。 at the conference. The theme of the 本屆的主題是債權法在各普通法司法 conference will be divergence and convergence in the law of obligations 管轄區的分歧和融合，將有過百篇論文 in various common law jurisdictions. 在會上發表。對主要債權法領域(如合 Of particular interest to practitioners 約法、侵權法、衡平法和復還法等)的 will be the many papers that contain 普通法原則進行分析的論文，應該會 analyses of common law doctrine in key 令執業者尤感興趣。 areas of the law of obligations, such as contract, torts, equity and restitution. 是次研討會的主講嘉賓包括：牛津大 Keynote addresses will be delivered 學Andrew Burrows教授、新西蘭首席 by Professor Andrew Burrows, The 法官Dame Sian Elias女士、墨爾本大 University of Oxford; Mdm. Justice 學及前澳洲聯邦法院法官Paul Finn先 Dame Sian Elias, Chief Justice of New 生、香港終審法院法官梅師賢先生、 Zealand; Mr. Justice Paul Finn, The 香港終審法院法官李義先生、牛津 University of Melbourne; former judge 大學Robert Stevens教授及劍橋大學 of the Federal Court of Australia; Mr. Justice Sir Anthony Mason, Hong Kong Sarah Worthington教授。 Court of Final Appeal; Mr. Justice 如欲了解研討會的詳情或報名，請 Robert Ribeiro, Hong Kong Court of 參閱以下網址：www.law.hku.hk/ Final Appeal; Professor Robert Stevens, The University of Oxford; and Professor obligationsvii/ 。 Sarah Worthington, The University of 香港律師會專業進修計劃認可：我們 Cambridge. 計劃申請專業進修計劃認可，詳情將 For further information and to register, 於三月公布。 please go to www.law.hku.hk/ obligationsvii/.

www.hk-lawyer.org 83 • March 2014 THE LAST WORD 趣聞

Quirky points of law courtesy of Westlaw’s 另類法律的新奇觀點（摘錄自Westlaw Headnote of the Day 的每日案例提要） Do note that these are offered as a diversion and may not necessarily 注意：以下內容純供消遣，所提及的未必是有效法律。 be good law: 1. 即使賭船至少有九成時間停泊於碼頭...... ，其操作船 1. Members of operating crew of gambling boat were “seamen” within 員仍然屬於海員豁免中所指的「海員」。 meaning of seaman’s exemption…, even though boat spent at least 90% of its time moored to a pier. Harkins v. Riverboat Servs., Inc., 385 F.3d 1099 (7th Cir. 2004) Harkins v. Riverboat Servs., Inc., 385 F.3d 1099 (7th Cir. 2004)

2. Courts in viewing antenuptial contracts will not invariably begin 2. 法庭審視婚前協議時，不會總是一開始便意識到， with realisation that between persons in the prematrimonial state 處於婚前狀況的兩人之間，有一種神秘保密的關係 there is a mystical, confidential relationship which anesthetises the 令女方失去判斷力。 senses of the female partner. Potter v. Collin, 321 So. 2d 128 (Fla. Dist. Ct. Potter v. Collin, 321 So. 2d 128 (Fla. Dist. Ct. App. 1975) App. 1975)

3. Where husband regularly delivered his weekly pay check to wife, 3. 如丈夫定期每周把工資交予妻子，妻子把丈夫的工 who used money together with her own earnings and deposited 資與自己的收入同使用，並把當中的儲蓄存入她的 savings therefrom in her individual account, and wife conducted all 個人賬戶中，而且妻子為夫婦二人處理所有業務往 business dealings of couple and took realty and personal property 來，並把二人的房產和私人財產收歸自己名下，則 of parties in her own name, wife’s alleged domineering conduct was 這些由妻子作出的涉嫌跋扈行為是獲丈夫默許的， acquiesced in by husband and did not constitute cruel and inhuman treatment. 因此不構成殘忍和不人道待遇。 Hannan v. Hannan, 256 S.W.2d 485 (Ky. 1953) Hannan v. Hannan, 256 S.W.2d 485 (Ky. 1953)

We are constantly on the look-out for original humour or snippets of interest involving lawyers in Hong Kong, be it in the workplace or outside of it. Simply write in to the editor ([email protected]) when you come across one of these and watch people around you go: “How did they know that?” We promise anonymity. 我們一直在尋找關於香港律師們職場內外的原創幽默或佚事。如果你遇到了這樣的事，請直接發郵件給編輯（[email protected]），並且留意周圍的人說：“他們怎麼會知道的？”我們保證匿名。

For full Reuters reports, please visit reuters.com 如欲查閱路透社的完整報導，請瀏覽reuters.com

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LEGAL MARKET 職場資訊

Compliance: an alternative land of promise for the modern day lawyer 合規行業： By Oliver Allcock, Manager, Legal & Compliance Division 現今律師的另一選擇 Robert Walters 作者法律與合規部經理Oliver Allcock 華德士 Compliance In terms of hiring 2013 was all about compliance. Strict headcount 企業合規部門 freezes in the legal market meant vacancies for lawyers were primarily 就招聘而言，2013年是合規行業的世界。法律市場凍結 restricted to new business launches and replacement staff. In contrast, 人手，意味著適合律師的空缺來源主要限於企業推出新業 hiring managers looking for compliance professionals had far more 務和填補離職空缺。相比之下，由於證券及期貨事務監察 freedom due to strict regulatory requirements by the Securities and 委員會及香港金融管理局的監管要求愈見嚴格，招聘部門 Futures Commission and Hong Kong Monetary Authority creating a 主管在尋找合規專才上有更大自由度，市場對能夠為企業 highly-competitive market for professionals who could add value. 增值的專才競爭非常激烈。 We have seen many lawyers tackle this drought of options in the traditional legal sector by moving into compliance roles where 在傳統法律業界缺乏職位空缺的情況下，我們見到不少 they can gain commercial in-house experience. In the long term 律師投身合規行業，藉以在商業機構中獲取內部經驗。然 however, they may find it challenging to move back into a purely 而，長遠而言，他們將來若要重返純法律的環境中並不容 legal environment although this will help to address the current short 易，不過這將有助於解決目前市場上缺乏具質素合規專才 supply of quality compliance professionals. There is no doubt that they will have further options within the compliance industry in the future 的問題。毫無疑問，他們將來在合規行業內會會有更多選 as the market shows no signs of slowing growth. 擇，因為這行業的前景將持續向好。

Compliance growth was not only restricted to financial services but 合規行業的增長不限於金融服務界，一般貿易和行業亦出 has also sparked a hiring spurt within general commerce and industry, 現招聘潮，但合規方面的技能通常與「法律顧問」或「公 albeit these skills are usually combined into the “legal counsel” 司秘書」合併為一個職位。另一個最有可能需要合規或「 or “company secretary” roles. Industry areas most likely to require compliance or “regulatory affairs” professionals are healthcare and 監管事務」專才的行業，是醫療保健和製藥。 pharmaceuticals. 隨著全球經濟形勢好轉，加上有更多的新企業投向亞洲， As the global economic situation improves and more new businesses 我們預計2014年招聘情況將有所改善。由於所有行業均 move into the region we anticipate increased recruitment in 2014. 面臨日益嚴峻的監管，合規行業將繼續作為帶動招聘市場 Compliance will continue to be the main driver of movement as 的主力。市場對投資銀行的高級合規專才將繼續有特別大 all industry sectors face increasing regulatory pressure. Senior compliance professionals from investment banks will continue to be in 的需求，從銀行業巨頭渣打銀行、匯豐銀行和摩根大通 particularly strong demand, as shown by the bullish plans of banking 對前景所抱的樂觀態度便可知一二。儘管市場上求職者相 giants Standard Chartered Bank, HSBC and JPMorgan. Despite the 對匱乏，但這些機構已下定決心擴充合規部門及避免被罰 relative scarcity of candidates these businesses are determined to 款，因近年金融機構被罰款的情況相當常見。 expand their compliance functions and avoid punishing fines that have been a common sight in recent years. 企業內部 In-House 對於企業法律部的市場，今年將繼續嚴格凍結人手。企 For the in-house legal market, headcount will remain heavily 業希望覓得的人才能夠在多方面為公司增值，因此若律師 restricted this year, so lawyers with a broad background and strong 的職業背景廣泛並具有跨司法管轄區交易的豐富經驗，將

86 www.hk-lawyer.org March 2014 • LEGAL MARKET 職場資訊

multi-jurisdictional transactional experience will be hired quickest as 很快獲錄用。如求職者能夠展示他們有發展廣泛法律 companies seek talent who can add value in multiple ways. Ambition 技能而非專門於某種產品的志向和意願，僱主會認為 and willingness to develop general legal skills, away from the product 他們有能力處理特如其來的事務和項目，因而較為可 specific model, will make applicants more employable as they are seen 取。 to be able to deal with ad-hoc matters and projects. In-house hiring continues to be driven by the luxury, retail and apparel 企業內部的招聘繼續由奢侈品、零售和服裝行業帶 sectors. Profiles in demand are for junior to mid senior corporate / 動。目前市場需要的是初級至中高級的公司/商業律 commercial lawyers, especially with leasing, tenancy and conveyancing 師，以具有租賃及轉讓經驗的人才尤甚。市場對法律 experience. Paralegals are also in demand for drafting and reviewing 輔助人員亦有需求，以處理草擬和審閱簡單商業合約 simple commercial contracts. Chinese conglomerates have been seeking 的工作。由於中資集團計劃在中國市場積極擴展，故 senior lawyers with skills across corporate / commercial, compliance and company secretarial as they plan to expand aggressively in the PRC 一直在尋找集公司/商業、合規及公司秘書各技能於一 market. 身的資深律師。

The recent recovery in the IPO market has led to a surge in company 近期復甦的新股市場，令金融服務和一般行業的公司 secretarial hiring, both for financial services and general industry. The 秘書職位激增。求職者通常需通曉中文及具備HKICS( usual requirement here is for candidates to have Chinese language skills 香港特許秘書公會)/ICSA(英國特許秘書及行政人員公 and be HKICS (Hong Kong Institute of Chartered Secretaries) / ICSA (Institute of Chartered Secretaries and Administrators) qualified with 會)的資格，並且擁有上市公司方面的經驗。 prior experience dealing with listed companies. 金融服務的招聘方面，專於新股上市 /併購的公司律師 In terms of financial services hiring it is still challenging for IPO / M&A 若要投身企業的法律部門仍然甚具挑戰，原因非常簡 corporate lawyers to move in-house, simply due to the fact that financial 單，就是金融服務機構將大部份工作外判予律師事務 services businesses outsource the majority of this work to the law firms. 所。香港這個平台持續吸引新的對沖基金、資產管理 The skills most in demand are regulatory, funds, derivatives, general commercial and litigation, buoyed by the continued attractive platform 公司及私人銀行，故這行業最需要的是監管、基金、 Hong Kong provides to new hedge funds, asset managers and private 衍生工具、一般商業及訴訟方面的技能。私募股權投 banks. Private equity represents a more niche market but one that will 資是個具優勢的市場，將緊隨新股上市復甦而來臨。 follow the IPO recovery. 私人執業 Private Practice 律師行的招聘職位在2013年將繼續集中於企業併購/ Law firms will continue, as in 2013, focusing on corporate M&A / IPO, 新股上市、一般銀行事務、訴訟和一般商業事務方 general banking, litigation and general commercial hiring. There has been demand across the board, with magic and silver circle firms, 面。無論是英國的五大及其他大型律師行、美國小型 US and boutique and local firms all competing for those with strong 律師行及本地律師行，全都在爭相聘請具有優秀學歷 education and a stable background. Some of the largest firms are 及工作背景穩定的人才。有些大型律師行日漸樂意僱 increasingly open to commonwealth qualified lawyers who also have 用在英聯邦國家取得資格、曾受聘於美國律師行、抱 experience in US law firms, embracing the strong work ethic and 有強烈職業道德及具備商業方面技能的律師。這市場 commercial skill-set this instils. Relocating Chinese speakers remains also high in demand, with Mandarin required for approximately 90% of 對調遷通曉中文的人才仍然有很高的需求，約九成職 roles. 位須暗普通話。

Where possible though, companies will look internally and train existing 然而，如可行的話，企業在擴充團隊之前，會先在內 staff to absorb new responsibilities before expanding their teams. 部尋找現職員工，並加以培訓以肩負起新的職務。由 International mobility and the opportunity to expand current skill sets 於豐厚的花紅不再，調派外地及發展現有技能是目前 are now key retention policies as bonuses become less dependable. 挽留員工的關鍵。 As organisations continue to focus on cost-control and consolidation, salaries are unlikely to move significantly in 2014. Instead, hiring 機構的焦點繼續放在控制成本和整合上，因此2014年 managers should focus on retaining their current staff and attracting 薪金方面未必會有顯著升幅。相反，招聘部門主管應 potential job movers by promoting internal career progression and 以促進內部晉升及提供培訓機會，挽留現職人才及吸 training prospects. The only people likely to command substantial 引準轉職者。唯一大有可能獲大幅加薪或豐厚花紅的 pay rises or bonuses are experienced compliance professionals (~20- 25% increment), with the legal market looking at 5-15% increment 是資深合規專才(增幅約20-25%)，但法律市場上的新 for a new role. 職位約為5-15%增幅。

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Candidateslaw firms wouldwho havebe highly experience regarded. with You leading must withstrong a good experience understanding in DCM, of ECMregulatory and M&Amatters. transactions, You must Chinese.Ref: H2044920 Candidates based in Hong Kong are preferred. Ref:Candidate H1958890 must also be proficient in English and Chinese. Travellingis required. is involved You will in be this proficient role. Ref: in H2122230 English and Chinese. proficientrelated work in onEnglish a regional and Chinese.or internationalRef: H2074210 level. You will be beinternational proficient law in Englishfirms andwould Chinese. be highly Ref: regarded. H2093890 You must bewith proficient a good understanding in English and of Chinese. regulatoryRef: matters. H2117110 You must Ref: H2044920 Ref: H1958890 Travelling is involved in this role. Ref: H2122230 proficient in English and Chinese.Ref: H2074210 be proficient in English and Chinese. Ref: H2093890 be proficient in English and Chinese.Ref: H2117110

Finance Associate M&A Lawyer Legal Counsel Senior Counsel Derivatives & ISDA Lawyer Senior Counsel Finance Associate M&A Lawyer Legal Counsel Senior Counsel Derivatives & ISDA Lawyer Senior Counsel › 1 – 4 Years PQE › 3 – 5 Years PQE › 3 – 5 Years PQE › 10+ Years PQE › 6+ Years PQE › 8+ Years PQE › Magic1 – 4 Years Circle PQE Firm › Top-tier3 – 5 Years US PQELaw Firm › Hong3 – 5 YearsKong ListedPQE Conglomerate › Multinational10+ Years PQE Corporation › Top6+ Years Tier Financial PQE Institution › Leading8+ Years US PQE Financial Institution › Magic Circle Firm › Top-tier US Law Firm › Hong Kong Listed Conglomerate › Multinational Corporation › Top Tier Financial Institution › Leading US Financial Institution A prestigious magic circle firm is looking for a finance A renowned U.S. law firm is looking for a M&A specialist As a Legal Counsel working closely with the Senior Legal Taking on an independent senior legal counsel role with this Joining an extremely reputable financial institution, you Taking on a senior role within an established team, you associateA prestigious to join magic their circle banking firm and is finance looking practice. for a Thefinance whoA renowned possesses U.S. extensive law firm experience is looking in for both publica M&A and specialist AdvisorAs a Legal of the Counsel Group, working you will closelybe responsible with the for Senior a full rangeLegal MNCTaking and on anreporting independent directly senior to the legal CFO, counsel you willrole handlewith this a willJoining work anon extremelya team advising reputable on a financialrange of derivatives institution, and you willTaking work on with a senior the DCM role withingroup andan established trading floor. team, You you will successfulassociate tocandidate join their will banking work closely and financewith the partners practice. on a The privatewho possesses M&A and extensivebe familiar experiencewith the Hong in bothKong publicTakeovers and ofAdvisor firm-wide of the Group, corporate you will and be responsible compliance for related a full range matters. wideMNC rangeand reporting of matters directly ranging to fromthe CFO, corporate you willtransactions handle a structuredwill work on products a team advisingmatters including on a range ISDA of negotiationderivatives and advisewill work the with banking the DCM and groupcapital and markets trading platform floor. Youin thewill widesuccessful range candidateof general bankingwill work and closely finance with thematters. partners You onmust a Code,private IPOM&A andand listedbe familiar company with the matters. Hong Kong The successfulTakeovers Youof firm-wide will gain in-house corporate exposure and tocompliance M&A and related regulatory matters. towide general range commercialof matters ranging matters. from You corporate will oversee transactions ad hoc documentation.structured products You matters will also including gain exposure ISDA negotiation to advisory and regionadvise onthe financialbanking and regulatory capital markets matters platform and dealing in the with havewide rangea solid of finance general bankingbackground, and financeincluding matters. diverse Youbanking must candidateCode, IPO will and engage listed in companya full spectrum matters. of corporate The successful finance mattersYou will by gain covering in-house corporate exposure legal to work, M&A public and regulatorycompany mattersto general including commercial employment, matters. financing,You will oversee loans, ad hocgeneral workdocumentation. on various You PRC will projects also gain such exposure as NAFMII, to advisory clearing variousregion onregulators, financial particularly regulatory on regulationsmatters and affecting dealing the with andhave finance a solid financeexperience. background, Prior experience including in diverseproject finance,banking transactions,candidate will privateengage equityin a full matters,spectrum M&A of corporate as well asfinance joint regulatorymatters by coveringmatters corporateand general legal corporatework, public commercial company contractsmatters including and agreements. employment, The financing, ideal candidate loans, mustgeneral ofwork onshore on various IRS and PRC SAC projects Master such Agreement. as NAFMII, You clearing will be licensingvarious regulators, and marketing particularly of products on regulations / services, affecting lending the naturaland finance resources, experience. acquisition Prior experience finance, in projectand structuredfinance, venturetransactions, matters. private The equity ideal candidate matters, M&A must as have well between as joint agreements.regulatory matters The ideal and candidate general must corporate possess commercial 3- 5 years possesscontracts at and least agreements. 10 years of The PQE ideal with candidate corporate mustM&A aof structured onshore IRSproducts and SAC lawyer Master with Agreement.at least 5 years You of will PQE be productslicensing and and marketing asset management. of products The / services, ideal candidate lending lendingnatural will resources, be essential. acquisition This is an finance, excellent opportunity and structured for 3-5venture years matters. of PQE The gained ideal candidatefrom leading must international have between law ofagreements. PQE and be The admitted ideal candidate in Hong Kong.must possessYou must 3- also 5 yearshave backgroundpossess at least and have 10 years experience of PQE in with in-house corporate corporate M&A undera structured your belt, products and be lawyer familiar with with at ISDA,least GMRA,5 years GMSLAof PQE mustproducts possess and at asset least management. 8 years of PQE, The with ideal qualifications candidate careerlending progression will be essential. and youThis must is an beexcellent Hong opportunityKong qualified for firms3-5 years and ofqualified PQE gained either in from Hong leading Kong, international US or UK. 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Candidate/ telecommunications must preferably / satellite. have exposureThe ideal classesand ideally in theNAFMII region. documentation You will be across a common a variety law of or asset PRC capitalin common markets law and jurisdictions lending / structuredand experience products. across You experiencewith 1-4 years gained of post-qualification from top-tier international experience, law firmswith inwork morean excellent diverse opportunity scope of work for candidatesin a truly integrated who are seekingcorporate a lawmatters, firm. gained The fromideal a prominentcandidate localwill or have international strong drafting candidatein the technology must be/ telecommunications able to work independently, / satellite. The have ideal a qualifiedclasses in lawyer, the region. with strong You will communication be a common skills law and or ability PRC mustcapital have markets experience and lending representing / structured international products. financial You theexperience region. 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You Englishto work and in aChinese. team environment. Ref: H2114180 You must be proficient in Stronginstitutions communication on various skills issues required. and transactions Ref: H2147040 in Asia. Ref: H2133960 Ref: H2111850 and Chinese. Ref: H2068730 must be proficient in English and Chinese.Ref: H2126530 English and Chinese. Ref: H2114180 Strong communication skills required. Ref: H2147040

Olga Yung, Carolyn Woo, Samantha Fong, Get Connected. Stay Ahead. Get Connected. Stay Ahead. To apply, visit www.michaelpage.com.hk/apply quoting the reference number or contact the following consultants: Director,Olga Yung, Michael Page Legal Manager,Carolyn Michael Woo, Page Legal Consultant,Samantha Michael Fong, Page Legal To apply, visit www.michaelpage.com.hk/apply quoting the reference number or contact the following consultants: Director, Michael Page Legal Manager, Michael Page Legal Consultant, Michael Page Legal #14724

(+852) 2848 4791 (+852) 2848 4793 (+852) 2848 4792 #14724 (+852) 2848 4791 (+852) 2848 4793 (+852) 2848 4792

Specialists in legal recruitment Legal Specialists in www.michaelpage.com.hklegal recruitment Legal www.michaelpage.com.hk EXCLUSIVE JOB EXCLUSIVE JOB OF THEOF MONTH THE MONTH General Counsel General Counsel › 12+ Years PQE › Leading12+ Years Private PQE Equity Fund House › Leading Private Equity Fund House Our client is looking for a seasoned funds and regulatory lawyerOur client to headis looking up itsfor legal a seasoned function. funds Overseeing and regulatory a team oflawyer lawyers, to head you up will its lead legal legal function. projects Overseeing in different a areas team of the lawyers, business you operation will lead legalwhich projects includes in wealth different & assets areas management,of the business real operation estate development, which includes corporate wealth & finance, assets M&Amanagement, and restructuring. real estate You development, will provide advicecorporate and finance, identify risksM&A andon legalrestructuring. matters Youand willdraft provide / negotiate advice aand variety identify of agreements.risks on legal The matters ideal candidateand draft must/ negotiate be a common a variety law of qualifiedagreements. lawyer The ideal with candidate at least must 12 be years a common PQE inlaw the area ofqualified funds and lawyer regulatory. with at Experience least 12 gained years within PQE asset in the area MICHAEL PAGE LEGAL managementof funds and houses regulatory. or financial Experience institutions gained withinwill be assethighly MICHAEL PAGE LEGAL regarded.management You houses must be or proficientfinancial institutions in English andwill beChinese, highly andregarded. capable You of must liaising be proficient with various in internalEnglish andand externalChinese, stakeholders.and capable ofRef: liaising H2133150 with various internal and external { SPECIALISTS IN LEGAL RECRUITMENT stakeholders. Ref: H2133150 We are a specialist legal team within the leading recruitment brand of PageGroup. Our strong client network sees We are a specialist legal team within the leading recruitment brand of PageGroup. Our strong client network sees us working closely with international and local law firms, global and local listed and private corporations, financial us working closely with international and local law firms, global and local listed and private corporations, financial institutions, as well as Hong Kong regulatory bodies. institutions, as well as Hong Kong regulatory bodies.

PRIVATE PRACTICE IN-HOUSE CORPORATE IN-HOUSE FINANCIAL SERVICES PRIVATE PRACTICE IN-HOUSE CORPORATE IN-HOUSE FINANCIAL SERVICES

Corporate Lawyer Dispute Resolution Associate Legal Counsel Senior Legal Manager M&A Private Equity Lawyer IBD Compliance Lawyer Corporate Lawyer Dispute Resolution Associate Legal Counsel Senior Legal Manager M&A Private Equity Lawyer IBD Compliance Lawyer › 1 – 5 Years PQE › 1 – 5 Years PQE › 6 – 8 Years PQE › 3 – 5 Years PQE › 5+ Years PQE › 4+ Years PQE › Leading1 – 5 Years US PQELaw Firm › Prestigious1 – 5 Years PQEUS Law Firm › Multinational6 – 8 Years PQE Automotive Company › Prominent3 – 5 Years Shipping PQE Group › Leading5+ Years Financial PQE Institution › Top4+ Years Tier Investment PQE Bank › Leading US Law Firm › Prestigious US Law Firm › Multinational Automotive Company › Prominent Shipping Group › Leading Financial Institution › Top Tier Investment Bank Our client is looking for a Corporate Lawyer with 1-5 Our client is a top-tier US law firm with a very well- As the sole legal counsel of the group, you will oversee all As a junior Legal Counsel, you will focus on regional legal Joining a well-established legal team and reporting to the As the corporate lawyer for the IBD Compliance function, yearsOur client of post-qualification is looking for a experience.Corporate Lawyer This rolewith will 1-5 work establishedOur client is litigation a top-tier practice US law in the firm Asia with Pacific a very region. well- legalAs the matters sole legal on acounsel global of scale. the group, You will you report will oversee directly all to mattersAs a junior and Legal have Counsel, the opportunity you will focusto lead on aregional small teamlegal HeadJoining of a Legal,well-established you will look legal after team a andvariety reporting of corporate to the youAs the will corporate work in a lawyerteam offor compliance the IBD Compliance specialists function,and ex- closelyyears of with post-qualification the partners to look experience. after transactions This role in Hongwill work Theyestablished are looking litigation to recruit practice a dispute in the Asiaresolution Pacific associate region. thelegal CEO matters based on in a global the US scale. and work You will closely report with directly various to ofmatters legal and support have professionals.the opportunity You to willlead oversee a small a team wide M&AHead andof Legal, private you equity will look transactions. after a variety You will of advisecorporate on lawyers.you will workYou willin aoversee team of a compliancewide range specialistsof compliance and andex- Kongclosely andwith thethe partners United States.to look Reportingafter transactions to the in partner Hong mainlyThey are focusing looking on to financial recruit a dispute services resolution litigation associate as well as internalthe CEO business based inmanagers the US andand workexternal closely legal withcounsels various to spectrumof legal support of general professionals. corporate, You commercial will oversee contracts, a wide transactionsM&A and private involving equity investments transactions. in Youprivate will companies advise on policylawyers. related You willmatters, oversee work a withwide the range legal of team compliance and provide and responsibleKong and thefor the United Asia practice, States. 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Candidateslaw firms wouldwho havebe highly experience regarded. with You leading must withstrong a good experience understanding in DCM, of ECMregulatory and M&Amatters. transactions, You must Ref:Chinese. H2044920 Candidates based in Hong Kong are preferred. Ref:Candidate H1958890 must also be proficient in English and Chinese. Travellingis required. is involved You will in be this proficient role. Ref: in H2122230 English and Chinese. proficientrelated work in onEnglish a regional and Chinese.or internationalRef: H2074210 level. You will be beinternational proficient law in Englishfirms andwould Chinese. be highly Ref: regarded. H2093890 You must bewith proficient a good understanding in English and of Chinese. regulatoryRef: matters. H2117110 You must Ref: H2044920 Ref: H1958890 Travelling is involved in this role. Ref: H2122230 proficient in English and Chinese.Ref: H2074210 be proficient in English and Chinese. Ref: H2093890 be proficient in English and Chinese.Ref: H2117110

Finance Associate M&A Lawyer Legal Counsel Senior Counsel Derivatives & ISDA Lawyer Senior Counsel Finance Associate M&A Lawyer Legal Counsel Senior Counsel Derivatives & ISDA Lawyer Senior Counsel › 1 – 4 Years PQE › 3 – 5 Years PQE › 3 – 5 Years PQE › 10+ Years PQE › 6+ Years PQE › 8+ Years PQE › Magic1 – 4 Years Circle PQE Firm › Top-tier3 – 5 Years US PQELaw Firm › Hong3 – 5 YearsKong ListedPQE Conglomerate › Multinational10+ Years PQE Corporation › Top6+ Years Tier Financial PQE Institution › Leading8+ Years US PQE Financial Institution › Magic Circle Firm › Top-tier US Law Firm › Hong Kong Listed Conglomerate › Multinational Corporation › Top Tier Financial Institution › Leading US Financial Institution A prestigious magic circle firm is looking for a finance A renowned U.S. law firm is looking for a M&A specialist As a Legal Counsel working closely with the Senior Legal Taking on an independent senior legal counsel role with this Joining an extremely reputable financial institution, you Taking on a senior role within an established team, you associateA prestigious to join magic their circle banking firm and is finance looking practice. for a Thefinance whoA renowned possesses U.S. extensive law firm experience is looking in for both publica M&A and specialist AdvisorAs a Legal of the Counsel Group, working you will closelybe responsible with the for Senior a full rangeLegal MNCTaking and on anreporting independent directly senior to the legal CFO, counsel you willrole handlewith this a willJoining work anon extremelya team advising reputable on a financialrange of derivatives institution, and you willTaking work on with a senior the DCM role withingroup andan established trading floor. team, You you will successfulassociate tocandidate join their will banking work closely and financewith the partners practice. on a The privatewho possesses M&A and extensivebe familiar experiencewith the Hong in bothKong publicTakeovers and ofAdvisor firm-wide of the Group, corporate you will and be responsible compliance for related a full range matters. wideMNC rangeand reporting of matters directly ranging to fromthe CFO, corporate you willtransactions handle a structuredwill work on products a team advisingmatters including on a range ISDA of negotiationderivatives and advisewill work the with banking the DCM and groupcapital and markets trading platform floor. Youin thewill widesuccessful range candidateof general bankingwill work and closely finance with thematters. partners You onmust a Code,private IPOM&A andand listedbe familiar company with the matters. Hong Kong The successfulTakeovers Youof firm-wide will gain in-house corporate exposure and tocompliance M&A and related regulatory matters. towide general range commercialof matters ranging matters. from You corporate will oversee transactions ad hoc documentation.structured products You matters will also including gain exposure ISDA negotiation to advisory and regionadvise onthe financialbanking and regulatory capital markets matters platform and dealing in the with havewide rangea solid of finance general bankingbackground, and financeincluding matters. diverse Youbanking must candidateCode, IPO will and engage listed in companya full spectrum matters. of corporate The successful finance mattersYou will by gain covering in-house corporate exposure legal to work, M&A public and regulatorycompany mattersto general including commercial employment, matters. financing,You will oversee loans, ad hocgeneral workdocumentation. on various You PRC will projects also gain such exposure as NAFMII, to advisory clearing variousregion onregulators, financial particularly regulatory on regulationsmatters and affecting dealing the with andhave finance a solid financeexperience. background, Prior experience including in diverseproject finance,banking transactions,candidate will privateengage equityin a full matters,spectrum M&A of corporate as well asfinance joint regulatorymatters by coveringmatters corporateand general legal corporatework, public commercial company contractsmatters including and agreements. employment, The financing, ideal candidate loans, mustgeneral ofwork onshore on various IRS and PRC SAC projects Master such Agreement. as NAFMII, You clearing will be licensingvarious regulators, and marketing particularly of products on regulations / services, affecting lending the naturaland finance resources, experience. acquisition Prior experience finance, in projectand structuredfinance, venturetransactions, matters. private The equity ideal candidate matters, M&A must as have well between as joint agreements.regulatory matters The ideal and candidate general must corporate possess commercial 3- 5 years possesscontracts at and least agreements. 10 years of The PQE ideal with candidate corporate mustM&A aof structured onshore IRSproducts and SAC lawyer Master with Agreement.at least 5 years You of will PQE be productslicensing and and marketing asset management. of products The / services, ideal candidate lending lendingnatural will resources, be essential. acquisition This is an finance, excellent opportunity and structured for 3-5venture years matters. of PQE The gained ideal candidatefrom leading must international have between law ofagreements. PQE and be The admitted ideal candidate in Hong Kong.must possessYou must 3- also 5 yearshave backgroundpossess at least and have 10 years experience of PQE in with in-house corporate corporate M&A undera structured your belt, products and be lawyer familiar with with at ISDA,least GMRA,5 years GMSLAof PQE mustproducts possess and at asset least management. 8 years of PQE, The with ideal qualifications candidate careerlending progression will be essential. and youThis must is an beexcellent Hong opportunityKong qualified for firms3-5 years and ofqualified PQE gained either in from Hong leading Kong, international US or UK. This law is priorof PQE experience and be admitted with handling in Hong M&A Kong. and You general must corporatealso have commercialbackground role. and Candidate have experience must preferably in in-house have corporateexposure andunder ideally your NAFMIIbelt, and documentation be familiar with across ISDA, a GMRA, variety ofGMSLA asset inmust common possess law at leastjurisdictions 8 years of and PQE, experience with qualifications across withcareer 1-4 progression years of post-qualification and you must be Hongexperience, Kong qualified with work anfirms excellent and qualified opportunity either for in candidates Hong Kong, who US are or seeking UK. This a is matters,prior experience gained withfrom handling a prominent M&A andlocal general or international corporate incommercial the technology role. Candidate/ telecommunications must preferably / satellite. have exposureThe ideal classesand ideally in theNAFMII region. documentation You will be across a common a variety law of or asset PRC capitalin common markets law and jurisdictions lending / structuredand experience products. across You experiencewith 1-4 years gained of post-qualification from top-tier international experience, law firmswith inwork morean excellent diverse opportunity scope of work for candidatesin a truly integrated who are seekingcorporate a lawmatters, firm. gained The fromideal a prominentcandidate localwill or have international strong drafting candidatein the technology must be/ telecommunications able to work independently, / satellite. The have ideal a qualifiedclasses in lawyer, the region. with strong You will communication be a common skills law and or ability PRC mustcapital have markets experience and lending representing / structured international products. financial You theexperience region. Yougained will from be proficient top-tier international in English law and firms Chinese. in practice.more diverse You scope must beof work proficient in a truly in integrated English corporateand Chinese. experience.law firm. InThe addition, ideal you candidate must be will proficient have strongin English drafting hands-oncandidate approachmust be andable strongto work communication independently, skills. have You a toqualified work inlawyer, a team with environment. strong communication You must beskills proficient and ability in institutionsmust have experience on various representing issues and international transactions financial in Asia. Ref:the region.H2133960 You will be proficient in English and Chinese. Ref:practice. H2111850 You must be proficient in English and Chinese. andexperience. Chinese. In Ref: addition, H2068730 you must be proficient in English musthands-on be proficient approach in andEnglish strong and communication Chinese.Ref: H2126530 skills. You Englishto work and in aChinese. team environment. Ref: H2114180 You must be proficient in Stronginstitutions communication on various skills issues required. and transactions Ref: H2147040 in Asia. Ref: H2133960 Ref: H2111850 and Chinese. Ref: H2068730 must be proficient in English and Chinese.Ref: H2126530 English and Chinese. Ref: H2114180 Strong communication skills required. Ref: H2147040

(+852) 2848 4791 (+852) 2848 4793 (+852) 2848 4792 #14724 (+852) 2848 4791 (+852) 2848 4793 (+852) 2848 4792

Specialists in legal recruitment Legal Specialists in www.michaelpage.com.hklegal recruitment Legal www.michaelpage.com.hk

SPECIALIST PROFESSIONAL RECRUITMENT LEGAL PROFESSIONALS

FINANCIAL SERVICES

BANKING COUNSEL SENIOR COMPLIANCE ADVISOR LEADING INVESTMENT BANK TOP TIER INVESTMENT BANK OAA/524110 LQL/524810 An international investment bank with a strong presence in Asia is looking for This established private wealth management function of a leading international a banking lawyer to join its established team of three legal counsels. Providing banking group is looking to hire an experienced compliance professional to legal support to the global banking business, this team supports areas join their team in Hong Kong. Reporting to the Head of Compliance, you will including investment banking advisory, equity capital markets, leveraged & be responsible for interpreting regulations and providing guidance to different acquisition finance, project & export finance, and credit & lending. business units. Key Requirements: Key Requirements:

■ a minimum of four years’ PQE; Hong Kong, PRC or Commonwealth ■ a minimum of eight years’ compliance experience within a financial qualified, ideally from a leading law firm or similar in-house institution institution or regulator, preferably with prior experience in private banking ■ strong background in banking products such as bilateral, syndicated and compliance secondary loans ■ extensive knowledge in securities laws, regulations, directives, and ■ fluency in Cantonese and Mandarin is beneficial but not essential expectations ■ fluency in Cantonese and Mandarin is beneficial but not essential

PRIVATE PRACTICE

CORPORATE ATTORNEY DISPUTE RESOLUTION ATTORNEY US LAW FIRM INTERNATIONAL LAW FIRM TXS/523120 TXS/517890 An elite US law firm is looking to grow its internationally recognised corporate A renowned international law firm is looking for a seasoned dispute resolution team and hire a junior level corporate attorney. This firm offers the right attorney with experience in financial services litigation. This firm acts for major candidate an opportunity to work with a variety of clients on challenging and public and private companies, government entities, and renowned financial unique investments as well as international and domestic acquisitions. institutions.

Key Requirements: Key Requirements: ■ a minimum of one to three years’ PQE; Hong Kong qualified ■ a minimum of five years’ PQE; Australia and Hong Kong qualified ■ experience in mergers and acquisitions, or private equity ■ solid experience in financial institutions litigation and regulatory matters ■ strong academic background; Recipient of Bachelor’s, Master’s, or Juris ■ fluency in Cantonese and Mandarin is beneficial but not essential Doctor degree from Australia, Canada, UK, or US is advantageous ■ fluency in English and Mandarin is essential

COMMERCE & INDUSTRY

LEGAL COUNSEL LEGAL COUNSEL GLOBAL FMCG CORPORATION MULTINATIONAL LOGISTICS GROUP EQA/524020 EQA/520810 This leading FMCG corporation with operations in over 50 countries is looking This expanding international logistics group in APAC with offices in over 30 for an experienced Legal Counsel to join their growing business based in Hong countries is now seeking an experienced Legal Counsel to join their team Kong. Reporting to the Vice President, you will be responsible for a broad based in Hong Kong. Reporting to the Head of Legal, you will be responsible range of corporate commercial and regulatory matters for the company in for a broad variety of corporate commercial legal work. Greater China. Key Requirements: Key Requirements: ■ a minimum of three years’ PQE; Commonwealth qualified, ideally from an ■ a minimum of five years’ PQE, ideally from international law firms or international law firm or multinational corporation multinational corporations ■ solid experience working on a variety of commercial contracts, and/or ■ solid experience in PRC matters with an emphasis on general commercial, experience in corporate M&A will be advantageous human resources, and employment matters ■ relevant in-house industry experience preferred ■ fluency in Mandarin and English is essential ■ fluency in English and Mandarin is essential

TO FIND OUT MORE ABOUT THESE EXCITING LEGAL CAREER OPPORTUNITIES, PLEASE CONTACT:

Ricky Mui +852 2103 5370 [email protected] Oliver Allcock +852 2103 5317 [email protected] Estefania Altuve +852 2103 5328 [email protected] Lulu Liu +852 2161 9413 [email protected] Tara Shah +852 2013 5360 [email protected] www.robertwalters.com.hk ROBERT WALTERS HONG KONG • 20/F NEXXUS BUILDING • 41 CONNAUGHT ROAD CENTRAL • CENTRAL • HONG KONG your profession our passion

Banking associate senior Legal Counsel, property Legal Counsel (insurance) Hong Kong. 4-7 pQe. Hong Kong. 8+ pQe. Hong Kong. 5-8 pQe. A Magic Circle firm seeks a mid-senior lawyer A major property developer/manager This European life insurer has a glowing to join its Hong Kong office. You should be currently seeks an experienced lawyer to reputation for treatment of both customers comfortable working within a large team. support its real estate division on core legal and employees. It has created a new position The banking and finance team covers Greater matters across HK and the PRC. Hong Kong in its Hong Kong office for a manager level China as well as the Asia Pacific region. You qualification and solid experience dealing legal counsel. Strong drafting skills, English should have strong drafting skills and a mix with legal documents relating to property and Chinese fluency, and good familiarity of experience in respect of both transactional are essential. Attractive remuneration and with financial products and the SFO and and regulatory works in Hong Kong. benefits are on offer here. ref: HH 1047877 related compliance are all essential for this ref: DL 1048453 role. ref: DH 1048641 Litigation Lawyer ip/iT associate Hong Kong. 3+ pQe. Legal & Compliance Counsel Hong Kong. 3-5 pQe (HK/uK/au). (asset Management) A Hong Kong statutory body needs a locally Hong Kong. 5-10 pQe. This global firm seeks a fluent English qualified litigation lawyer to join its team, speaking TMT lawyer with strong experience ideally someone with regulatory experience. Mandarin (and written Chinese) fluency in drafting complex (outsourcing, licensing This role will expose you to a wide remit is a requirement for this China facing role and service) agreements for technology including non-contentious advisory work. with a financial house. You will need a driven industries. You will have experience You will need excellent analytical skills and background in the launch and management with a broad variety of IP related the ability to give practical, well reasoned of asset management funds, as well as good transactions in a client facing role and enjoy legal advice. Proficiency in written and knowledge of QFII and related regulations. business development. ref: DL 1047957 spoken Chinese is essential. ref: HH 1047613 A Hong Kong qualified lawyer who also understands local regulatory requirements is Corporate associate senior Legal Counsel, Construction strongly preferred. ref: DH 1047099 Hong Kong. 2-5 pQe. paris. 8+ pQe. Legal Counsel (financial products) An international law firm with a large corporate A world leading construction company singapore or Hong Kong. 3-6 pQe. practice seeks a junior to mid level associate. seeks a common law qualified, specialist civil You will have solid IPO experience, as well as construction lawyer with extensive in-house A derivatives and financial products savvy experience with M&A. The firm has a strong experience. Handling international matters lawyer is needed to join an expanding blue Greater China corporate team. You should be from the company’s Europe headquarters, chip financial services organisation. You may fluent in Mandarin.r ef: DL 1048629 you will ideally have solid experience be a PRC national with overseas education, with large (energy or environmental training and/or experience, or a Hong Commercial/projects Lawyer infrastructure) projects and be familiar with Kong or Singapore originated lawyer with Hong Kong. 3-5 pQe. FIDIC contracts. ref: HH 1047270 significant China facing skills and experience. Expansion in the core operations of one This is an exciting opportunity with great senior Legal Counsel (Banking) work conditions. ref: DH 1046931 of the world’s leading building consulting China. 12+ pQe. and management services companies has created an opportunity for a projects lawyer. A global commercial bank with a dynamically You will ideally have experience in service growing Asian footprint will spin off industry related commercial contracts. This leadership of Greater China legal work to is an exceptional opportunity for someone a professional based in either the PRC or who is eager to develop personally and Hong Kong. A person with both China facing professionally. ref: HH 1048428 M&A, as well as wholesale or commercial banking legal experience will be ideal for this role. ref: DH 1048065

for more information about these opportunities, contact a Hays Legal expert: Daryl Hodes - in-house (financial services) opportunities e: [email protected] Daryl Lee - law firm opportunities e: [email protected] Heidi Hui – in-house (commerce & industry) opportunities e: [email protected] or +852 2521 1460. unit 5805-07, 58/f, The Center, 99 Queen’s road Central, Hong Kong.

hays.com.hk ASIA

Commercial Litigation NQ-3PQE Hong Kong Corporate M&A/PE 2-5 PQE Hong Kong Corporate Finance NQ-3 PQE Hong Kong This renowned litigation team within a top Fantastic opportunity to join this international law Exciting opportunity for a junior lawyer to grow tier international firm is currently seeking an firm and work with market-leading partner as part with a top tier practice. You will obtain excellent experienced litigator to handle their complex of collegiate corporate and securities team. You will training and exposure to blue chip deals. Hong commercial disputes. International law firm focus on M&A/PE transactions for clients across Kong qualification and Mandarin language skills experience and Mandarin is required. HKL3474 various industries. Mandarin essential. HKL4105 essential. HKL3077

Medico-legal Litigation 2+PQE Hong Kong Regulatory Head 5+ PQE Hong Kong Insurance Litigation 3-6PQE Hong Kong Exciting opportunity for a lawyer with medico- International law firm seeks a lawyer with This growing international law firm seeks a legal experience or for candidates with a genuine extensive experience in regulatory & ICAC/SFC lawyer with experience handling personal injury interest in this area to represent healthcare matters to join their practice, to replicate their and employers’ liability claims to join their professionals and hospitals. Chinese language success in the London market. Proven marketing team. Experience within the transport sector skills preferred but not essential. HKL3439 skills essential. HKL4010 preferred, HK qualification essential. HKL4033

Construction Litigation 3+PQE Hong Kong Corporate M&A/PE 4-6 PQE Hong Kong Banking & Finance 1+ PQE Hong Kong Fantastic opportunity to join an international Excellent opportunity for a lawyer to step away from Highly ranked practice seeks a lawyer with solid law firm highly regarded for their projects and corporate finance & focus on cross-border M&A, banking/finance experience; including project / construction practice. You will work with highly PE and FDI matters. You will work with a renowned asset / acquisition / structured finance matters. regarded partners on high profile disputes. partner & represent MNC clients across diverse Opportunity to work with a highly regarded Chinese language essential. HKL2283 industry sectors. Mandarin essential. HKL4104 partner in a dynamic team. HKL2429

Legal Counsel 4-8 PQE Hong Kong Corporate PSL 7+PQE Hong Kong Legal Assistant NQ-3PQE China Stellar opportunity for a corporate/commercial Excellent opportunity for lawyers seeking work/ An exciting opportunity exists for an ambitious lawyer with knowledge of IP to join the life balance; to provide training & knowledge individual seeking to take their career to the next management team of this, growing international management support to lawyers. Solid practice level within the in-house arena. You will work business. You will provide strategic and business experience and admission in HK/UK/AU closely for a growing MNC. PRC qualification is advice in a regional role. HKL3476 mandatory. HKL3430 essential. HK4020

Project Finance 2-5 PQE Beijing/Shanghai Corporate M&A/PE 4+ PQE Beijing/Shanghai Banking & Finance 3-5 PQE Beijing Excellent opportunity with this market leading Top tier global firm seeks a PRC qualified lawyer Top tier finance practice known for their work global projects practice to focus on large-scale with international exposure to work on cross- in project finance, debt restructuring and more financings/acquisitions across the APAC region. border M&A and PE transactions within the PRC. seeks a common law qualified lawyer with solid You will work in a dynamic team with highly Experience in business development beneficial. experience in asset and/or project finance. skilled lawyers. HKL3248 HKL3448 Chinese is essential. HKL2400

Banking/Finance 2+PQE Singapore Leveraged Finance 3+ PQE Singapore Corporate M&A 2-5 PQE Tokyo Top tier banking and finance practice seeks an Fantastic opportunity for a lawyer with strong Exciting opportunity for a lawyer with Japanese associate lawyer with strong experience acting leveraged finance exposure to join this top tier language skills to take their career to the next for lenders and borrowers on a range of finance practice. You will work with leading individuals level. You will work in a collegiate team on a transactions. Exposure to SE Asia ideal, common on ground-breaking deals and structures. range of public/private M&A and cross-border law qualification essential. HKL3445 Common law qualification essential. HKL3444 transactions for household names. HKL3468

This is a selection of our current vacancies; please visit our website for more opportunities, or for more information in complete confidence, please call us on +852 2503 2500 or contact

[email protected], [email protected], [email protected] or [email protected] www.atticuslegal.com.hk

trust | honesty | integrity | partnership Opportunities in Asia In some recruitment companies all that matters is the next placement fee. At Taylor Root, our consultants are encouraged to think longer-term, providing our clients and the lawyers that we work with advice and consultation. Our specialist legal recruitment team based in Hong Kong recruit across all of North Asia and have an impressive portfolio of clients and opportunities. With consultants dedicated to both the practice, in-house and compliance markets, contact Taylor Root for a confidential discussion.

In-House ROLES In-House Investment Management . Hong Kong International bank seeks a lawyer with investment/asset management or custodian experience to advise its PRC & Taiwan business. Languages and a familiarity with the laws & regulations of PRC or Taiwan is required. A great team environment. Ref: 193770 5-15+ years APAC General Counsel . Hong Kong/Singapore Global financial services company seeks a top-tier lawyer to head up its legal team in Asia. You will come from a financial services background, preferably with brokerage and regulatory experience (Asia and US). Hong Kong or Singapore based. Ref: 194661 10+ years General Counsel, APAC . Hong Kong Global marketing company seeks a General Counsel to manage the APAC legal team and oversee all legal affairs including corporate, commercial, employment and litigation matters. You will work hand in hand with senior management. Chinese language skills required. Ref: 192980 8+ years Private Practice ROLES Litigation . Hong Kong Top offshore law firm is looking to grow with an additional mid-level associate. Work will include high value complex litigation involving multi-jurisdictions. The ideal candidate will have top-tier regional onshore experience. Ref: 192680 4-6+ years Corporate . Shanghai International firm seeks an associate for its Shanghai office with experience in M&A and PE. The candidate must have fluent Mandarin language skills and have spent time studying/working overseas. International package available for the right candidate. Ref: 191580 5-7+ years Project Finance . Hong Kong Top projects team in Hong Kong. Looking for a good mid-level lawyer with experience in working on the banking/finance side of projects deals. A great team to work in with lots of work. No Chinese language skills required. Ref: 189030 2-4+ years For legal roles In-House, call Hayden Gordine on +852 2973 6333 or email [email protected] For legal roles in Private Practice, call Mark Coates on +852 2973 6333 or email [email protected]

taylorroot.com

Hong Kong • Singapore • Beijing • Shanghai

Private Practice In-House

HEAD OF PARALEGALS HONG KONG 5+ PQE M&A/PE HONG KONG 8 – 14 PQE A prestigious international law firm seeks a qualified corporate lawyer to lead A well regarded private investment group is seeking a lawyer to support portfolio the paralegal team across the region. Excellent English and Chinese language companies across sectors including; Real Estate, Luxury Goods, IT and Shipping. skills are essential. Good work-life balance and dynamic working environment Matters covered will include M&A, Restructuring, Corporate Finance, Wealth will be offered. (HKL 10175) Management and General Commercial issues. Competitive compensation on offer. (HKL 10299) CORPORATE FINANCE BEIJING/SHANGHAI 4+ PQE A leading international law firm is actively seeking a middle to senior level HK ENGINEERING/CONSTRUCTION HONG KONG 6 – 10+ PQE qualified corporate finance lawyer, with experience on Main Board and GEM Global professional services firm looking to appoint a senior legal counsel to Board of the Stock Exchange of Hong Kong. Mandarin skills are not a must but support their business in Asia. Broad general role covering a range of corporate & will be a plus. (HKL 10114) commercial matters, though requires solid projects, infrastructure or construction focused experience. Mandarin is required. (HKL 10275) CORPORATE/ENERGY HONG KONG 3 – 7 PQE A leading US law firm is looking to appoint a Corporate/Energy lawyer to join IT COUNSEL HONG KONG/SINGAPORE 5 – 8 PQE their Korean practice. Excellent opportunity to gain exposure in wide range of A leading international bank is seeking an in-house counsel to join its team in cross-border M&A and energy transactions. Ideal candidate will have trained Singapore or Hong Kong to handle a broad range of IT matters, including a core with international law firm. Fluent Korean required. (HKL 10223) workload of IT outsourcing. Previous experience of handling IT related legal matters in Asia is preferred. (HKL 10248) LITIGATION HONG KONG NQ – 3 PQE Our client is a top-tier US law firm and this is an opportunity to gain exposure CORPORATE COUNSEL SHANGHAI 4 – 8 PQE to an exceptional portfolio of clients. This role offers US rates and a great A luxury group is seeking a legal counsel in Shanghai. The ideal candidate should training program is provided. Ideal candidates will be HK qualified and boast have 4-8 years Post-Qualification Experience with reputable law firms. Superior excellent academics. (HKL 10079) English and Chinese written and oral communication skills are required for this position. (HKL 10338) ECM/DCM ASSOCIATE HONG KONG NQ – 3 PQE Exciting new opportunity to join a leading platform, covering a wide range MNC COUNSEL HONG KONG 4 – 7 PQE of matters including; equity linked bonds, MTNs, straight debt/euro bonds, Our client, a well-regarded MNC in IT industry, is seeking Legal Counsel to join equity issues including initial public offerings and private equity. Mandarin is their Regional Legal team. This is a broad In-House Counsel role with APAC essential for this role. (HKL 10341) coverage. Suitable candidate will have a high-level of business acumen and strong communication skills. Chinese is not essential. (HKL 10333) CORPORATE ASSOCIATE HONG KONG NQ – 2 PQE Our client, a Wall Street law firm, is looking to appoint a HK Associate to join MNC COUNSEL HONG KONG 3 – 6 PQE their market leading, HK Corporate practice. This is an attractive opportunity Well known MNC seeks a strong corporate/commercial lawyer to advise on a to gain a good mixture of work, including M&A, IPO and general corporate broad range of commercial and operational matters for Greater China, supporting transactions across the Asia Pacific region. (HKL 10323) various business units including HR, finance and supply and distribution teams. Solid PRC exposure and fluent Mandarin are essential. (HKL 10283) TMT ASSOCIATES SINGAPORE VARIOUS PQE We have a number of excellent opportunities in international law firms for CORPORATE/COMMERCIAL HONG KONG 1 – 3 PQE newly qualified, junior and mid-level TMT/corporate lawyers. In these roles Well regarded professional services firm looking to appoint a junior to mid-level you will be exposed to a broad mix of largely non-contentious technology, IT, lawyer to their regional legal team in Hong Kong. The role will primarily focus IP and general TMT work alongside corporate and M&A transactions. Ideal on general corporate/commercial matters, supporting various business divisions, candidates will have relevant experience and good academics. (HKL 10297 with a particular focus on Greater China matters. Previous experience in IP/IT & 10296) advantageous. Fluent written and spoken Mandarin essential. (HKL 10336)

ese are a small selection of our current vacancies. If you require further details or wish to have a condential discussion about your career, market trends, or would like salary information, then please contact one of the following consultants in Hong Kong: Andrew Skinner, Jennifer Donnelly, Michael Godby, Kumiko Lam or Claire Park.

Hong Kong Singapore Beijing Shanghai (852) 2920 9100 (65) 6557 4163 (86) 10 6567 8728 (86) 21 6372 1058 [email protected] [email protected] [email protected] [email protected] EARLY BIRD SPECIAL FOR READERS OF HONG KONG LAWYER EXTENDED TO 31 MARCH 2014 ORDER TODAY TO SAVE HK$400! EMPLOYMENT LAW AND PRACTICE IN CHINA, SECOND EDITION

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www.sweetandmaxwell.com.hk (+852) 2847 2000 [email protected]

In-House Private Practice

SENIOR REGIONAL COUNSEL HONG KONG 12+ years DCM PARTNER HONG KONG/SINGAPORE 10+ years A senior legal counsel is required for a HK-based conglomerate with a Top tier firm with strong corporate platform in HK & across Asia seeks global business in retail & outsourcing. The ideal candidate will be at a DCM partner to join the existing practice. You will have a strong DCM least 12 years qualified with general commercial experience, prior in- background with an international firm & contacts/relationships. You could house experience & have fluent Cantonese & Mandarin. HKL4592 be a partner or a counsel ready to take the step up. HKL4329

IBD LEGAL HONG KONG 5-10 years LITIGATION HONG KONG 5-10 years US i-bank with a strong regional IBD team is seeking a mid to senior Leading US firm seeks a senior litigation associate to join its growing team level lawyer to join the HK legal team. You will be US qualified with broad in HK. You will have first rate academics, disputes experience from a leading ECM/DCM & M&A experience although a US lawyer with pure securities international firm & ideally be HK qualified with fluent Chinese language experience will also be considered. Mandarin a plus. HKL4542 skills, although Commonwealth qualified are also invited to apply. HKL4493

FUNDS HONG KONG 4-6 years FUNDS HONG KONG/LONDON 4-8 years Global asset manager seeks a mid-level lawyer for its legal team in HK. Reputable offshore law firm seeks a senior funds associate to join its London You will ideally have funds formation experience including in negotiation or HK office. The majority of the role will be funds-focused but there is also of relevant documentation. Bright candidates with other financial services a corporate element to it. UK qualification ideal, however candidates with experience would also be considered. HKL4510 other Commonwealth qualifications would also be considered. HKL4603

LITIGATION HONG KONG 4-7 years TMT HONG KONG 3-5 years Bulge bracket bank seeks a VP level legal counsel for its litigation A leading international firm seeks a TMT lawyer for its growing team. The & regulatory team. The role will involve financial services litigation, successful applicant should have exposure to a broad spectrum of IT work, contentious regulatory work & advising on cross-border matters. Chinese including service agreements, outsourcing & data privacy. Candidates skills advantageous & HK qualified lawyers preferred. HKL4594 from HK & other common law jurisdictions will be considered. HKL4581

M&A/PRIVATE EQUITY HONG KONG 5-8 years LITIGATION/RESTRUCTURING HONG KONG 3-6 years US i-bank seeks a mid to senior level corporate lawyer to support the Leading offshore firm with strong insolvency, restructuring & dispute bank’s private investing business. The ideal candidate will have solid resolution practice seeks to expand its team. You will have 3-6 PQE PE/M&A experience & familiarity with Asian regulatory issues. US, UK or experience & be Commonwealth qualified. Proficiency in Mandarin is HK lawyers will be considered. Fluent Chinese helpful. HKL4573 preferred but not essential. Good work/life balance. HKL4595

BANKING HONG KONG 2-6 years US SECURITIES HONG KONG 3-5 years European bank seeks a banking lawyer to join its HK legal team to provide Magic Circle firm is looking to recruit a US Securities lawyer to join its US legal support to the international banking group & handle a mix of lending & team. The ideal candidate will have 3-5 years experience at a top US firm, trade finance matters. You will have at least 2 years’ experience in general be US qualified & have a US JD. You must be fluent in spoken & written banking plus fluent English & Mandarin. HKL4576 Mandarin. US rates & COLA on offer. HKL4501

HEDGE FUND HONG KONG 3-7 years BANKING HONG KONG NQ - 4 years Top Asia-based hedge fund seeks a legal counsel with solid funds Top tier firm seeks a junior to mid-level banking lawyer with good experience experience. This is a broad role that will involve funds, regulatory & general in syndicated loans, project finance & acquisition finance to join the team. commercial work. Chinese skills not required. Excellent opportunity for a You will advise on a range of banking & finance matters advising blue chip funds lawyer to join a dynamic, commercial environment. HKL4546 clients & investment banks. Chinese language skills are required. HKL2968

This is a small selection of our current vacancies. Please refer to our website for a more comprehensive list of openings. Please contact Emily Lewis, [email protected] + 852 2537 7408 or Andrea Richey, [email protected] + 852 2537 7413 Chris Chu, [email protected] + 852 2537 7415 or email [email protected]

www.lewissanders.com [email protected] [email protected] [email protected] [email protected] Looking for the best available position? Our experienced consultants can provide you with a complete overview of your options and guide you towards the right direction for your career.

Current Opportunities

Head of Competition Law US Securities Associate Hong Kong Hong Kong 5yrs+ PQE Excellent opportunity for a seasoned competition A leading international law firm is looking for an associate lawyer to join a global financial institution in this newly to enhance their growing practice. The firm offer New created regional role. As the designated competition York salary rates and a competitive housing allowance lawyer in Asia, you will advise key stake-holders along with strong future progression prospects due to the across all business lines on identifying and mitigating age and size of the team. The firm handle a mix of equity potential infringements of competition law, once it and debt capital markets work and the partner recruiting comes into force in 2015. Chinese language skills are is well known in this area of law. Fluency in English and preferable though not essential. Mandarin required.

Compliance Counsel M&A Partner Hong Kong Hong Kong A leading international auction house, is seeking to Well regarded US law firm with a long standing hire a Compliance and Business Integrity Counsel to presence in the Asia region and a highly rated join their Hong Kong operations. Ideal candidates IPO team are looking to hire an M&A partner with will have at least 5 years of post-qualification legal Mandarin skills, a portable business and who has China experience, be fluent in Mandarin and English, and inbound Private equity experience. be well versed in developing and implementing internal compliance programs.

For a confidential discussion about these opportunities please contact:

PP Partner Hires Roz Etkind ( +852 3469 5214 [email protected] PP Associate Hires Michael Wright ( +852 3469 5210 [email protected] In-house FS Hires Liam Richardson ( +852 3469 5207 [email protected] In-house C&I Hires Karishma Khemaney ( +852 3469 5219 [email protected] In-house C&I Hires Bridget Hougham ( +852 3469 5220 [email protected]

To see more of our latest opportunities, please visit our website: www.puresearch.com