HONG KONG LAWYER KONG HONG 2018 A

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h k - l a w y e r . org CROSS-BORDER 一帶一路系列：智能發展無極限？ Bounds? Belt andRoadSeries:Intelligence Without 跨境 LITIGATION Wright Hassall Wright A ProceduralWrightHassall 訴訟 案的程序性爭議 A pril 高育賢 Freshfields Bruckhaus Deringer Freshfields BruckhausDeringer China Chairman, Teresa Ko CoverStory 專 訪 Face to Face with 富而德律師事務所 中國區主席 富而德律師事務所 INTERNATIONAL LAW 封面專題 香港殖民地時期的法律與政治 Kong Law andPolitics inColonialHong

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First American Title Insurance Company, and the operating divisions thereof, make no express or implied warranty respecting the information presented and assume no responsibility for errors or omissions. First American, the eagle logo, and First American Title are registered trademarks or trademarks of First American Financial Corporation and/or its affiliates. ©2017 First American Financial Corporation and/or its affiliates. All rights reserved. NYSE:FAF www.hk-lawyer.org Hong Kong Lawyer 香港律師 The official journal of The Law Society of Hong Kong (incorporated with limited liability) 香港律師會 (以有限法律責任形式成立) 會刊 HONG KONG LAWYER www.hk-lawyer.org THE OFFICIAL JOURNAL OF THE LAW SOCIETY OF HONG KONG 香港律師會會刊 Editorial Board 編輯委員會 Chairman 主席 Huen Wong 王桂壎 Inside your April issue Jenkin SF Chan 陳少勳 四月期刊內容 Nick Chan 陳曉峰 Peter CH Chan 陳志軒 Heidi KP Chu 朱潔冰 Elliot Fung 馮以德 Steven Brian Gallagher Warren P Ganesh 莊偉倫 Gu Minkang 顧敏康 Julienne Jen 任文慧 Dave CK Lau 劉子勁 Byron TW Leung 梁東華 Michelle KM Tsang 曾憲薇 Adamas KS Wong 黃嘉晟 Tony YH Yen 嚴元浩 16 COVER STORY THE COUNCIL OF THE LAW SOCIETY OF HONG KONG 香港律師會理事會 President 會長 Thomas ST So 蘇紹聰 Vice Presidents 副會長 Melissa K Pang 彭韻僖 Amirali B Nasir 黎雅明 Council Members 理事會成員 Stephen WS Hung 熊運信 Huen Wong 王桂壎 Michael J Lintern-Smith 史密夫 Billy WY Ma 馬華潤 28 CROSS-BORDER Cecilia KW Wong 黃吳潔華 Brian W Gilchrist 喬柏仁 Denis G Brock 白樂德 Nick Chan 陳曉峰 Bonita BY Chan 陳寶儀 Mark Daly 帝理邁 CM Chan 陳澤銘 Serina KS Chan 陳潔心 32 LITIGATION Warren P Ganesh 莊偉倫 Simon SC Lai 黎壽昌 Roden ML Tong 湯文龍 編者的話 Robert C Rhoda 羅睿德 4 EDITOR’S NOTE Jonathan Ross 羅彰南 6 PRESIDENT’S MESSAGE 會長的話 Secretary General 秘書長 8 CONTRIBUTORS 投 稿 者 Heidi KP Chu 朱潔冰 紀律裁決 Law Society’s Contact: www.hklawsoc.org.hk 10 DISCIPLINARY DECISIONS 與律師會聯繫 Tel: +852 2846 0500 12 LETTER TO HONG KONG LAWYER 給《 香 港 律 師 》的 信 Annual Subscription 全年訂閱: HK$3,696 14 FROM THE SECRETARIAT 律師會秘書處資訊 Thomson Reuters Hong Kong Limited 16/F, Cityplaza 3, Taikoo Shing, Hong Kong 16 COVER STORY 封面專題 Tel: +852 2847 2088 Face to Face with 專訪 www.thomsonreuters.com Teresa Ko 高育賢 ISSN 1025-9554 China Chairman, Freshfields Bruckhaus Deringer 富而德律師事務所 中國區主席 © Copyright is reserved throughout. No part of 律師會新聞 this publication can be reproduced in whole or 24 LAW SOCIETY NEWS part without the express permission of the editor. Contributions are invited, but copies of work should 28 CROSS-BORDER 跨 境 be kept, as Hong Kong Lawyer can accept no Belt and Road Series: Intelligence Without 一帶一路系列：智能發展無極限？ responsibility for loss. Bounds? 32 LITIGATION 訴訟 A Procedural Wright Hassall Wright Hassall案的程序性爭議 1st time in Hong Kong for 1 day only! Sold out in Singapore to almost 90 attendees! April 2018 二零一八年四月 HK$308

Editor 編輯 38 INTERNATIONAL LAW 國際法 Navin G. Ahuja Law and Politics in Colonial Hong Kong 香港殖民地時期的法律與政治 [email protected] Blockchain, Distributed Ledger & Smart Contracts: Tel: +852 2841 5837 43 INDUSTRY INSIGHTS 業界透視 Understanding The Law & Regulation For “Industry 4.0” Managing Editor 執行主編 60 CASES IN BRIEF 案例撮要 Ranajit Dam 鄧文杰 [email protected] 71 PROFESSIONAL MOVES 會員動向 Tel: +65 6870 3393 實踐技能 74 PRACTICE SKILLS — CPD POINTS WILL BE APPLIED FOR WITH THE LAW SOCIETY OF HONG KONG — Design and Production 設計及制作 Negotiate to Obtain a Favourable Result 透過談判取得有利結果 Samson Pang 彭振生 78 CAMPUS VOICES 法學院新聞 [email protected] Testimonials 84 LAWYERS AT LEISURE 律師閒情 Translation team 翻譯組 “Yes, a good demystification of blockchain contracts.” InfoPower Rowan Varty’s Careers in Rugby and the Law 華路雲的欖球和法律生涯 Tang Mei Kwan JOHN SIMPSON, MANAGING PARTNER, INCE & CO 88 LEGAL TRIVIA QUIZ 法律知識測驗 Special thanks to Hong Kong Law Reports & “Malcolm Dowden is clearly an expert and a good teacher.” Digest and Reuters News PARTNER, ZAID IBRAHIM & CO. 特別感謝 香港法律彙報與摘錄 及 路透社新聞 Pricing (USD) For marketing/promotion opportunities Early Bird Rate: USD800 (Ends on 9 March) Standard Rate: USD1,100 please contact: Group bookings: Save 20% more: Register 5 people from your organisation, fifth person attends for free Sales Manager 銷售經理 Speaker Henry Cheng 鄭裕康 Malcolm Dowden To register, visit For more information, visit [email protected] Legal Director www.regonline.com/blockchain2018_HK www.legalbusinessonline.com/blockchain2018_HK Tel: +852 2847 2016 Womble Bond Dickinson Shahid Mohammed-Salim For Event Registration Taranjit Kaur - (65) 6870 3909 / [email protected] [email protected] Tel: +852 2841 5844 Agenda For subscriptions contact: 9.00am 11.00am • Where does loss lie in the 3.15pm Traffic Administrator統籌 Welcome and introductions IoT, distributed ledger and event of a hack? Contract law, contractual Gloria Ng 吳傲宜 38 INTERNATIONAL LAW supply chains • What are the key differences drafting and interpretation [email protected] 9.15am • The key to “frictionless” between “permissioned” and • Drafting for “hybrid” smart Tel: +852 2843 6415 Hype and reality international trade and “permissionless” blockchain? contracts Head of Legal Media business, ANA • What is “blockchain”, border clearance? • Who is liable if IoT • Creating and enforcing valid Amantha Chia 謝京庭 ”distributed ledger” and • Free zones and “virtual” free equipment is hacked for use guarantees, indemnities and [email protected] “smart contract” technology? zones in a cyber-attack? performance bonds Tel: +65 6870 3917 • Where and how is it being • Data pipelines and “end-to- • Can a judge or arbitrator applied in practice? end” tracing 1.00pm “read” a smart contract? • Will the technology survive • Whose system? Government Networking Lunch All information and views expressed the Bitcoin crash and ICO procurement, or government 4.15pm by contributors and advertisements 74 PRACTICE SKILLS scandals? access? 2.00pm Commercial applications and in Hong Kong Lawyer do not • Confidentiality and data Business structures and use cases necessarily reflect the official opinion 9.45am protection. Can distributed “decentralized autonomous • Shipping and logistics of The Law Society of Hong Kong. “Smart”, “Connected” and ledgers ever meet data organisation” • Manufacturing Whilst every effort is made to ensure “Data driven” contracts protection law requirements? • What is a DAO? • Asset tracing and supply editorial and commercial integrity, • What is a “smart” contract? (i) In concept chain management no responsibility is accepted by • Legal, regulatory and 12.00pm (ii) In practice • Land and corporate registration the Publisher or The Law Society data protection issues. Are Cyber security and hacking • Can DAOs be identified, • Creating and managing of Hong Kong for the accuracy of “smart” contracts legally risks regulated and taxed? digital identity: government material appearing in this journal. valid and enforceable? • Blockchain and DLT: “hack- • Will DAOs bend to the law, or services, investigation Members are encouraged to • Jurisdiction, governing law proof” or “hack-evident”? will the law bend to DAOs? and law enforcement and contribute but the Editorial Board and enforcement • Is blockchain really consumer protection of The Law Society of Hong Kong reserves the right to publish only “immutable”? 3.00pm material it deems appropriate. 84 LAWYERS AT LEISURE 10.45am • Genuine hack or exploitation Afternoon Tea-Break 4.45pm Morning Tea-Break of vulnerable code? Q&A 1st time in Hong Kong for 1 day only! Sold out in Singapore to almost 90 attendees!

Blockchain, Distributed Ledger & Smart Contracts: Understanding The Law & Regulation For “Industry 4.0”

— CPD POINTS WILL BE APPLIED FOR WITH THE LAW SOCIETY OF HONG KONG —

Testimonials “Yes, a good demystification of blockchain contracts.” JOHN SIMPSON, MANAGING PARTNER, INCE & CO “Malcolm Dowden is clearly an expert and a good teacher.” PARTNER, ZAID IBRAHIM & CO.

Pricing (USD) Early Bird Rate: USD800 (Ends on 9 March) Standard Rate: USD1,100 Group bookings: Save 20% more: Register 5 people from your organisation, fifth person attends for free Speaker Malcolm Dowden To register, visit For more information, visit Legal Director www.regonline.com/blockchain2018_HK www.legalbusinessonline.com/blockchain2018_HK Womble Bond Dickinson For Event Registration Taranjit Kaur - (65) 6870 3909 / [email protected]

Agenda

9.00am 11.00am • Where does loss lie in the 3.15pm Welcome and introductions IoT, distributed ledger and event of a hack? Contract law, contractual supply chains • What are the key differences drafting and interpretation 9.15am • The key to “frictionless” between “permissioned” and • Drafting for “hybrid” smart Hype and reality international trade and “permissionless” blockchain? contracts • What is “blockchain”, border clearance? • Who is liable if IoT • Creating and enforcing valid ”distributed ledger” and • Free zones and “virtual” free equipment is hacked for use guarantees, indemnities and “smart contract” technology? zones in a cyber-attack? performance bonds • Where and how is it being • Data pipelines and “end-to- • Can a judge or arbitrator applied in practice? end” tracing 1.00pm “read” a smart contract? • Will the technology survive • Whose system? Government Networking Lunch the Bitcoin crash and ICO procurement, or government 4.15pm scandals? access? 2.00pm Commercial applications and • Confidentiality and data Business structures and use cases 9.45am protection. Can distributed “decentralized autonomous • Shipping and logistics “Smart”, “Connected” and ledgers ever meet data organisation” • Manufacturing “Data driven” contracts protection law requirements? • What is a DAO? • Asset tracing and supply • What is a “smart” contract? (i) In concept chain management • Legal, regulatory and 12.00pm (ii) In practice • Land and corporate registration data protection issues. Are Cyber security and hacking • Can DAOs be identified, • Creating and managing “smart” contracts legally risks regulated and taxed? digital identity: government valid and enforceable? • Blockchain and DLT: “hack- • Will DAOs bend to the law, or services, investigation • Jurisdiction, governing law proof” or “hack-evident”? will the law bend to DAOs? and law enforcement and and enforcement • Is blockchain really consumer protection “immutable”? 3.00pm 10.45am • Genuine hack or exploitation Afternoon Tea-Break 4.45pm Morning Tea-Break of vulnerable code? Q&A • April 2018

EDITOR’S NOTE 編者的話

I would like to start by wishing you, our readers, a Happy Easter. 我希望首先祝我們的讀者們復活節快樂！ Often, people tend to assume that legal fees are high and therefore when 通常人們認為法律費用很高昂，因此當發生爭議 a dispute arises, some may contemplate self-representation to avoid 時，有些人可能會考慮自已作出陳述以避免此類費 such costs. Such persons are referred to in some jurisdictions as litigants 用。他們在一些司法管轄區內被視為親自辯訟的訴 in person. However, the legal rules and court procedures involved might 訟當事人。但是，要他們理解法律規則和法院程序 be difficult for them to understand. The question therefore is whether they should be exempted from or be given some special treatment 可能會讓他們感到困難。因此，問題在於是否應該 in relation to complying with such processes. The Litigation feature 豁免或者在遵守這些程序方面給予特殊待遇。訴訟 discusses the UK Supreme Court decision of February 2018 on this point. 專欄討論了英國最高法院關於這一點的2018年2月 (p. 32) 的判決。(第35頁) A hot topic in the legal community is the introduction of artificial 在法律界的一個熱門話題是引入人工智能。有些人 intelligence. Some consider it to promote efficiency given that it automates tasks and minimises human hours. Others worry about the 認為它可以增加效率，因為它可以自動執行任務並 possibility of it replacing the jobs of legal professionals. The Cross-Border 最大限度地減少工作量。其他人擔心它可能取代法 feature examines legal issues surrounding regulation and liability in 律專業人員的工作。跨境業務專欄檢視了與人工智 relation to the development and use of A.I. products. 能產品開發和使用有關的法規及責任方面的法律問 (p. 28) 題。(第30頁) You may or may not be aware, but you are probably negotiating all the 你可能知道，也可能不知道，但事實是你可能正在 time and in various capacities. The Practice Skills section shares effective negotiation techniques which after some practice, might help to obtain a 不停地以各種身份進行談判。實踐技能的部分分享 favourable result. (p. 74) 了有效的談判技巧，經過一些練習後，可能有助大 For those who were not fortunate enough to get hold of tickets for the 家取得有利的成果。(第76頁) Hong Kong Sevens, not all is lost. The Leisure section features Rowan 對於那些沒有幸運地拿到香港七人欖球賽門票的人來 Varty who is a practising solicitor in Hong Kong and plays rugby on a 說，也不是一無所有。律師閒情部分訪問了Rowan professional level and represents Hong Kong at the Hong Kong Sevens. (p. 84) Varty。他是香港執業律師，並作職業水平的橄欖球 賽，也在香港七人欖球隊代表香港。(第86頁) Finally, I would like to remind our readers that they can subscribe to our free e-Newsletter to receive regular updates on the latest trends and 最後，我想提醒讀者，他們可以訂閱我們的免費電 developments in Hong Kong and China. Please visit http://hk-lawyer.org 子通訊，定期收到有關香港和中國最新趨勢和動態 的最新消息。請瀏覽 http://hk-lawyer.org

Navin G. Ahuja Navin G. Ahuja Editor, Hong Kong Lawyer 《香港律師》編輯 Legal Media Group Thomson Reuters Legal Media Group 湯森路透 [email protected] [email protected]

4 www.hk-lawyer.org

• April 2018 PRESIDENT’S MESSAGE 會長的話

Great Bay Area 2010 witnessed a new phase of Hong 2017, 11 associations in the form of Kong-Guangdong cooperation. The partnership between Mainland and Hong Most people in Hong Kong have their Framework Agreement on Hong Kong- Kong law firms had been approved with ancestral roots in the Guangdong Guangdong Cooperation was signed 7 in Shenzhen, 2 in Guangzhou and 2 in Province with strong links at the village in April 2010. Having monitored the Zhuhai. 12 barristers and 2 solicitors were and kinship levels. We also share a development closely, the Law Society retained as legal consultants by Mainland common dialect, the unique Cantonese conducted a study to evaluate the role law firms in the Guangdong Province. of the Hong Kong legal profession in the dialect, which is not spoken anywhere else Further, the Law Society is discussing development of the Pearl River Delta in China. Such close cultural proximity with the Guangdong Lawyers Association Region. In April 2011, we published a and historical affiliations between to establish a joint meeting system for Report titled “Study on the Prospects of Hong Kong and Guangdong provide an lawyers associations in the Bay Area Development of Legal Practice by Hong affectionate and powerful impetus to the to coordinate efforts in promoting and Kong Law Firms in the Pearl River Delta Guangdong-Hong Kong-Macao Bay Area expanding the legal service sector and Region”. (the ’Great Bay Area’) initiative (’Initiative’). to conduct regular exchanges on issues The Great Bay Area consists of nine cities The vision of an integration of the cities of common interest pertaining to the in the Guangdong Province including in the Pearl River Delta Region gradually development within the Great Bay Area. Shenzhen, Guangzhou, Huizhou, developed into the concept of the Great The Law Society is also planning visits to Dongguan, Foshan, Zhuhai, Jiangmen, Bay Area, referencing to the development the other cities in the Great Bay Area. The Zhaoqing and Zhongshan, in addition to of the San Francisco Bay and the Tokyo coming visit to Guangzhou, Foshan and two special administrative regions, Hong Bay. In the 13th Five Year Plan for the Zhaoqing is tentatively planned for May. Economic and Social Development Kong and Macao. The frequent collaboration between Hong of China announced in 2016, special Kong lawyers and Mainland lawyers To fully uitilise the huge potential of these mention was given to the Great Bay is not only confined to professionally cities, the visionary plan of consolidating Area. The Initiative has been elevated related matters. To foster deeper mutual the distinctive strengths that each city to a national strategy encouraging understanding between lawyers in has and facilitating their complementarity Hong Kong to play an important role in the Mainland, Hong Kong and Macao for each other surfaced in as early as promoting cooperation in the Greater jurisdictions with the Great Bay Area, 2008. The State Council adopted “The Pearl River Delta Region and advance the Law Society has also been creating Framework on Development and Reform the development of the Great Bay Area opportunities for interaction in various Planning for the Pearl River Delta Region and major trans-provincial cooperation social and recreational activities. The Law (2008-2020)” in 2008. The Framework platforms. advocated close co-operation, integration Society takes turn with the Guangdong and common development of the cities in The Framework Agreement on Deepening Lawyers Association and the Macao Bar the Pearl River Delta Region with Hong Guangdong-Hong Kong-Macao Association to organise the Annual Sports Kong and Macao aiming to build the most Cooperation in the Development of the Meet for lawyers in the three jurisdictions. dynamic and internationally competitive Bay Area signed among the Hong Kong During the Law Society’s annual Cross city cluster in the Asia- Pacific Region. Government, the Macao Government, Straits Four Regions Young Lawyers the National Development and Reform Forum, we will also organise social Since then, the liberalisation measures Commission and the Guangdong events including reception and visits for opening up the Mainland market to Provincial Government on 1 July 2017 participants from Hong Kong, Macao and Hong Kong are usually first implemented signified another milestone in the joint the Mainland to connect with each other on a pilot basis in the Guangdong development of the Great Bay Area. It set socially. Province. For instance, the relaxation of out clearly the objectives and key areas of The clear direction set by the national the restrictions on Mainland law firms co-operation among the various parties. that can form associations with Hong strategy in relation to the development Kong law firms in the Mainland under The cooperation in the legal service sector of the Great Bay Area has driven rapid Supplement VI to CEPA were first applied in the Great Bay Area was manifest in economic growth. Without going into to Mainland law firms in the Guangdong the increasing collaboration between detailed economic data, a simple Province in 2009. Hong Kong and Mainland law firms in the comparison between the data collated Guangdong Province. As of November in the Law Society’s Report on the Pearl

6 www.hk-lawyer.org April 2018 • PRESIDENT’S MESSAGE 會 長 的 話

River Delta Region in 2011 and the 粵港澳大灣區 化粵港澳合作推進大灣區建設框架協議》， current statistics is telling. Within 標誌著大灣區的合作發展，清楚闡明了各方 香港大多數人都祖籍廣東，在家鄉有很強的 a span of 7 years, the number of 合作的目標和關鍵領域。 lawyers in the cities in the Pearl River 親屬聯繫。我們也有共同的方言，粵語只唯 Delta Region or the Great Bay Area 廣東獨有。香港與廣東的這種親密文化關係 大灣區法律服務界的合作，體現於香港與內 has nearly doubled or even tripled: 和歷史背景，為建設粵港澳大灣區(「大灣 地律師行在廣東省的協作日益加強。截至 Guangzhou (+79 %), Shenzhen (+100 區」)提供了親切及強而有力的推動力。 2017年11月，已有11間內地與香港律師行 %), Foshan (+130 %), Donguan (+100 以合夥方式聯營獲批准：深圳7間，廣州2 大灣區覆蓋深圳、廣州、惠州、東莞、佛 %), Zhuhai (+88 %), Zhongshan (+174 間，珠海2間。12名大律師及2名律師獲內 山、珠海、江門、肇慶和中山等9個廣東省 %). The increase in economic activities 地律師行聘請在廣東省擔任法律顧問。 in the Region has created a huge 城市，以及港、澳兩個特別行政區。 此外，律師會正與廣東省律師協會商討，設 demand for legal services and the 為充分利用這些城市的巨大潛力，這個富有 number of lawyers has been growing 立大灣區律師協會聯席會議制度，以協調推 遠見的計劃早在2008年已見雛形，鞏固每個 at an annual rate of as high as 25% to 動和擴大法律服務界的工作，並定期就大灣 城市的獨特優勢，促進互補。國務院於2008 meet the demand. 區發展的共同問題進行交流。律師會還計劃 年通過了《珠江三角洲地區改革發展規劃綱 Further, within roughly the same 參觀大灣區的其他城市。暫定於5月訪問廣 要(2008－2020年)》，倡導珠三角地區與 period, the number of Mainland 州、佛山和肇慶。 港澳地區緊密合作、整合和共同發展，打造 lawyers registered as foreign lawyers 香港律師與內地律師之間合作頻繁，不僅限 and the number of Mainland law 亞太地區最具活力和國際競爭力的城市群。 於專業相關事宜。為促進大灣區內地、香港 firms in Hong Kong have also 此後，大陸市場對香港的開放措施，通常先 及澳門司法管轄區律師的深入了解，律師會 increased substantially by 72% and 以廣東省為試點。例如，放寬內地律師行可 160% respectively. The Mainland has 舉辦各種社交及康樂活動，創造互動機會。 與香港律師行在內地聯營的限制，就是根據 replaced the US as the top jurisdiction 律師會與廣東省律師協會和澳門律師協會合 《內地與香港關於建立更緊密經貿關係的安 among foreign law firms in Hong Kong. 作，為三個司法管轄區的律師舉辦周年運動 排》補充協議六，於2009年首先在廣東省 As the Initiative progresses, it is 會。香港律師會每年舉辦「兩岸四地青年律 實施。 expected that more liberalisation 師論壇」期間，亦會安排社交活動，包括接 measures will be introduced to 2010年見證了粵港合作的新階段。《粵港合 待和訪問，讓港、澳、台和內地的參加者互 enhance the integration and 作框架協議》於2010年4月簽訂。律師會密 相聯繫。 complementarity of the strengths of 切監察發展情況後進行了一項研究，評估香 國家戰略清楚訂立大灣區發展的明確方向， each city in the Great Bay Area. The 港法律界在發展珠三角洲地區的角色，並在 Law Society will continue to work 推動經濟快速增長。且不談詳細的經濟數 2011年4月發表了《香港律所在珠江三角洲 closely with the relevant Mainland and 據，用2011年律師會的珠三角地區研究報 地區業務發展研究報告》。 Hong Kong authorities as well as the 告整理的數據與目前的統計數據作簡單對 legal professional bodies to advance 珠三角地區城市融合的願景，逐漸發展成大 比，就能說明一切。在7年間，珠三角地區 the appropriate measures for the 灣區的概念，並參考了三藩市灣和東京灣的 或大灣區的律師人數幾乎翻了一番甚至兩 benefit of our profession. 發展。在2016年公佈的《國民經濟和社會發 倍：廣州(+79%)、深圳(+100%)、佛山 展第十三個五年規劃》特別提到了大灣區。 (+130%)、東莞(+100%)、珠海(+88%)、 大灣區已提升為國家戰略，鼓勵香港在促進 中山(+174%)。該地區經濟活動增加，帶 大珠三角區域合作、推動大灣區發展和跨省 來對法律服務的巨大需求，律師數量以每年 合作平台方面，發揮重要作用。 高達25%的速度增長以滿足需求。 Thomas So, President 2017年7月1日，香港政府、澳門政府，國家 此外，在大致相同的時期內，註冊為外地律 發展和改革委員會和廣東省政府簽署了《深 師的內地律師人數，及內地律師行在香港的 數目，也分別大幅增加了72%和160%。內 地已取代美國，晉身香港外地律師行的司法 管轄區首位。 隨著大灣區倡議的進展，預計將會實施更多 自由化措施，以加強大灣區城市的整合互 補。香港律師會將繼續與內地、香港當局及 法律專業團體密切合作，推行適當的措施， 造福法律界。

蘇紹聰 會長

www.hk-lawyer.org 7 • April 2018

CONTRIBUTORS 投 稿 者

Hin Han Shum 岑顯恆 Squire Patton Boggs, Associate 翰宇國際律師事務所 律師 Hin Han Shum has a broad range of advisory and 岑顯恆有廣泛的諮詢及爭議性商業事務 contentious commercial experience. She focuses her 經驗。她專注於電信業務，並就數據私 practice on telecommunications, and advises on data 隱，網絡安全與技術事宜提供建議。 她 privacy, cybersecurity, and technology matters. She 曾在各種訴訟程序中擔任法律代表，並 has served as legal representative in various litigation proceedings and is an accredited general mediator. 且是經認可的一般事務調解員。

Nicholas Millar Nicholas Millar Nicholas Millar is a solicitor and civil higher courts advocate. Nicholas Millar是一名事務律師及民事高等法院的出庭代訟 He would like people to instruct him rather than represent 人。 他希望人們委任他而不是他們自己出庭進行訴訟。 themselves.

8 www.hk-lawyer.org April 2018 • CONTRIBUTORS 投 稿 者

Jenkin Chan 陳少勳 Foo and Li, Solicitor 李鳳翔律師事務所 律師 Jenkin is a solicitor, notary public and accredited general 陳少勳是一名律師，公證人和經認可的 mediator. He is currently a consultant with the law firm 一般事務調解員。他目前是李鳳翔律師 of Foo and Li. 事務所的顧問。

Rowan Varty 華路雲 Tanner De Witt, Solicitor 泰德威律師事務所，律師 Rowan attended the University of Nottingham to Rowan在諾丁漢大學修讀法律及在香港 read law and the University of Hong Kong where he 大學獲得學士後法律證書。他於2011年 obtained his PCLL. He joined Tanner De Witt in 2011 加入泰德威律師事務所成為實習生，請 as a trainee and in September 2014 he qualified as a 了一年假參加職業橄欖球賽後，於2014 practising solicitor after taking a year off to kick-off his professional rugby career. At Tanner De Witt Solicitors, 年9月取得執業律師資格。在泰德威律師 Rowan works closely with the Employment team. He 事務所，Rowan與僱傭事務團隊密切合 also assists with a range of immigration matters. 作。他也協助處理一系列的移民問題。

www.hk-lawyer.org 9 • April 2018

DISCIPLINARY DECISIONS 紀 律 裁 決

Kwong Ka Yin Phyllis (the ‘Respondent’) 鄺家賢 (下稱「答辯人」) • Principle 4.16 of the Hong Kong Solicitors’ Guide to Professional •《香港事務律師專業操守指引》第一冊(第二版) Conduct, Volume 1, 2nd Ed (the ‘Guide’) (「《指引》」)第4.16條原則 Hearing date: 聆訊日期： 22 August 2017 2017年8月22日

Findings and Order: 裁斷及命令： 21 December 2017 2017年12月21日 The Solicitors Disciplinary Tribunal (‘Tribunal’) found the following 律師紀律審裁組(下稱「審裁組」)就答辯人承認的以下 complaints against the Respondent proved on her own admission : 各項申訴裁斷屬實： 1st Complaint Breach of principle 4.16 of the Guide in that on or about 5 December 第一項申訴 2013, the Respondent entered into a retainer agreement (the ‘First 答辯人違反《指引》第4.16條原則，事緣答辯人於約 Retainer Agreement‘) with a company (the ‘1st company‘) to act for 2013年12月5日與一間公司(「第一間公司」)簽署了 the 1st company in respect of a High Court proceedings (the ‘Court 聘用協議(「第一份聘用協議」)在一宗高等法院訴訟程 Proceedings‘), in circumstances where the First Retainer Agreement 序(「訴訟程序」)中代表第一間公司，而就當時情況， amounted in part to a contingency fee arrangement for the 答辯人於第一份聘用協議就處理爭訟法律程序上訂立 Respondent acting in contentious proceedings. 的一部分構成了按判決金額收費的安排。 2nd Complaint Breach of principle 4.16 of the Guide, in that on or about 5 December 第二項申訴 2013, the Respondent entered into a retainer agreement (the 答辯人違反《指引》第4.16條原則，事緣答辯人於約 ‘Second Retainer Agreement‘) with a company (the ‘2nd company‘) 2013年12月5日與一間公司(「第二間公司」)簽署了 to act for the 2nd company in respect of the Court Proceedings, in 聘用協議(「第二份聘用協議」)在訴訟程序中代表第二 circumstances where the Second Retainer Agreement amounted in 間公司，而就當時情況，答辯人於第二份聘用協議就 part to a contingency fee arrangement for the Respondent acting in contentious proceedings. 處理爭訟法律程序上訂立的一部分構成了按判決金額 收費的安排。 3rd Complaint Breach of principle 4.16 of the Guide, in that on or about 5 December 第三項申訴 2013, the Respondent entered into a retainer agreement (the 答辯人違反《指引》第4.16條原則，事緣答辯人於約 ‘Third Retainer Agreement‘) with a company (the ‘3rd company‘), 2013年12月5日與一間公司(「第三間公司」)簽署了 to act for the 3rd company in respect of the Court Proceedings, in 聘用協議(「第三份聘用協議」)在訴訟程序中代表第三 circumstances where the Third Retainer Agreement amounted in 間公司，而就當時情況，答辯人於第三份聘用協議就 part to a contingency fee arrangement for the Respondent acting in contentious proceedings. 處理爭訟法律程序上訂立的一部分構成了按判決金額 收費的安排。

10 www.hk-lawyer.org April 2018 • DISCIPLINARY DECISIONS 紀 律 裁 決

The Tribunal ordered : 審裁組命令：

(a) The Respondent be censured; (a) 譴責答辯人；

(b) The Respondent be fined a total sum of HK$6,000 in respect of the (b) 就第一項、第二項及第三項申訴，答辯人被罰款合 1st Complaint, the 2nd Complaint and the 3rd Complaint; 共港幣6,000元； (c) By consent, the 4th Complaint be withdrawn; (c) 同意撤回第四項申訴； (d) The costs of the proceedings including the costs of the Clerk and (d) 答辯人須支付有關程序的訴訟費，包括書記費用及 the costs of the investigation by the Law Society be borne and paid by the Respondent on a party-and-party basis, to be taxed if not 律師會的調查費用，如雙方未能就金額達成協議， agreed. The costs of the Clerk having been agreed at a fixed sum; 則按訴訟各方對評基準評定。書記的費用為已同意 and 的固定金額；及

(e) The Respondent’s application under s. 13A of the Legal (e) 答辯人根據《法律執業者條例》(第159章)第13A條 Practitioners Ordinance, Cap.159 for a non-publication order be 提出不發表裁斷命令的申請被駁回，沒有作出有關 dismissed with no order as to the costs. 訟費的判決。 Mr. Glenn Haley of Haley Ho & Partners for The Law Society of Hong Kong. 凱利何律師事務所 Glenn Haley律師代表香港律師會 Mr. Clive Grossman S.C. for the Respondent on the instructions of Messrs. 郭兆銘資深大律師按曾憲文律師事務所指示代表答辯人 H M Tsang & Co. 審裁組書記姚定國先生 Mr. Iu Ting Kwok, Clerk to the Tribunal. 審裁組成員：

Tribunal Members: 石偉明律師(主席) Mr. Albert Bux (Chairman) 袁達堂律師 Mr. Yuen Tat Tong 李秀慧女士 Ms. Lee Sau Wai, Cecilia

www.hk-lawyer.org 11 • April 2018

Letter to Hong Kong Lawyer 給《 香 港 律 師 》的 信

By Annette Bain, Co-Chair Asia Pro Bono Conference Programme Committee 2018

Free Does Not Mean Pro Bono 免費與公益不盡相同 The catch cry ‘pro bono’ is increasingly used in the wider community ‘Pro bono’這一用語，現時在社會上日漸靠近免費的意 as a synonym for free, but this is not actually what it is. Short for 思，但事實並非如此。Pro bono是’pro bono publico’ ‘pro bono publico’, or ‘for the public good’, pro bono pertains to a 或 ‘for the public good’（為社會公益）的一個簡化說 philosophy which goes far beyond the question of cost. But as the 法，其意義遠超過費用層面。然而，隨著’publico’這 word ‘publico’ fades from common usage, the true meaning of this 個詞逐漸在日常的使用上消失，整個片語的真正意思， phrase is drifting away. In the legal profession, we must however 因此也在逐漸起變化。可是，身為法律界的我們必須時 remind ourselves that pro bono still refers to pro bono publico. It arises from the longstanding professional responsibility of lawyers to 常提醒自己，pro bono的真正意思，仍然是指pro bono assist in upholding the administration of justice. This is a key element publico。它的真正含義，源自律師一向以來所肩負的專業 in building and strengthening rule of law, which relies on the law 責任－就是為秉持公義盡一分力。這是一項建立和加強法 being applicable and accessible to all members of the community. 治的重要元素，並且全賴法律為大眾所使用，並為他們所 Pro bono therefore increases access to justice for those marginalized 掌握。因此，pro bono能夠讓該些在社會上被邊緣化， members of the community, who have no other means of accessing 且不能享有法律援助的群體，得以享有更大程度的司法公 legal assistance. 義。 Free or discounted work that lawyers are often called upon to do 律師如果只是為家族、朋友、客戶提供免費或減費的法律 for family, friends or clients is not pro bono. This is best described 服務，這並不屬於公益，充其量只是一種特惠性質的服 as concessional work, and benefits us in some way, usually in terms of retaining a personal or business relationship. As a result, these 務，讓別人在某方面得益（而其目的，通常是為了維持某 types of matters can present heightened risks of legal conflicts and 種個人或業務關係），但由於其尋求持續或加強一種密不 breaches of confidentiality, because of the interwoven relationships 可分的關係，這有可能會導致產生更高的法律衝突風險， they seek to continue or strengthen. Concessional work is not pro 並且違反保密責任。特惠服務不屬於公益，而後者的目 bono work. Rather, pro bono is defined by the fact that its purpose 的，是要為無法尋求司法公義的人提供幫助。普遍而言， is to assist people who otherwise could not access justice. Generally, 他們包括該些不符合資格享有政府所資助的法律服務的 these are people who are ineligible for Government funded legal 人、沒有經濟能力支付私人法律服務的人、被邊緣化的 services, who cannot afford to pay for private legal services, or those 人，以及給他們提供協助的機構，而因此，他們未能享有 who are marginalized and the organizations which assist them and 在法律意見或法律代表方面的實際與適時資源。 as a result who have no practicable and timely source of legal advice or representation. 儘管律師事務所為客戶提供的免費或減費服務不能稱為公 While not defining all free or discounted work undertaken by a law 益服務，但看來矛盾的是，公益服務確實可以為律師事務 firm as pro bono, somewhat paradoxically, doing pro bono work 所自身創造價值。雖然這不應是律師投身公益服務的理 can actually be of value to the law firm itself. It is not normally the 由，但無可否認，公益服務確實能讓律師事務所得益。一 rationale for doing pro bono but there is no denying that it can 項於2016年在澳洲進行的獨立研究，就公益服務對律師 be beneficial. In 2016, an independent study in Australia tested 事務所業務所具之價值（即所謂的公益服務“業務層面” a long-held anecdotal belief about the value of pro bono to the ）的一個根深蒂固信念進行了驗證。在該項研究中，共

12 www.hk-lawyer.org April 2018 • LETTER TO HONG KONG LAWYER 給《 香 港 律 師 》的 信

businesses of law firms, the so-called ‘business case’ for pro bono. 有九家大型澳洲律師事務所就其所參與的公益服務接受訪 In that study, nine large law firms in Australia were interviewed 談，而它們都認同公益服務在其招聘、挽留人才、聘任、 about their pro bono practices, and each of them endorsed the view 能力提升、事業進展、業務發展、客戶關係、公司的聲 that pro bono was good for recruitment, retention, engagement, 譽和文化等方面產生了積極作用。 [Australian Pro Bono competency acquisition, career progress, business development, Centre: The Value of Pro Bono to Law Firms, August client relationships and the firm’s reputation and culture.[Australian 2016] Pro Bono Centre: The Value of Pro Bono to Law Firms, August 2016] 公益服務能夠促進法律界的相互協作，提供與同僚和客戶 Pro bono nurtures collegiality across the legal profession, and 之間的合作機會，而又無需面對尋求利潤的壓力。我們喜 provides the opportunity to work with colleagues and clients without 見香港在這方面的蓬勃發展，因為現在有越來越多的律師 the pressure of the profit motive. At the local level, we have seen this blossom in Hong Kong with law firms and NGOs working together 事務所和非政府組織共同攜手，為推動該些協助弱勢社群 on an increasing number of projects that assist vulnerable members 的項目而努力，而此等合作，可說是法律專業達至的崇高 of the community. Such cooperation is the legal profession at its 境界。香港每隔數月，便會有一家律師事務所舉辦公益服 finest. Every couple of months a law firm hosts the Hong Kong Pro 務圓桌會議，那是一個匯聚各方代表（包括律師事務所、 Bono Roundtable, a forum which brings together representatives 企業法律顧問、非政府組織、法律學院等）的論壇，共同 from law firms, corporate counsel, NGOs and law schools to discuss 探討法律界如何更有效地投身社會公益服務，任何對公益 how the profession can better offer work pro bono publico. Anyone 服務有興趣的人士都歡迎出席。 who is interested in pro bono is welcome to attend. 在區域性和全球性的層面，例如在老撾、緬甸、柬埔寨、 At the regional and global level, pro bono projects are also 尼泊爾和印尼等地，公益服務項目亦提升了法律機構的地 increasing access to justice by growing capacity for legal institutions in locations like Laos, Myanmar, Cambodia, Nepal and Indonesia. 位，從而促進司法公義。該等項目涉及法律事宜，並通常 Projects include legal matters and also often involve delivering CLE 包括提供持續法律教育和實用法律培訓。儘管在整個區域 and practical legal training. While the full impact of the potential for 促進司法公義和加強法治的公益項目所產生的總體影響尚 pro bono projects to increase access to justice and strengthen the 未完全實現，但我們必須謹記，它與免費提供服務不盡相 rule of law across the region has yet to be fully realized, let’s keep in 同。 n mind that it has nothing to do with such work being free. n

Hong Kong Pro Bono Culture 香港公 法律文化 益

www.hk-lawyer.org 13 • April 2018

FROM THE SECRETARIAT 律師會秘書處資訊

Ms. Heidi Chu, Secretary General 獨營執業者缺勤時的執業運作安排 秘書長朱潔冰律師 律師培訓旨成為客戶可以信賴的顧問。我們分析 客戶的立場、確定法律問題、解釋實際影響，並 Managing Absences for Sole Practitioners 提供建議，以保護客戶的合法權利。這就是律師 As solicitors, we are trained to be trusted advisors of our clients. We analyse a 每天的工作。為確保建議全面涵蓋相關問題，我 client’s position, identify the legal issues, explain the practical implications and 們不遺餘力，認真考慮案件的每一個細節。 provide advice on ways to protect the client’s legal rights. This is what solicitors 律師為客戶服務，盡心盡力。有些律師對客戶的 typically do day-in and day-out. To ensure the advice we give covers the relevant 事務傾盡關注，甚至忽略了自己的事務。獨營律 issues comprehensively, we meticulously consider every detail of the case leaving 師行尤其如此。 no stones unturned. Solicitors give their best to serve clients. For some, their undivided attention 截至2018年2月底，香港有892間律師行，其中 to client matters has even resulted in a neglect of their own affairs. This is 423間(47%)是經營。獨營執業者肩負著自己經 particularly the case with sole proprietorships. 營法律執業的重擔。為確保客戶的利益始獲得保 As of the end of February 2018, there were 892 Hong Kong law firms. Out of 護，當局對獨營執業者缺勤時的安排，訂立了監 them, 423 (47 percent) are sole proprietorships. A sole practitioner shoulders 管要求。 the heavy burden of running the legal practice on his own. To ensure that clients’ 律師行的每間辦事處須由一名律師在該辦事處公 interests are protected at all times, there are regulatory requirements governing 開營業的全部時間內通常駐在該辦事處。此外， arrangements in the event of an absence of the sole practitioner. 亦必須有一名持有無條件限制的執業證書的律 Every office of a legal practice must be managed by a practising solicitor who 師每天駐在辦事處，該律師必須在該辦事處有充 is normally in attendance at that office during all hours when it is open to the 分時間，以確保受僱於該處的職員受到足夠的管 public. Further, the office must also be attended on each day by a solicitor with 理，並為當事人的諮詢提供所需的利便。(《律師 an unconditional practising certificate who will spend sufficient time to ensure adequate control of the staff and afford adequate facilities for consultation with 執業規則》第4A條) clients (Rule 4A of the Solicitors’ Practice Rules). 因此，根據《律師執業規則》規定的最低監管標 A sole practitioner must therefore make adequate standing arrangements for 準，獨營執業者必須為缺勤期間的管理作出適當 his practice to be managed during his absence in accordance with the minimum 安排。放假通常必須提前安排，作出缺勤期間的 standards of supervision provided in the Solicitors’ Practice Rules. Absences for 安排通常不會太大困難。 holiday breaks are often scheduled in advance and arrangements during such a period of absence can be put in place generally without much difficulty. 然而，有時遇到生病、意外等，不得已突然缺 席。為了對執業的干擾減至最低，應預先擬定常 However, some absences, like illness, may occur unexpectedly. To enable the 規安排。例如， practice to continue with minimum interruption, standing arrangements should be in place at all times. For example, - 必須有一位持有無條件限制的執業證書、資歷 - There must be a willing solicitor who holds an unconditional practising 足夠和具相關經驗的律師，願意在獨營執業者 certificate with sufficient seniority and relevant experience ready to supervise 突然缺席時，監管該執業； the practice in a sudden absence of the sole practitioner; - 必須作出適當安排，在有需要時通知有關方 - Proper arrangements must have been made to notify, when necessary, 面，協助該律師監管執業，例如專業彌償計劃 relevant parties to facilitate the supervision of the practice by the solicitor 的管理公司，以確保該律師有彌償保障，以及 including, for instance, the manager of the Professional Indemnity Scheme to 通知該律師行的銀行，以確保該律師可操作客 ensure that there is indemnity cover for the solicitor as well as bankers of the 戶和公司賬戶。 practice to ensure that the solicitor can operate the client and office accounts. It is also important that the staff and the family of the sole practitioner are kept 讓職員和獨營執業者的家屬了解這些常規安排和 informed of these standing arrangements and the identity of the solicitor who has 同意協助監管的律師的身份，亦很重要，以便他 agreed to assist to supervise the practice so that they know exactly what to do 們在需要立即採取行動時，確切知道該做什麼及

14 www.hk-lawyer.org April 2018 • FROM THE SECRETARIAT 律 師 會 秘 書 處 資 訊

and who to approach when the circumstances require them to act immediately. 向誰求助。 Incidentally, the appointment of an attorney under the Enduring Powers of Attorney 在這方面值得一提，根據《持久授權書條例》 Ordinance (Cap. 501 of the Laws of Hong Kong) is worth a mention in this context. (香港法例第501章)委任受權人的規定，允許授 An enduring power of attorney (‘EPA’) under the Ordinance allows a donor, while he 權人在精神上有能力行事時，委任受權人處理其 is still mentally capable, to appoint an attorney to take care of his financial matters 財務事宜，以免他隨後陷入精神上無行為能力的 in the event that he subsequently becomes mentally incapacitated. While a general 狀況。雖然一般授權在此情況下將不再有效，但 power of attorney will cease to be effective in such situation, an EPA will “endure” 持久授權將「忍受」授權人精神上無行為能力， the donor’s mental incapacity and give the attorney the power to continue to take care of the donor’s financial affairs. 賦予受權人繼續管理授權人的財務事宜。 In the Solicitors’ Practice Rules, there are also provisions dealing with the 《律師執業規則》還有一些條款涉及獨營執業者 unfortunate event of the death of a sole practitioner. Under rule 5AA of the 不幸逝世的情況。根據第5AA條的規定，獨營 Rules, a sole practitioner is required to make a will containing provisions for the 執業者必須訂立遺囑，指明其去世後管理執業的 management of his practice after his death. The sole practitioner has to provide 安排。獨營執業者必須向律師會提供關於遺囑地 information to the Law Society regarding the location of his will, the identity and 點、執行人身份和聯繫信息，以及被指定管理其 contact details of his executors and of the solicitor appointed to manage his 執業的律師的資料。這些要求旨在令獨營執業者 practice upon his death. The purpose of these requirements is to direct the mind 思考如何處理其他自身的事務。他必須決定若不 of a sole practitioner to his own affairs. He has to decide what arrangements he wishes to put in place with respect to the management of his practice in the 幸去世，將如何管理其執業，作好必要的準備， event of his death and make the necessary preparation. This is important as the 這一點非常重要，因為擬定適當的安排，可避免 existence of proper arrangements can avoid the prospect of an intervention by the 律師會介入，致令遺產受益人承擔高昂的成本。 Law Society, the cost of which is high and is to be borne by the beneficiaries of the 《律師執業規則》第5AA條規定，律師有持續責 estate. 任向律師會提供有關資料，獨營執業者開始執業 The requirement to provide the relevant information to the Law Society under rule 後若提交的資料有任何更改，必須在更改後14天 5AA of the Solicitors’ Practice Rules is a continuing obligation in that any changes 內通知律師會。這可以確保律師會備存的5AA表 to the information filed upon commencement of the sole proprietorship must be 格記錄，可作為現行安排。以往曾出現案例，在 submitted to the Law Society within 14 days of the change. This ensures that the record kept by the Law Society in the rule 5AA form can be relied on as the current 表格上被提名的律師拒絕擔任律師管理人，因為 arrangement. We have had experience of solicitors named in the form refusing to 他們聲稱根本不知道被任命，或從未同意擔任管 act as solicitor managers on the basis that they were not aware of the appointment 理。 or they had never consented to act. 因此，獨營執業者應不時查閱向律師會提交的 Sole practitioners are therefore urged to check from time to time the details in 5AA表格，確保資料正確無誤。如有任何更新， the rule 5AA form that they had filed with the Law Society to ensure that the 請盡快通知律師會。5AA表格可在律師會網站下 information is still accurate. If there is any update, please advise the Law Society 載。 as soon as possible. The rule 5AA form can be downloaded from the Law Society website. Monthly Statistics on the Profession 業界每月統計資料 (updated as of 28 February 2018): (截至2018年2月28日)： Members (with or without Practising Certificate) 10,791 會員(持有或不持有執業證書) 10,791 Members with Practising Certificate 9,367 持有執業證書的會員 9,367 (out of whom, 7,051 (75%) are in private practice) (當中有7,051位 (75%) 是私人執業) Trainee Solicitors 1,182 實習律師 1,182 Registered Foreign Lawyers 1,479 (from 33 jurisdictions) 註冊外地律師 1,479 (來自33個司法管轄區) Hong Kong Law Firms 892 (47% are sole proprietorships and 香港律師行 892 (獨資經營佔47%，2至5名合夥人的 41% are firms with 2 to 5 partners, 21 are limited liability 律師行佔41%，21間為按照《法律執業者條例》 partnerships formed pursuant to the Legal Practitioners Ordinance) 組成的有限法律責任合夥律師行) Registered Foreign Law Firms 85 (14 are limited liability partnerships formed 註冊外地律師行 85 (14間為按照《法律執業者條例》 pursuant to the Legal Practitioners Ordinance) 組成的有限法律責任合夥律師行) Civil Celebrants of Marriages 2,107 婚姻監禮人 2,107 Reverse Mortgage Counsellors 446 安老按揭輔導法律顧問 446 Solicitor Advocates 51 訟辯律師 51 (46 in civil proceedings, 5 in criminal proceedings) (民事程序：46位，刑事程序：5位) Student Members 187 學生會員 187 Registered Associations between Hong Kong law firms and 37 香港律師行與外地律師行 37 registered foreign law firms (including Mainland law firms) (包括內地律師行)在香港聯營 www.hk-lawyer.org 15 • April 2018

16 www.hk-lawyer.org April 2018 • COVER STORY 封 面 專 題

Face to Face with Teresa Ko China Chairman, Freshfields Bruckhaus Deringer

By Navin G. Ahuja

Teresa Ko’s career is characterised by a series of ‘firsts’. She became the first Chinese and a female to be made an equity partner at Freshfields and the first partner to be appointed China Chairman; and the first ever female chairman of the Listing Committee of the Hong Kong Stock Exchange. Adopting the motto “life is what you make of it and never never never give up”, she maintains a work- life balance, having two children who are young adults now who still talk to their mum and staying happily married.

eresa was born and raised in a Master’s degree from Cambridge. “It time were that trainees at big law firms Hong Kong. As a child, she proved I had a brain after all, which was spent most of their time photocopying Twas not too fond of school and a relief to me and my family. Setbacks which was “far from the truth and her grades were “often a disaster”. are not failures if you deal with them especially so today”. She sleep-walked on one occasion proactively and learn lessons from A decade before Hong Kong’s handover and asked her mother to sign her red them. Over the years I have become an to China, whilst Hong Kong’s economy inked report. At 13, she was sent off to avid believer of the growth mindset. I was booming, Teresa decided that it a convent boarding school in the UK consider myself a late developer and I was a good time to move back. She was to be “educated”. Although this was am still developing!” also lured by the luxury of accessing an intimidating experience when she Law was not Teresa’s first choice of affordable domestic help. “I don’t have first arrived as she did not speak much career. She did some sewing when she to do the ironing anymore!” Teresa had English, she soon appreciated the perks: was little which might be the reason she received lots of job offers but chose to less homework and most of the time was interested in fashion design. “I even work at Freshfields which was a small she worked with classmates together made a Qipao for my mother and I have law firm in Hong Kong at the time with in groups. Too much of a good thing always had a creative streak in me!” just three partners and around five led to grades that were inadequate for Teresa’s father however didn’t think it associates. admission to university. “My life’s first was much of a profession but she knew big failure.” Teresa fortunately realised Teresa hadn’t planned on specialising he would not object to the law. Teresa her mistake. She jolted herself into a in IPOs. “I thought joining a small office worked for four years as a lawyer at a massive study overdrive and attained would mean the work would be more medium-sized law firm in London (two two “firsts” - one being her law degree varied but I spent three years doing years as a trainee and two years as a from what is now called the University aircraft financing. This was very active solicitor). She hadn’t considered any of of Westminster, and the second being and hard work but I learned a huge the leading law firms as rumours at the

www.hk-lawyer.org 17 • April 2018

amount from the then senior partner Mandarin tutor subsequently re-wrote partner that doing one feels like a bit who was a legal guru in the asset the draft into Chinese “that a Mainland of an accident, but if we do two, we will financing field.” She also learned M&A audience could understand.” “I practiced have a track record. He then told me to from other partners. “So overall I had a the words with pinyin annotations all go and get the second one. I did get the very varied diet, literally doing anything over the page literally like a parrot for second one, and the rest is history.” and everything that came through our three weeks until I could sing the whole Teresa has kept her practice diverse. As door!” speech like an operetta.” Her efforts were well as listings, she has continued to not in vain – “we fortuitously landed Teresa was the only Chinese (or rather, work on M&A transactions, including ourselves with the first dual Hong Kong Cantonese) speaker in the office, as the many complex and novel deals such and New York listing of what is now only other Chinese associate resigned as a three-way privatisation, the most Sinopec Shanghai Petrochemical.” This after she had joined the firm. So when transformative banking takeover in meant more Mandarin. Beijing invited Freshfields (along with Hong Kong, cross-border outbound eight other law firms in Hong Kong) to Teresa found the first SOE listing to be acquisitions, securities joint ventures give a talk on how to list Chinese state- an incredible experience. They were in Mainland China as well as many owned enterprises (SOEs) on the Hong working an hour outside Shanghai takeovers and restructurings involving Kong Stock Exchange, Teresa was the in Jinshan, which is a gigantic listed and non-listed companies. “I only choice. “I protested and explained I petrochemical plant and a town for owe a lot of my legal grounding to my spoke Cantonese, not Mandarin and that the workers. “Part of our job included early days at Freshfields in Hong Kong, I didn’t even know what a listing was in separating the profit-making business thinking out-of-the-box and often those days, let alone being able to give a from the non-profit-making support working things out with just a blank talk on the chosen subject.” Teresa had services such as schools, hospitals, sheet of paper!” to prepare and give a speech with help. restaurants and even the courthouse, Teresa has faced many challenges, Internally, her colleagues in Freshfields which was nothing I (or anyone else for sometimes deal-related like creating London assisted in writing the speech. that matter) had ever done before. The WPIP or eIPO to facilitate simultaneous Externally, some Chinese translation listing was a great success and I was A- and H-share listings or easier service providers translated the speech astute enough to see this huge wave of applications by brokers respectively, into Chinese characters and Teresa’s listings coming. I told the then-senior

18 www.hk-lawyer.org April 2018 • COVER STORY 封 面 專 題

sometimes client driven like preparing is don’t always accept at face value four versions of a possible takeover what you are being told, (even when and restructuring transaction to this comes from your client!) – ask minimise suspension time and searching and thoughtful questions. sometimes market-driven like an In terms of ‘dos’, the first would be to unfortunate leak that needs sorting spend time to develop real legal skills as well as ensuring the deal still – the basic tools of the trade are the got done. “To me challenges are relevant rules and regulations – and often opportunities to do something to work on being technically strong. different, to differentiate ourselves or In Hong Kong, this means reading the myself and to make a difference. What Listing Rules, the Listing Committee’s I think is most important is not to decisions, the guidance letters, the panic, to keep a cool head and to think FAQs and understanding the rationale - it is no shame to say I have to think behind each rule and decision. about this - and it does help if there is Also, pay attention to the guidance a nice cup of tea to hand!” published by the SFC and what the Teresa has some ‘dos and don’ts’ for SFC is focusing on. The second ‘do’ IPO practitioners. “Let me start by is to take due diligence seriously. saying that preparing a company Remember to apply “professional for an IPO is both a privilege as well scepticism” - you are paid not only as a responsibility. It is a privilege to provide solutions but also to ask as we get to understand someone questions, not just to clients but also else’s business. This is usually a to the other professionals involved, fascinating and enriching experience and sometimes you need to ask tough as no two businesses are ever the questions. The third ‘do’ is to make same, whether the company is a state sure the management and directors of owned enterprise, a privately owned the company being listed understand enterprise or an international business. what it truly means to be a public It is also enormously satisfying to company. Lawyers have an important help take a company public. IPO role to play in training directors – “I proceeds can fuel further growth often tell clients that an IPO is only the which in turn benefits the company, its beginning of life as public company!” employees, its shareholders and other With regard to upcoming stakeholders. Preparing a company developments, “as many will know, for an IPO is also a responsibility as we will soon be able to list innovative serious legal and regulatory liabilities companies with weighted voting rights flow from so many aspects of the work on the Hong Kong Stock Exchange, list on an IPO.” US-listed companies with weighted Teresa shared three ‘don’ts’. The first voting rights and list pre-revenue as ‘don’t’ for IPO lawyers is not to end up well as pre-profit biotech companies on just being a document processor or our Exchange.” Teresa added, “whilst a glorified project co-ordinator. Even this is an exciting new chapter for junior lawyers can get involved in the our market, many of the companies prospectus and the whole exercise wishing to take advantage of this new and follow the discussions on the opening up will have a high risk or even substantive issues. The second ‘don’t’ speculative profile - we really need all is don’t just copy and paste and be a professionals to act as filters to ensure slave to precedents - think through the sustainable development of Hong what is needed, as what was in the last Kong as an international financial prospectus is no guarantee that it will centre and ideally to help to develop be right for this one. The third don’t

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Hong Kong as the venue of choice for challenged our tourist industry. The up reading papers and planning how to high quality companies to list and raise government is finally doing something chair the discussions so we had a proper funds here.” about this after 15 years as a statutory debate of the topics and developed body is being formed to regulate tour some sensible decisions to help improve A topic close to Teresa’s heart is guides and tour operators soon. In my our market. What I enjoy most is the the percentage of women on listed time, I did help to change the byelaws to interaction with fellow committee companies’ boards. “I question if the allow the government to appoint more members and the opportunities for current proposal goes far enough in independent directors to the board and learning and growth. I also think it is not providing gender breakdowns to allow the nomination of candidates vital that practitioners have a strong in listed companies’ disclosure even for direct election onto the board.” She voice so that practical as well as legal though the diversity policy disclosure is currently a Non-Executive Director of aspects can be considered by the is proposed to be upgraded to a listing the Securities and Futures Commission regulators.” rule requirement. It is embarrassing in Hong Kong and a deputy chairman of to see women on Hong Kong listed Recently, Teresa was appointed as one the Hong Kong Takeovers and Mergers boards at only 13.8 percent in January of 22 trustees of the IFRS Foundation, Panel. She also chairs the Investor 20181 when the statistics in all other which is responsible for the governance Compensation Company Limited. She major financial markets are well over and oversight of the International served on the Listing Committee of 25 percent if not higher. May be it is Accounting Standards Board, which sets the Hong Kong Stock Exchange from the reluctance of listed companies to IFRS Standards. “I value this opportunity 2006 to 2012, the first three years as bring about real change, to only pay as I believe in the mission of the a Deputy Chairman and the last three lip service to governance at board level foundation, which is to adopt a global years as Chairman. She has also served and to be reluctant to let capable and set of accounting standards across all as a member of the Exchange Fund committed independent non-executive jurisdictions. It is a truly international Advisory Committee of the Hong Kong directors function as they should that is organisation. Another opportunity for Monetary Authority and as a member the matter - why indeed should women learning for me!” of the Expert Advisory Committee for waste time on boards if nothing can ever M&A of the China Securities Regulatory With regard to the future of the law be changed for the better!” Commission. profession, she believes that lawyers Teresa is also involved in public service. definitely need to adjust and embrace “Being on these committees requires a She sat as an Independent Non- change. Notwithstanding artificial lot of commitment. I remember when I Executive Director of the Travel Industry intelligence and other technological was chair of the listing committee, every Council for eight years. “I learned a lot innovations, the legal business is a Wednesday night was spent buried about how a self-regulatory body was people’s business which brings with it under prospectuses and weekends not necessarily the best way to tackle the need for experience, judgement, before policy meetings were fully taken some of the problems which have relationships and the human touch; these are important facets of the profession that will endure. One piece of advice Teresa would like to give someone thinking of pursuing a career in law: “I have been incredibly lucky to have enjoyed my career in the law so tremendously – even though I didn’t originally choose it! It is hard work and getting even more competitive. So don’t do it if it is just to please your parents – nor just for the money. I hope if you consider a legal career it is because you believe in the power of the law which permeates every aspect of our society and you want to do your bit to uphold it – and to help and influence 1 Hang Seng Index (HIS) 50 listed companies others to do the right thing!” n

20 www.hk-lawyer.org April 2018 • COVER STORY 封 面 專 題

專 訪 高育賢 富而德律師事務所 中國區主席

作者 Navin G. Ahuja

高育賢律師事業生涯蘊含着多個「第一」。她是富而德律師事務所權益合夥人中的首位 華人女性，也是首位出任中國區主席的合夥人；她也是香港聯合交易所上市委員會的首 位女主席。就如她的人生格言：「生命由自己創造，永不永不永不言放棄」 — 高律師做 到了工作和生活兩者兼顧，婚姻幸福，兩名子女長大成人後與母親仍會彼此傾訴心事。

律師在香港出生和長大，年 為這證明了我有一個不錯的腦袋。挫折不 所的見習律師大部分時間都花在影印工作 少時不大愛上學，成績總是 等於失敗，但前提是，你必須以積極的態 上，但「其實這比事實差得遠，尤其是在 高「滿江紅」。有一次，她竟 度來面對，並從中汲取教訓。多年以來， 今天。」 在夢遊時請母親在她紅色的成績單上簽 我一直深信一個人可以持續成長。我認為 香港在回歸中國之前的10年經濟正值發 名！13歲那年，她離港赴英國的一間修 自己是起步較慢的一個人，而且至今仍在 展蓬勃，高律師認為那是她回港發展的適 院寄宿學校「被他人教育」。由於英語 繼續學習！」 當時機；而另一個吸引她回流的原因，是 能力不佳，最初她感到頗為吃力，但很快 法律本來並非高律師的首選事業。她小時 可以聘用負擔得起的家庭傭工。「我不再 便開始享受箇中的樂趣：那所學校功課不 候學過縫紉，而這也許是她對時裝設計特 需要自己熨衣服了！」高律師接獲不少聘 多，大多數時間是與同學一起進行小組研 別感興趣的原因。「我甚至曾經為母親縫 書，但她最後選擇了富而德律師事務所。 習。然而，樂趣過多便促成了惡果，她的 製過一件旗袍，而我是經常懷有創作激情 那時，富而德在香港仍是一家規模較小的 學業成績讓她進不了大學。「那是我人生 的！」然而，高律師的父親認為時裝設計 律師事務所 — 只有三名合夥人和大約五 遭遇的第一個重大挫折。」幸好她能迷途 不算是一門專業，而高律師知道父親不會 名助理律師。 知返，於是發奮圖強，最後取得兩個「一 反對她唸法律。高律師曾在倫敦的一家中 級」：一個是現稱為西敏大學的法律學士 高律師並沒有打算專門從事IPO方面的工 型律師事務所任職(兩年見習和兩年執業) 學位，而另一個是劍橋大學的法律碩士學 作。「我以為在一家規模較小的律師事務 。她當時並沒有考慮在大型律師事務所工 位。「我和家人都為此感到如釋重負，因 所工作會有機會處理各種業務，但是我花 作，原因是當時有傳言說，大型律師事務

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了三年時間在飛機融資的業務。這是一項 訴我去爭取第二個上市項目。我得償所 高律師也分享了三件她認為不應做的事。 很活躍和十分辛苦的工作，但我從當時的 願，以後的就不用多說了。」 對於處理IPO的律師，第一件不應做的 資深合夥人 — 一名當時在資產融資領域 事，是不要讓自己成為文件處理器，或僅 高律師維持多元化的業務領域。除了上市 鼎鼎大名的權威身上學到許多有用東西。 為美化了的項目協調人。即使是初級律師 工作外，她一直致力處理併購工作，當中 」此外，她也從其他合夥人學習如何處理 也可以參與招股書和整個項目的工作，並 包括許多複雜而新穎的交易，例如：三地 併購業務。「總括而言，只要是客戶委託 應緊貼項目上的實質討論。第二件不應做 私有化、香港最具改革性的銀行收購、跨 我們辦理的任何法律工作，各式各樣我都 的事，是不要只懂得複制和黏貼，讓自己 境境外收購、中國大陸的證券合資項目， 參與了！」 受先例所限 —需要仔細思考項目的獨特 以及許多關於上市公司和非上市公司的收 要求，因為我們不能保證上一份招股書的 高律師在其律師事務所裡是唯一會說華語 購和重組項目。「我現時的法律基礎，很 內容同樣適合在這次使用。第三件不應做 （其實只是會說廣東話）的人，因為另外 大部份是早年在富而德香港辦事處那裡磨 的事，是不論別人告訴你甚麼，切忌照單 僅有的一名中國籍律師在她進入富而德之 練得來的，這些經驗使我學會跳出思想框 全收(即使是客戶告訴你的！) —必須提出 後離職。因此，當北京邀請富而德(連同 框，以及由零開始著手尋找解決辦法！」 探究性且經深思熟慮的問題。 香港其他八家律師事務所)就中國國有企 高律師曾經面對許多挑戰，有些與交易 業如何在香港聯交所上市發表演講時，高 那麼，有甚麼事是應該做的呢？首先， 有關，例如：建立上市網上預覽資料集 律師成為不二之選。「我提出抗議並向他 需要多花時間培養真正的法律技巧 — 這 或電子申購股份系統，以分別促進A股 們解釋，我只懂說廣東話，不會說普通 一領域所涉基本工具是相關的規則和條 與H股同時上市及讓經紀人能夠較容易代 話，而且那時候甚至不懂甚麼叫上市，更 例 — 還需要鍛煉豐富的技術知識。在香 客戶申請認購新股；有些與客戶的需求 別說要就這一專題發表演講！」然而，在 港，這指研讀《上市規則》、上市委員會 有關，例如：在一項巨型的收購和重組 其他人的協助下，最後她還是為這次演講 的上市決策、指引信、常問問題，並且了 交易中準備四個不同的收購方式版本， 作好準備。在富而德內部，倫敦辦事處的 解每項規則和決定背後的理據。 以盡量減少停牌的時間；亦有一些與市 同事協助她撰寫演講稿；在外部，有翻譯 場的需求有關，例如：不幸發生資料外 此外，也需要關注證監會所發出的指引， 人員為她將演講稿譯成中文，再由高律師 泄，需要作出處理，並同時確保有關交 以及證監會聚焦的事項。第二件應該做的 的普通話導師協助重寫，使它成為「內地 易能繼續完成。「對我來說，新挑戰代 事，是要以認真的態度進行盡職審查。須 聽眾能聽懂」的中文。「我在整頁的講稿 表處理新事情的機會，以及能展示我們 謹記運用「專業的懷疑態度」— 客戶付 上滿滿的標註了漢語拼音，並且連續三星 或我自己與眾不同，能發揮影響力的機 費給我們，並非只要求我們給他提供解決 期像鸚鵡學舌一般練習，直至自己能夠將 會。我認為最重要的一點，是必須保持 方法，同時也要求我們去提問；不單只向 整篇講稿像輕歌劇一樣唱出來。」她的努 頭腦冷靜和認真思考，不要驚惶失措 — 客戶提問，也需要向其他相關專業人員提 力最終沒有白費 —「喜出望外地，我們 如果需要多一點時間思考，大可逕自提 問，而且所提出的問題有時需要夠尖銳。 獲得委託處理首宗在香港和紐約兩地上市 出，不必有所顧慮 — 而假如有一杯好茶 第三件應該做的事，是要確保正籌備上市 的交易，而所涉及的企業，就是現在的中 在手，則更可事半功倍！」 的公司管理層和董事了解作為一家公眾公 國石化上海石油化工。」這意味着，她還 司的真正意義。律師在培訓董事方面扮演 得繼續說普通話。 高律師同時提出了從事IPO工作的法律執 重要的角色 —「我時常告訴客戶，上市 業者應該做和不應做的一些事情。「首先 這一宗首次國有企業上市給高律師帶來 只是一家公眾公司生命剛開始的時候！」 我要指出一點，能夠協助一家公司籌備上 難以忘懷的經歷。他們需要前往上海遠 市，既是一種榮耀也是一種責任。之所以 對於未來的發展，「許多人都知道同股不 郊一小時車程的的金山區工作，那是一 稱它為榮耀，是因為我們有機會了解別人 同權架構的創新產業公司、同股不同權架 家規模十分龐大的石油化工廠，也是工 的業務，而這往往是一種非常有吸引力又 構的美國上市公司以及尚未盈利或未有收 人生活的一個市鎮。「我們的部分工作 能豐富閱歷的體驗，因為沒有兩家企業是 益的生物科技公司，不久之後都可以在香 包括將該企業的盈利性業務與學校、醫 完全一樣的，不管它是國有企業、民營企 港聯交所上市。」高律師補充稱：「這確 院、餐廳、甚至法院等非盈利性的支援 業，還是跨國企業。因而能夠協助一家企 是一個令我們市場感到振奮的新篇章。然 服務分開，這是我(或參與該項工作的其 業成功上市成為公眾公司會帶來非常大的 而，許多打算利用這一新開放政策的企業 他人)以前從未試過的。該次上市取得了 滿足感。上市募集得來的資金可以推動企 是高風險的，甚至涉及高度投機性 — 因 重大成功，而我察覺到，一輪巨大的上 業進一步發展，從而使公司、員工、股東 此，我們確實需要所有的專業人員均發揮 市浪潮即將到來。我告訴當時的資深合 和其他持份者得益。為一家公司籌備上市 其過濾功能，確保香港得以作為一個可持 夥人，我們做上第一宗上市別人可能會 也是一種責任，因為處理一項與IPO有關 續發展的國際金融中心，並盡力使香港發 認為是偶然，但如果可以做上第二宗， 的工作，須承擔多方面的嚴格法律和監管 展成為優質企業來港上市和籌集資金的首 那就形成了我們的業績記錄。他於是告 責任。」 選地點。」

22 www.hk-lawyer.org April 2018 • COVER STORY 封 面 專 題

高律師心中所記掛的一件事情，是女性在 董事進入董事會，以及容許提名候選人直 管及監督制定國際財務報告準則的國際 香港上市公司董事會所佔的比例。「雖然 接參與董事會選舉。」高律師目前擔任香 會計準則理事會。「我非常珍惜這一 有建議將多元政策披露提升為一項上市規 港證券及期貨事務監察委員會的非執行董 機會，因為我認同該基金會的使命，那 則的規定，但並無要求在上市公司的資料 事、香港公司收購及合併委員會副主席， 就是：讓所有司法管轄區採用同一套全 中披露按性別劃分的數據，我懷疑這建議 以及投資者賠償有限公司的主席。此外， 球性會計準則。它是一個真正的國際 是否已經足夠。女性在香港上市公司董事 她曾於2006年至2012年服務香港聯合交 組織，就我而言是另一個大好的學習機 會所佔的比例，於2018年1月1只佔百分 易所上市委員會，在前三年擔任副主席， 會！」 之十三點八，而其他主要金融市場的統計 後三年擔任主席。高律師亦曾擔任香港金 關於法律界的未來發展，高律師認為律 數字顯示，當地的上市公司董事會的女性 融管理局外匯基金諮詢委員會委員，以及 師必須作出調整和接受改變。儘管近年 所佔比例達百分之二十五甚至更高，對香 中國證券監督管理委員會併購重組專家諮 興起人工智能以及其他科技創新，但法 港而言這實在令人感到尷尬。問題可能在 詢委員會委員。 律業務畢竟是對人的行業，與它密不可 於上市公司沒有動力作出真正的改變，而 「在這些委員會擔任公職，需要作出很大 分的是經驗、判斷、關係、人與人的接 在董事會企業管治層面過於表面化，未能 的承擔 — 記得我在擔任上市委員會主席 觸；這些都是法律專業內不會被淘汰的 讓有承擔的獨立非執行董事於這議題發揮 時，每個星期三晚上都需要整夜埋首於招 重要元素。 其應有職能— 假若沒有途徑改善現狀， 股章程中，而在周末召開政策會議之前， 為何女性還要花時間擔任董事會成員？」 對於有意投身法律界的人士，高律師給 我需要不停地閱讀文件，思考如何引導大 予他們的一點意見是：「我很慶幸自己 此外，高律師亦參與其他公職。她曾在旅 家進行討論，以便各成員能夠就相關議題 如此熱衷從事法律工作 — 儘管投身法律 遊業議會擔任了8年的獨立非執行董事。 進行具建設性的辯論，並作出明智的決 界並非我的原意！律師的工作很辛苦， 「我深切了解到，一個自我監管的組織 策，以促進我們市場的發展。令我最難忘 並且競爭越來越激烈。所以，如果你純 未必是解決旅遊業所面對的某些問題的最 的，是與各委員之間的互動，以及從中學 粹是為了取悅父母，又或只是為了賺 佳方法。政府終於在15年後對此作出一 習和磨練的機會。我認為法律執業者必須 錢，那麼我勸你不要選擇當律師。如果 些舉措，目前正在籌組一個法定機構，以 發出強而有力的聲音，讓監管機構關注到 你考慮以法律作為終身事業，我希望這 盡快對導遊及旅行社作出規管。我在旅遊 實際執行和法律方面的問題。」 是因為你相信法律所能發揮的力量 — 它 業議會擔任公職期間，曾經協助修訂旅遊 高律師近期獲委任為國際財務報告準則 滲透了我們社會的每一層面，而你希望 業議會的章程，讓政府可以委任更多獨立 基金會的22名受託人之一，該會負責規 盡一己之力去維護它，並幫助和影響其 他人做應做的事！」n 1 恆生指數（恒指）50家上市公司

www.hk-lawyer.org 23 • April 2018

LAW SOCIETY NEWS 律師會新聞

The Hong Kong Academy of Law 香港法律專業學會 The Law Society and the Hong Kong Academy of Law organised a total of 香港律師會及香港法律專業學會於2月份舉辦了合共14 14 seminars in February, 2 of which had an audience of over 100. 場專題講座，其中有2場吸引了超過100位人士出席。

The Law Society organized a seminar entitled “International Arbitration 香港律師會、香港會計師公會及香港特許秘書公會於2 Law: The Most-Favoured Treatment Clause” jointly with The Hong Kong 月5日合辦了「國際仲裁法：最優惠待遇條款」講座， Institute of Certified Public Accountants and The Hong Kong Institute 介紹了《紐約仲裁公約》中針對締約國認可和執行外國 of Chartered Secretaries on 5 February. The seminar discussed different 仲裁裁決對最優惠待遇條款的不同解釋，講者為德國慕 interpretations of the Most-Favoured Treatment Clause in the New York Arbitration Convention on the Recognition 尼黑大學，法學院私法、商業和公司法，國際私 and Enforcement of Foreign Arbitral Awards 法和比較法講座教授Peter Kindler博士，並由香 in several contracting States. The speaker 港中文大學商學院公司法律副教授劉殖強教授 of the seminar was Professor Peter Kindler, 主持。超過100位人士出席了該講座。 Ph.D., Chair of Private Law, Commercial and Corporate Law, Private International Law and Comparative Law, Faculty of Law, Ludwig-Maximilians-Universität. Professor C.K. Low, Associate Professor in Corporate Law, CUHK Business School was the moderator of the seminar. The seminar attracted an audience of over 100.

A seminar entitled “The New Licensing Regime for Trust or Company 2月28日舉行了有關「信託或公司服務提供者(TCSPs)新許 Service Providers (’TCSPs’) and the Keeping of Significant Controllers 可制度和保留重要控制人登記冊(SCR)」的講座，向與會者 Registers (’SCR’) by Companies” was held on 28 February. The 介紹了新法例下TCSPs和備存SCR的主要法定要求。講者包 seminar apprised attendees of the major statutory requirements for 括香港中文大學及香港大學講師Judith Sihombing女士、公 the new licensing regime for TCSPs and keeping of SCRs under the 司註冊處副首席律師(公司法改革)陳蕙玲女士及公司註冊處 new legislation. The speakers and the panelists of the seminar were 高級律師(信託及公司服務提供者)陳綺芬女士。其他嘉賓包 Ms. Judith Sihombing, Lecturer of The Chinese University of Hong 括公司註冊處高級律師(公司法改革)莫少堅先生及公司註冊 Kong and The University of Hong Kong, Ms. Ellen Chan, Deputy Principal Solicitor of the Companies Registry and Ms. Margaret Chan, 處副公司註冊處經理(信託及公司服務提供者)黃恒偉先生。 Senior Solicitor, Registry for Trust and Company Service Providers 講座吸引了超過300位人士出席。 of the Companies Registry. Other panelists were Mr. Francis Mok, Senior Solicitor, Company Law Reform of the Companies Registry and Mr. Roger Wong, Deputy Registry Manager, Trust and Company Service Providers of the Companies Registry. Over 300 participants attended the seminar.

24 www.hk-lawyer.org April 2018 • LAW SOCIETY NEWS 律 師 會 新 聞

IP Committee’s Meeting with WIPO China In January, the Intellectual Property Committee of the Law Society met the Director of the World Intellectual Property Organization (’WIPO’) in China, Mr. Chen Hongbing. Members exchanged views with Mr. Chen on developments of intellectual property in Hong Kong and in China, the opportunities arising from the Belt and Road Initiative and the growing demand for quality IP service in the Asian region. The Committee looks forward to more discussions and cooperation with WIPO China. 知識產權委員會與世界知識產權組織中國辦事處 舉行會議 律師會知識產權委員會於1月與世界知識產權組織中國辦事處主任 陳宏兵先生會面。委員會成員與陳主任就香港和中國的知識產權 發展、一帶一路帶來的機遇以及亞洲地區對高質量知識產權服務 的需求增長等問題交換了意見。委員會期待與世界知識產權組織 中國辦事處進行更多討論和合作。

Young Solicitors’ Group – Secondees to London Unite! Firms view international secondments as an essential part of trainees’ and young lawyers’ development. As usual, London is a popular secondment destination for trainee solicitors and young lawyers from Hong Kong. To facilitate trainees and young lawyers on secondment or otherwise working in London for mutual support and community-building, last September, the Young Solicitors’ Group (’YSG’) invited those who were currently in London or were going to London to exchange their contacts. Around 30 participating members organised numerous events with other members in the group in the past six months. Trainees and young lawyers soaked up the historical sights and discovered other vibrant areas in London together in their free time. 年青律師組 – 借調律師於倫敦聚首一堂 Members who exchanged contacts were also well placed in London to travel to Europe and they did 律師行視國際借調為培育實習律師和年青律師發展的重要一環，而倫敦是頗 a lot of that at the weekends together. There are 受香港實習律師和年青律師歡迎的借調地點。 plenty of budget airlines and members reached 為協助借調在倫敦工作的實習律師和年青律師，互相支持和建立社群，年青 beautiful cities like Oslo, Rome, Paris and Madrid all in a couple of hours. 律師組於去年9月邀請了正在倫敦或將要前往倫敦工作的律師交換聯絡資料。 If you wish to connect with fellow young solicitors and 在過去6個月，大約30名參加者與群組內的其他成員舉辦了多次活動。實習 trainees, please keep an eye on activities organised 律師和年青律師在空閒時一起參觀歷史名勝，發掘倫敦有趣的地區。 by the YSG! 交換了聯絡資料的會員亦曾在周末一起暢遊歐洲，當地有不少廉價航空公 Reported by: Catherine Wong 司，只需幾小時就能遊覽到奧斯陸、羅馬、巴黎和馬德里等多個美麗城市。

如果您想與年青律師和實習律師建立聯繫，請留意年青律師組的活動！

由汪嘉恩律師報導

www.hk-lawyer.org 25 • April 2018

Spring Reception 2018 2018戊戌年新春酒會 Over 330 guests with Guests of Honour Mr Geoffrey Ma, Chief Justice of 律師會於2月26日舉行戊戌狗年新春酒會，由終審法院首 the Court of Final Appeal and Ms Teresa Cheng, SC, Secretary for Justice, 席法官馬道立先生及律政司司長鄭若驊資深大律師擔任 attended the Law Society’s Spring Reception 2018 held on 26 February 主禮嘉賓。約330名嘉賓和律師會會員在酒會上互送新年 to celebrate the Year of Dog. 祝福。 In his remarks, President Thomas So mentioned that 2017 was a year full of challenges. Foreseeing more challenges to come in 2018, he 會長蘇紹聰律師在致辭時表示，2017年是充滿挑戰的一 encouraged members to continue to uphold our core professional 年，預期2018年的挑戰將會更多。他鼓勵會員繼續維護 values and the Rule of Law as well as to continue as a trusted advisor for 法律界的專業核心價值和法治，同時保持各界對法律界 clients. 的信任，為客戶提供服務。

President Thomas So (second left) and Council Members welcomed Ms Zhou Lulu, Director of the Department President Thomas So extended his warmest New Year wishes of Treaty and Law, the Commissioner’s Office of the Ministry of Foreign Affairs of the PRC in the HKSAR (third to all guests. right), Mr Patrick Nip, JP, Secretary for Constitutional and Mainland Affairs (middle) and Dr. David Chung, JP, 會長蘇紹聰律師祝來賓新年快樂，萬事如意。 Under Secretary for Innovation and Technology Bureau (third left). 會長蘇紹聰律師（左二）及理事會成員歡迎外交部駐港特派員公署條約法律部主任周露露女士（右三）、政制及內地 事務局局長聶德權先生（中）及創新及科技局副局長鍾偉強博士（左三）。

Mr Geoffrey Ma, Chief Justice of the Court of Final Appeal (front row, fifth left) and Ms Teresa Cheng, SC, Secretary for Justice (front row, fifth right) and members on the Roll of Honour, Past Presidents, Council members and Secretary General. 終審法院首席法官馬道立先生（前排左五）、律政司司長鄭若驊資深大律師（前排右五）與榮譽名冊會員、前會長、理事會成員及秘書長。

26 www.hk-lawyer.org April 2018 • LAW SOCIETY NEWS 律 師 會 新 聞

President Thomas So (middle) and Council Members greeted Mr Yu Xuejie, Deputy Director- General of the Department of Law (second right). 會長蘇紹聰律師（中）與理事會成員祝中聯辦法律部余學杰副部長（右二）新春快樂。

www.hk-lawyer.org 27 • April 2018

Belt and Road Series: Intelligence Without Bounds?

By Hin Han Shum, Associate Squire Patton Boggs

quietly permeated our lives. We see it jurisdictions, are important issues to These 2 simple letters may A.I. in our smart phones (with programs explore. conjure up images of robots dominating which can respond and “talk” to us), in the world, but really—what is it? This article outlines issues on liability office personal assistant programs, in that we should examine in hopes of A.I. (artificial intelligence) is exactly chess games and in vehicles. All these creating a framework to allow A.I. what its name indicates. Intelligence new technologies use A.I. and are meant development and protect the safety of that is artificial- or synthesized—which to make our lives more efficient. The consumers and users of A.I. products. All allows a program/robot to perform tasks potential for it is boundless. the examples presented in this article usually performed by living humans However, these conveniences come are hypothetical and are not based on and animals. Though there is no set bundled with some complicated legal any existing products or research and definition for A.I., it commonly boils issues surrounding regulation and development, but serve to broach the down to the ability to associate one thing liability. The need to understand these subject of how to consider liability. with another by the use of algorithms, developments, consider whether to equations, big data learning, and past regulate within one’s own territory, and Regulation and Liability experiences how to reconcile the development and The need to create laws in relation to Though we may not notice it, A.I. has use of A.I. products amongst the other A.I. has been discussed much in the past

28 www.hk-lawyer.org April 2018 • CROSS-BORDER 跨 境

year, but the concepts are still very vague, The Operator? whether the liability will fall on the with the extent of the regulations (if any Assuming that we do not want to shoulders of the manufacturer of the at all) shrouded in uncertainty. explore holding robots and programs hardware which allows the program to be executed with. Ultimately, regulation is being accountable, we have to consider considered, to put in place accountability whether the operator, the manufacturer Let us consider a hypothetical closed- for liabilities. Who should be liable for or the coder is to be liable for loss or circuit television security system with the faults, negligence or damage that damages suffered by other humans. A.I. that is linked to a robot and able to may be caused by A.I. programs? In some cases, the operator of the A.I. subdue threats via a number of methods including issuing verbal warnings, The A.I. Robot? robots/programs could simply be an unwitting person who presses a button to police notification and in extreme Can the A.I. robot (or program, if there start up the A.I. program. Or it could be circumstances, can fire bullets at threats. is no physical form) be liable? This a passenger who happens to be sitting in The program is coded to allow for the discussion goes into ethics and the extent the front seat of an autonomous vehicle. system to identify a threat (eg if someone we are willing to recognize A.I. robots/ This person may not know the latent is screaming whilst being held at knife programs as beings accountable for defects in the system, or may not be able point) and it can also learn what new their own actions. What could they give to to control the learning of the A.I. robot/ threats are. If the program mistakenly compensate damage and loss suffered? program (which could possibly learn learns that any loud noises amount to an In theory, if A.I. robots/programs are to something wrong and amplify it). extreme threat, it may inappropriately be held liable, that would likely mean trigger the bullet shooting ‘subdue that they have first been given rights. Let us consider the following threat’ function. For example, suppose This concept encompasses a plethora of hypothetical example: a group of people were conversing fundamental rights questions, including Presume that an A.I. powered baking loudly to each other near the premises whether they should in the future be robot, which is operated by an operator where this security system was installed entitled to rights similar to our human who turns on a button, baked a wedding and the noise level was assessed by rights. cake and incorrectly added salt, rather the system as being an extreme threat. Let us consider this idea in the scheme than sugar. The cake was not the taste The security system then shoots at the of the Belt and Road. Spreading across that the consumer had contracted for group and injures them-- who would be more than 70 jurisdictions, the Belt and this problem could not be rectified liable? What if the accompanying bullet- and Road embodies a vast and rapidly in time for the wedding. Assuming the shooting robot had a defect, causing it to expanding trading platform with different operator had supplied all the sufficient shoot off target, thus injuring a passerby, religions and cultures– factors of which raw materials to the baking robot, would who would be liable? affect policy and law making. These the operator be liable? What if the Further to consideration of defects in nations may have different views on robot baker had “learnt” from big data the learning and execution of the A.I. whether A.I. programs themselves can (which may not always contain accurate robot, the range of the ‘subdue threat be held accountable, and cross border information) that foods are healthier with function’ will also have to be tailored disputes on this may be complicated less sugar and deliberately put the salt in for different jurisdictions, as the method if bodies of people have different it? Would the operator still be liable? for protecting one’s premises may be fundamental perspectives concerning A.I. The Coder and the Manufacturer? different amongst different jurisdictions. programs. If there are situations where the operator This may be an issue to consider if the The law should be able to provide for cannot control the A.I. robot/program, A.I. program can learn and develop its certainty to the furthest extent possible. If and damage and loss is caused to a third own assessment and reaction. some countries have regulations holding party, can the coder be liable? The coder Further to what was discussed above, the A.I. robot liable whilst others hold might have only created the program there may be other parties who might the operator/manufacturer/coder liable, and given it the power to learn from big be liable, and the above hypothetical there will not be any clarity and certainty data. Once the program leaves the hands examples only bring out some of the in the laws with regard to cross border of the coder, the coder may no longer be issues that should be considered. Issues trade, especially if the damage caused able to control it. in relation to foreseeability and causation could amount to a criminal offence also need to be explored. which cannot be contracted out of by the When we consider the coder’s potential liability, we may also need to consider parties. Building the Framework

www.hk-lawyer.org 29 • April 2018

These are tough questions, and how we view them will greatly depend on our laws and our view of humanity and ethics. Perhaps it may be possible to establish a government department consisting of technology savvy persons, policy makers, social scientists, legal professionals and also persons in the respective industries that the A.I. technology may be being developed for, to consider ways to regulate and develop A.I. technology so that it protects us but is not be duly restrictive to technological progress. Some of the existing laws can apply to certain situations to cover use of A.I. 一帶一路系列： Guidelines might need to be issued to further supplement those. As the technology is likely to be used 智能發展無極限？ across borders, especially in relation to 作者 岑顯恆 律師 翰宇國際律師事務所 programs using A.I., we may also need to consider setting up an international panel to regulate and prepare A.I.（人工智能）這兩個簡單字母所令 轄區協調人工智能產品的開發與使用，都 conventions on the use of A.I. to ensure 人想到的，可能是一個被機器人主導的世 是我們需要加以探討的重要問題。 the accountability is clear. Even though 界。然而，它的真正意思是甚麼呢？ 本文論述一些須予探討的法律責任問題， the technical development of A.I. 以期能建立一個可供發展人工智能，又能 might be without bounds, there should 它是一如其名，指一種人工或合成的智 為人工智能產品的消費者和用戶提供安全 be controls in place to help ensure 能，從而使某項程序或某個機器人，得以 potential damages to our society are 執行通常由人類或動物所執行的任務。儘 保障的架構。本文所舉的例子屬於假設性 kept within bounds and liabilities clear. 管人工智能目前並沒有一個確切定義，但 質，並非以任何現有產品或研究開發作為 通常我們可以將它歸納為：通過使用運算 依據，但它有助我們思考法律責任方面的 Join us 法則、方程式、大數據學習、過去的經驗 問題。 The Law Society of Hong Kong is 等，將一種事物與另一種事物聯繫起來的 organizing a second annual Belt 監管和責任 能力。 and Road Conference to be held on 究竟是否需要制定與人工智能有關的法 28 September 2018 at the Wanchai 事實上，它也許在我們沒有給予太大關注 例，過去一年雖然已經多所討論，但概念 Exhibition Centre and a main feature 的情況下，悄然進入了我們的日常生活 仍然顯得模糊，而所需的監管程度（如 this year is on technology. 中，我們可在智能手機（特別是那些安裝 有的話），仍同樣籠罩在不確定的情況之 To explore more about A.I. and the 了可給予回應及向我們「講話」的程序的 中。 legal issues with peers from the various 手機）、辦公室個人助理程序、棋類遊 我們需要考慮監管及法律責任方面的問 nations across the Belt and Road, please 戲、汽車等發現其蹤跡。這些新科技使用 題。最終，誰要對人工智能所可能導致的 join us at the Belt and Road Conference. 人工智能，目的是使我們的生活具更高效 失誤、疏忽或損害負責？ n 率，而它的潛力也無極限。

然而，它除了能為我們帶來便利外，也產 人工智能機器人？ 生了監管和責任方面的複雜法律問題。了 是否可以由人工智能機器人（倘沒有外在 解箇中發展情況，考慮是否需要在自身的 形式，則為人工智能程序）來承擔責任 領域作出監管，以及應如何與其他司法管 呢？這問題涉及倫理觀念，以及我們是否

30 www.hk-lawyer.org April 2018 • CROSS-BORDER 跨 境

願意承認人工智能機器人/程序就好像人 人，是由一名操作員負責操作。該操作員 和執行指令方面所可能出現的毛病外，也 類一樣，可為其自身的行為負責。對於 將按鈕按下，烘焙出一個結婚蛋糕，但機 必須針對不同司法管轄區之規定，確立「 所蒙受的損害和損失，它們究竟可作何賠 器人錯誤地將鹽（而並非糖）加入該蛋糕 制止威脅功能」的適用範圍，因為不同的 償呢？理論上，如果我們需要人工智能機 中，故這個蛋糕造出來後，並不是顧客 司法管轄區在保護處所的方法上會有所不 器人/程序為失誤負責，便等於是說，它 所原來要求的味道，但這一問題無法在該 同。該人工智能程序假如具備學習能力， 們應首先獲得賦予權利。這一概念，涉 顧客的婚禮中及時作出糾正。如果該名操 並能夠開發自身的評估和反應功能，這也 及許多基本權利方面的問題，包括它們在 作員已給該機器人提供了一切足夠的原材 許是一個須加以考慮的問題。 未來，是否應當享有類似人類所享有的權 料，他是否仍需要為這一趟失誤負責呢？ 除了以上的討論外，在責任承擔方面也許 利？ 假如該機器人從大數據中（當中的信息並 還會涉及其他當事方。上述的假設性例 非經常準確）「學習」到：糖份少一些， 讓我們試從「一帶一路」計劃來思考這一 子，旨在提出一些值得我們思考的問題， 食物將會更健康，它因而故意將鹽放入其 概念。「一帶一路」計劃的推展範圍，遍 而其他需要探討的問題，還包括可預見 中。在這情況下，有關責任應該由誰來負 及70多個司法管轄區，當中包含一個龐 性、因果關係等方面。 呢？該名操作員是否需為此負責呢？ 大並正在迅速發展，且具有不同宗教、文 化背景的交易平台－這些皆為對政策和法 編程人員和製造商？ 建立框架 這些都屬於棘手問題，而我們應如何看待 律的制定構成影響的因素。至於是否可向 假如出現某些情況，以致該名操作員無 這些問題，很大程度上取決於我們的法 人工智能程序追究責任，這些國家可能會 法控制該人工智能機器人/程序，從而給 律，以及我們的人文和道德倫理觀。 有各自不同的看法。假如不同的群體，在 第三者造成損害和損失，編程人員是否需 根本上對人工智能抱有不同的看法，那麼 要對此負責呢？他可能只負責編製有關程 也許可以考慮成立一個政府部門，邀請專 當出現這方面的跨境糾紛時，性質便會更 序，並賦予該程序從大數據學習的能力， 門技術人員、決策者、社會科學家、法律 形複雜。 而一旦該程序脫離了編程人員的手，編程 專業人士、在開發人工智能技術的行業中 法律應盡可能維持確定性，如果某些國家 人員便無法對它作出管控。 工作的人士等，共同深入研究如何規範和 發展人工智能技術，使它一方面可以為大 的法規，規定人工智能機器人需要承擔責 在考慮編程人員之潛在責任的同時，也許 眾提供保障，另一方面不會對科技的發展 任，而另一些國家的法規，則規定須由操 我們亦需要考慮：容許該程序運行的硬件 帶來不適當限制。 作人員/製造商/編程人員承擔責任，那麼 製造商是否應為此負責呢？ 與跨境貿易有關的法規將會欠缺清晰度和 目前有一些法例可適用於某些涵蓋人工智 讓我們再來看另一個例子。假設有一個閉 明確性，尤其是如果所蒙受的損害足以構 能使用的情況，政府可發出相關指引以對 路電視保安系統設有與機器人相聯的人工 成刑事罪行的話（在這情況下，當事方將 其作進一步的補充。 不可以藉合約免除有關責任）。 智能，能夠透過各種方法制止所面對的威 脅，包括：發出口頭警告、通知警方，以 人工智能技術的使用有可能涉及跨境性質 操作人員？ 及在極端情況下，向其所面對的威脅發射 （尤其是在使用人工智能程序方面），故 假定我們不欲探討機器人和程序是否需要 子彈。該程序的編寫，是為了讓該系統能 確實有需要就有關的監管設立一個國際專 承擔責任，我們便必須考慮，操作人員、 夠識別威脅的存在（例如，當有人被利器 家小組，為人工智能的使用擬訂公約，從 製造商或編程人員是否需要對其他人所蒙 指嚇而發出尖叫時），以及學習有哪些 而明確各方的責任。儘管人工智能的技術 受的損失或損害負責？ 是新出現的威脅。但假如該程序錯誤地以 發展並無極限，但我們需要訂立相關的管 為，任何響聲的出現，便意味著存在重大 控措施，以確保其不會對社會帶來巨大破 在某些情況中，人工智能機器人/程序的 的威脅，它有可能會不當地啟動發射子彈 壞，並使有關責任更為清晰明確。 操作員，可能只是一名普通的工作人員， 功能，以「制止威脅」的發生。例如，假 他只負責按下啟動人工智能程序的按鈕； 設有一群人在安裝了該保安系統的場所附 誠意邀請 又或是，他只是一名坐在自動駕駛汽車前 近高聲交談，而該系統將所測度到的音量 香港律師會正籌備假灣仔會議展覽中心舉 座的乘客。他也許並不知道該系統存在一 水平，定性為當時存在重大威脅，於是向 行第二次「一帶一路」週年論壇，時間是 些甚麼潛在缺陷，又或是他並不能夠對該 該人群發射子彈，並導致他們受傷－在這 2018年9月28日，而本年所討論的一個 人工智能機器人/程序的學習施加任何管 情況下，誰要對這事件負責呢？發射子彈 重點將會是科技。 制（這些機器人/程序有可能學習了一些 的機器人如果是因出現毛病而失準，以致 錯誤的東西，並將其擴大）。 會員如有興趣與「一帶一路」沿線國家的 把子彈射向其他路人，誰又需要為此負責 同業深入探討人工智能和相關法律議題， 讓我們看看以下的一個假設性例子： 呢？ 請勿錯過這一機會。 n 假設有一個由人工智能驅動的烘焙機器 我們除了需要考慮人工智能機器人在學習

www.hk-lawyer.org 31 • April 2018

Wear a suit!? Do I need a wig as well!?

A Procedural Wright Hassall

By Nicholas Millar

n 1999 Lord Woolf in effect tore up reforms. There has been a huge plethora that litigants in person be given no the then rules of civil procedure in of satellite litigation, often on technical special provision in interpretation or IEngland and Wales, as recorded in points. implementation of the civil procedure the White Book, and substituted new rules. Of necessity, they also dealt with With that procedural change and ones. His objectives included “simplicity what might constitute good service. plethora of litigation has gone a and clarity”. substantial increase in the number of Although the rule in issue in that case The changes in civil procedure in litigants in person. This is for a variety of is not exactly replicated in the Hong England and Wales have continued and reasons, not least in England and Wales Kong rules, the decision is of interest and indeed are continuing. the almost complete abolition of legal potential importance in Hong Kong. aid. Unfortunately Lord Woolf’s aims have The judiciary, and others, have expressed proved not to be met. The revised White In a recent decision (Barton v. Wright concern at the number of litigants in Book, which was originally quite slim, is Hassall LLP) [2018 UK SC 12] the person appearing before them, with the now of a greater volume than the one Supreme Court did on the 21st February consequent unfamiliarity with rules and in existence immediately prior to his 2018 hold, by a split three two decision, lack of following of such, as well as trials

32 www.hk-lawyer.org April 2018 • LITIGATION 訴 訟

being lengthier than might otherwise subsequent email on the 27th April 2013 “sanctions” imposed for failure to comply be. While litigants in person are far from BLM concluded their email by saying with the rules, a practice direction or unknown in the higher courts, they are “I await service of the claim form and a court order. He observed that part particularly prevalent in the District particulars of claim”. 6 is directed specifically to the rules Court where, apparently, between 40 governing service of a claim form and as On the 24th June 2013, being the last percent and 50 percent of cases have such “give rise to special considerations date before expiry of the period for at least one litigant in person. Given the which do not necessarily apply to other service, Mr. Barton emailed BLM with, impending increase in District Court formal documents …” and that “the main amongst other documents, the claim jurisdiction from $1M to $3M, coupled difference is that the disciplinary factor is form and particulars of claim “by way of with the very low financial limits to less important”. service”, and asked they acknowledge be eligible for legal aid, the number receipt of that email by return. He said that what constitutes “good of litigants in person is only likely to reason” for validating the non- increase further. BLM did not respond until the 4th July compliance service the claim form is a 2013 when they stated they had not matter of factual evaluation not lending Background of the case confirmed they would accept service by itself to over analysis or citation of In 1999 the appellant Mr. Barton was email. authority. He then referred to principles represented by a firm of solicitors Bowen By the court rules to be able to serve by derived from the decision of the Supreme Johnsons in proceedings for ancillary email – as is now permitted in England Court in Abela v. Baadarani [2013] 1 relief following his divorce. In 2005, and Wales – such is effective when the WLR 2043 where it was held that the he brought an action against those recipient has confirmed in advance that most important purpose of service solicitors alleging that they had failed they will accept service by email. was to ensure that the contents of the to protect his interests in the drawing of documents are brought to the attention the consent order by which the ancillary BLM went on to say that the claim form of the person to be served, this being the relief proceedings were terminated. had expired unserved and the claim was critical factor, although knowledge of the In those proceedings against Bowen statute barred. existence of the content of the claim form Johnsons Mr. Barton was represented by The English rules are quite lengthy and is not of itself a good reason to make an Wright Hassall LLP, until May 2007 when not as per the Hong Kong Rules. Before order validating non-compliant service. they were allowed to come off the court the District Court Judge (seemingly akin record following a dispute about fees. to a Master) Mr. Barton contended that Lord Sumption goes on to say that “in the generality of cases” the main Wright Hassall commenced proceedings he had complied with the rules and relevant factors are likely to be: claiming their costs against Mr. asked on three alternatives bases for Barton. He commenced an action, service to be validated or time thereof (i) whether the claimant (the plaintiff) which eventually culminated in the extended. has taken reasonable steps to effect Supreme Court decision, for professional He lost and was given leave to appeal service in accordance with the rules; negligence against Wright Hassall. In only on the basis that the “service” and that action for professional negligence by him be validated. All subsequent (ii) whether the defendant or his Mr. Barton initially acted in person. He hearings proceeded on the basis that solicitor was aware of the contents commenced proceedings by a “claim service by email was not valid (in the of the claim form at the time when it form” (essentially a writ) issued on the particular case) and the only question expired; and 25th February 2013. was whether such should be validated. (iii) what if any prejudice the defendant Apparently the present rules provide The limitation of the question posed would suffer by the retrospective that the claim form be served on the proved to be fatal to his claim, at all validation of a non-complaint service defendant by the court but that the subsequent levels including the Court of of the claim form, bearing in mind issuing party may elect to do so himself, Appeal and Supreme Court. what he knew about its content. as was the case with Mr. Barton. He had Lord Sumption specifically held that the four months in which to so do, his time Majority Decision fact that Mr. Barton’s mode of service expiring on the 25th June 2013. Lord Sumption delivered the majority successfully brought the claim form to judgement. He held that the particular On the 26th March 2013 Wright Hassell the attention of BLM is not sufficient, in rule (Part 6) which governs service in instructed their own solicitors, (BLM) that the manner in which this is done England and Wales is different in its who, on the same day, wrote by email is also important. He says that rules nature to other rules which confer a to Mr. Barton asking him to address all of court must identify some formal power to relieve a litigant from any future correspondence to them. In a step which can be treated as making

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the defendant aware of it, in order to and practice direction were “inaccessible Lord Briggs expressly disagrees with determine the exact point from which and obscure” on the basis that they are Lord Sumption. He says that he does time runs for the taking of further steps accessible on the Internet! not regard the fact that validation would or the entry of judgement in default of deprive the defendant of an accrued Lord Sumption says that BLM “were them. limitation defence as a factor against under no duty to give [Mr. Barton] validation. The defendant solicitors were He remarks that time stops running advice” that his purported service was aware of the attempt to serve them for limitation purposes when the claim not valid, or steps he might have been before the expiry of the claim form and form is issued and thus the period of the able to take to rectify the position. thus, in his view, the acquisition of the validity of the claim form is equivalent Lord Sumption appears to be directly limitation defence would have been “a to an extension of the limitation period influenced by the fact that the defendant windfall”. before the proceedings can effectively would have been deprived of a limitation begin. Lord Briggs does say that “save to the defence if service was validated. This is very limited extent to which the [civil Lord Sumption also records some to be compared with the attitude of Lord procedure rules] now provide otherwise, problems associated with electronic Briggs. there cannot fairly be one attitude to service, which, to date, do not concern compliance with rules for represented Hong Kong. More relevantly Lord Decision of Minority parties and another for litigants in Sumption records that, certainly in Lord Briggs (for the minority) dissented person, still less a general dispensation England and Wales, litigating in person and would have allowed the appeal. for the latter from the need to observe is not always a matter of choice, given Whilst noting the dictum in the Abela them …” the restrictions of the availability of case, as referred to above, Lord Briggs legal aid and (there) conditional fee goes on to say that there is a second Lord Briggs says that the good reason agreements. As such, litigants in person important purpose, namely to notify for validation, in his view, is not that Mr. lack of representation may justify making the recipient that the claim has not Barton was a litigant in person but rather allowances in making case management merely been formulated but actually that his attempted service by email decisions and in conducting hearings. commenced as against the defendant achieved all the underlying purposes of “But it will not usually justify applying to and upon a particular date. In other the present rules. litigants in person a lower standard of words the communication the contents compliance with rules or orders of the of the document be by way of service Conclusion court”. rather than just for information, as it Although they came to different is service which engages the court’s conclusions on the facts, the Law Lords He cites that “the overriding objective” jurisdiction over the recipient defendant. all appear to be of the view that no requires the court so far as practicable to particular allowance should be given enforce compliance with the rules. That Lord Briggs says that where all purposes to litigants in person as to (none) of course is not one of the “underlying of the rules about service (by email) compliance with “disciplinary” court objectives” within the Hong Kong rules had been achieved then in his view such rules, as distinct from case management (see Order 1A rule 1). was at least prima facie good reason for or conduct of hearings. validating service. Lord Sumption says “[t]he rules provide The Court of Final Appeal on its website a framework within which to balance the He says that in his view Mr. Barton gives very limited guidance to litigants in interest of both sides. That balance is attempts to serve the claim form and person as to how to deal with that court. inevitably disturbed if an unrepresented the particulars of claim by email did To what extent the Court of Final Appeal litigant is entitled to greater indulgence fully achieve the purposes underlying (or lower courts in Hong Kong) might in complying with them than his the rules about service by email. First, wish to refer to principles expounded represented opponent. Any advantage there was a common ground that the as to dealings with litigants in person enjoyed by a litigant in person imposes a defendant, through its solicitors, was in UK, where based on procedural rules corresponding disadvantage on the other fully appraised by the email of the that do not apply here, might be left side … Unless the rules and practice contents of the claim form. Second, for the future, although it should be directions are particularly inaccessible the claim form was sent expressly “by noted that the Court of Final Appeal or obscure, it is reasonable to expect a means of service upon you”, thus not just has demonstrated, most recently in the litigant in person to familiarise himself by way of information. Third, it had not decision of HKSAR v. Chan Kam-Shing with the rules which apply to any step been suggested that the recipient firm (FACC 5 / 2016), that it is quite willing which he is about to take”. was in any way hampered by not having to depart from decisions of the UK sufficient monitoring procedures in place Lord Sumption then specifically rejects Supreme Court. n etc. the contention that the particular rule

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Addendum. The below information was received too late for incorporation in the article. The judiciary does not keep statistics as to number of unrepresented litigants. It does keep them as to number of hearings involving unrepresented litigants. What the table does show is that there are a large number of hearings at all levels, including the Court of Appeal, involving at least one unrepresented litigant. Exactly why may be the subject of academic research. Given the number of hearings however Hong Kong might regard itself as lucky, to date, to have avoided procedural wrangles such as in the Wright Hassel case

2010 2011 2012 2013 2014 2015 2016 2017 Court of Appeal, Civil 37% 23% 24% 23% 20% 32% 25% 43% High Court Appeals Civil Trials/ Court of 32% 29% 27% 33% 33% 33% 40% 32% Substantive Hearings First Instance, Tribunal and Master High Court 63% 51% 67% 60% 61% 66% 57% 63% Appeals Civil Trials/ District Court 53% 51% 64% 51% 58% 53% 46% 61% Substantive Hearings

*Appeals/Trials/Substantive Hearings involving unrepresented litigants refer to those appeals/trials/substantive hearings in which at least one of the parties is unrepresented. Wright Hassall 案的程序性爭議

英國最高法院就近期的一宗案件 (Barton v. Wright Hassall LLP) [2018 UK SC 12] ，於2018年2月21日以三對二的比數裁 定，在民事訴訟程序規則的解釋和實施方 面，無律師代表的訴訟人不會獲得給予特 殊待遇，而該法院也因此無可避免地，須 處理什麼構成有效送達(service)的問題。

該案所論及的法院規則，雖然與在香港實 施的並非完全相同，但有關的裁決仍對香 港具參考價值和一定的重要性。

司法機構(及其他各方)關注到在法庭所審 理的案件中，有越來越多訴訟人並無聘 請律師。由於他們不熟悉和少遵循訴訟規 作者 Nicholas Millar 則，以致審訊時間經常超過原來所需時 間。儘管較高層級的法院所審理的案件， 爾夫勳爵(Lord Woolf)於1999 的心願並未能達成。該本原來不太厚的 也有訴訟人沒有聘請代表律師，但這情況 年事實放棄了英格蘭和威爾 White Book ，經修訂之後，體積比前更為 在區域法院較為常見。在後者所審理的案 士的民事訴訟程序規則(載於 伍 龐大。此外，附帶訴訟的數量也在不斷上 件中有百分之四十至五十，是至少有一名 White Book)，並以新制訂的規則取而代 升，而當中大多涉及技術性的爭拗。 訴訟人沒有聘請律師作為代表。由於區域 之，宗旨是要做到「簡單而明確」。 隨著修訂程序的持續進行，無律師代表的 法院的司法管轄範圍，即將從100萬元提 英格蘭和威爾士持續對其民事訴訟程序進 訴訟人也大幅增加。這情況的出現，是基 高至300萬元，以及由於申請法援的財務 行修訂，而這項工作現時仍在進行。 於各種不同原因，特別是因著英格蘭和威 資格限額過低，無律師代表的訴訟人只會 繼續不斷增加下去。 可惜的是，從實際情況觀之，伍爾夫勳爵 爾士的法律援助幾乎全被取消的緣故。

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案件背景 的情況般－但前提是收件人須在事前已確 下」，主要的相關因素大致為： 認，他們會接納以電郵方式送達。 1999年，上訴人Mr. Barton在其離婚訴 i) 申索人(原告人)是否已採取合理步 訟完結之後的附屬濟助法律程序中，聘 BLM續稱，Mr. Barton的申索表格的時限 驟，依據相關規則完成送達； 請了Bowen Johnsons律師事務所作為 已經屆滿，但仍未獲送達，故該申索因法 ii) 在申索表格的期限屆滿之時，被告人 其代表。他在2005年向該律師事務所提 定時限屆滿而被禁制。 及其律師是否已知悉當中的內容；及 起訴訟，指該所在擬訂關於終止附屬濟 英國法院的規則與香港的不同，前者的篇 iii) 假如不合規的申索表格送達得以成為 助法律程序的同意命令時，未能保障他 幅較長。Mr. Barton在區域法院法官(與聆 有效，被告人會因該等溯及既往的舉 的權益。Mr. Barton聘請Wright Hassall 案官相類)的席前辯稱，他已經遵守相關 措而蒙受什麼損害(並須考慮其對當中 LLP作為其向Bowen Johnsons提起訴訟 規則，並曾經要求使三種送達的替代方式 的內容有何知悉)。 的代表律師，而這情況一直維持至2007 成為有效，又或是延長有關的送達時間。 年5月。之後，雙方因法律費用問題產 Lord Sumption裁定，儘管Mr. Barton所 生爭議，Wright Hassall獲准終止作為Mr. Mr. Barton最後敗訴，法庭下令如果他要 作的送達，確實能讓BLM留意到該申索表 Barton的代表律師。 提出上訴，只能夠以使其所作的「送達」 格，但此舉並不足夠，因為如何實行也是 成為有效，作為提出上訴的理由。在其後 同樣重要。他指出，法院規則必須確立若 Wright Hassall就訟費事宜向Mr. Barton 進行的聆訊中，皆以藉電郵方式送達乃 干能讓被告人知悉有關送達的正式步驟， 提起訴訟，而Mr. Barton亦同時向Wright 屬無效(就該案件而言)作為基礎，而當中 從而得知一個確切時點，以作為採取進一 Hassall提起專業疏忽訴訟，並最後產生了 唯一需要考慮的問題，乃應否使其成為有 步行動，又或是法庭作出欠缺行動之判決 由最高法院所作的裁決。在該宗專業疏忽 效。 的時間計算依據。 訴訟中，Mr. Barton起初是親自行事。他 根據一份於2013年2月25日發出的「申 在隨後的各級審訊中(包括上訴法院和最 他續稱，如果申索表格已經發出，那麼與 索表格」(本質上與令狀相似)展開有關的 高法院)，時效乃Mr. Barton的申索失敗之 時效有關的時間計算便告停止，亦因此， 法律程序。 主因 該申索表格的有效期，乃相當於該法律程 序可有效展開之前的時效期限的延長。 現行規則明確規定，申索表格是由法院送 多數裁決 Lord Sumption亦提出一些與電子方式送 達被告人，但發出表格的一方有權選擇 Lord Sumption下達了由多數法官所作出 達有關的問題，但此等問題目前與香港 自行送達，而Mr. Barton當時也是選擇如 的判決，裁定規管英格蘭和威爾士之文件 並無關連。Lord Sumption指出，基於所 此實行。他需要在4個月內將有關文件送 送達的規則(第6部)，其在性質上，與免 提供的法律援助的限制性及按條件收費 達，而最後的限期是2013年6月25日。 除訴訟人因沒有遵守相關規則、實務指示 協議，英格蘭和威爾士的訴訟人沒有為自 Wright Hassell於2013年3月26日委託了 或法庭命令而須受「制裁」的其他規則有 己聘請代表律師，確實並非單純是一項選 自己的代表律師 (BLM)。同日，該代表 所不同。Lord Sumption稱，第6部尤其涉 擇。此等情況，為法庭在案件管理決定的 律師向Mr. Barton發出電郵，要求他將所 及與送達申索表格有關的規則，因此「需 作出、聆訊的進行等方面，給予無律師代 有今後往來的書信寄給他們。BLM其後 要對其作出特殊的，並非必然適用於其他 表的訴訟人寬容提供了理據。「然而，在 於2013年4月27日再向Mr. Barton發出電 正式文件的考慮…」，而「其主要分別， 遵守法院的規則和命令方面，讓無律師代 郵，並在結尾部分稱：「本人期待申索表 在於紀律性的因素較不重要」。 表的訴訟人得以適用一個較低的標準，此 格和申索詳情的送達」。 他指出，使不合規的申索表格送達成為有 舉並不恰當。」 2013年6月24日(即送達期限屆滿前的最 效，其「良好理由」是關乎對實際情況 他指出，「基本目標」要求法院在切實可 後一天)，Mr. Barton向BLM發出電郵，並 的衡量，而非倚賴過度的分析或對案例的 行的範圍內，強制當事人遵守有關規則。 「藉送達」附上(除其他文件外)有關的申 援引。隨後，他引述最高法院在Abela v. 但需要注意的是，這並不屬於香港的法院 索表格和申索詳情，並要求對方藉回覆該 Baadarani [2013] 1 WLR 2043一案的 規則之下的「基本目標」(參看第1A號命 電郵而作出確認。 裁決中所訂立的原則。該案裁定，送達的 令第1條)。 最重要目的，是為了確保收取有關文件的 BLM是直至2013年7月4日才給予Mr. 人，能關注到該些文件的內容。此乃一項 Lord Sumption稱「該等規則提供了一個 Barton回覆，當中表明他們從來沒有確認 重要因素，儘管知悉申索表格中的內容的 平衡雙方權益的架構。倘若沒有聘請代表 會接納以電郵方式送達。 存在，並非作出命令，使不合規的送達得 律師的訴訟人在遵守該等規則方面，比聘 根據法院規則，訴訟方可通過電郵方式作 以成為有效的良好理由。 請了代表律師的訴訟人獲得更大的寬容， 出送達－正如英格蘭和威爾士現時所容許 這一平衡便無可避免地會受到影響。無律 Lord Sumption續稱，「在一般的情況

36 www.hk-lawyer.org April 2018 • LITIGATION 訴 訟

師代表的訴訟人所享有的任何有利之處， 可以向收取該等文件的被告人行使司法管 法院規則的遵守，我們不能對聘有代表律 相應地成為了另一方所須面對的不利之 轄權。 師的一方持一種態度，而對無律師代表的 處…除非有關的法院規則和實務指示確實 一方又持另一種態度，否則將會造成不 Lord Briggs認為，如果與該送達(藉電郵) 無法查閱和令人難以理解，否則要求無律 公，而如果要普遍免除無律師代表的訴訟 有關的規則，其所欲達致的目的皆已達 師代表的訴訟人熟悉與其所採取的步驟有 人的遵規責任，這就更是大可不必…」 致，這至少從表面看來，已構成使該送達 關的規則，此舉實屬無可厚非。」 成為有效的良好理由。 Lord Briggs表示，使送達成為有效的良好 Lord Sumption接著否認該等法院規則和 理由，並非因為Mr. Barton是一名無律師 他認為，Mr. Barton嘗試透過電郵來送達 實務指示乃「無法查閱和難以理解」，因 代表的訴訟人，而是他嘗試透過電郵來送 申索表格和申索詳情，完全達致藉該電 為它們可透過互聯網查閱得到！ 達文件。這一做法，已達致現行規則所欲 郵來進行送達的規則所欲達致的目的。首 達致的所有相關目的。 Lord Sumption稱，BLM「並沒有責任告 先，雙方均認為被告(通過其代表律師)藉 訴[Mr. Barton]」有關的送達不具效力， 該電郵而對有關的申索表格之內容具有全 結語 又或是告訴他應當採取什麼步驟來糾正有 面性的了解；其次，該申索表格的送交， 儘管最高法院的大法官就相關案情達至不 關情況。 是表明為了「向閣下送達」，因此並非僅 同的結論，但他們看來都認為，就遵守「 供其參閱；第三，沒有任何證據顯示，收 Lord Sumption似乎認為：如果可使該案 紀律性」的法院規則而言(此等規則有別 取有關文件的律師事務所因沒有制訂充分 的送達成為有效，被告會因此被剝奪以 於案件管理或進行聆訊的規則)，無律師 的監管程序而受損。 時效作為其抗辯理由。我們試比較Lord 代表的訴訟人不應享有特別寬容的對待。 Briggs的看法。 Lord Briggs顯然並不同意Lord Sumption 香港終審法院就如何在該法院進行訴訟， 的見解。他表示關於「使送達成為有效， 試圖透過網站向無律師代表的訴訟人提供 少數裁決 會剝奪被告人以時效作為抗辯理由」的說 指引，但當中的內容十分有限，至於它( Lord Briggs(代表少數法官的意見)提出異 法，不可作為一項反對使送達成為有效 或香港較低層級的法院)是否願意參考英 議，認為應判處Mr. Barton上訴得直。雖 的考慮因素。被告人的律師知悉，原告人 國在處理有關事宜方面所運用的原則(其 然Lord Briggs留意到Abela一案的附帶意 曾嘗試在申索表格的期限屆滿前把文件送 所依據的程序規則並不適用於香港)，這 見(見上文)，但他認為不可忽略當中的第 達，故Lord Briggs認為，假如被告人能夠 仍有待日後的觀察。然而，值得注意的 二個重要目的－就是通知收件人，讓他知 以時效作為其抗辯理由，這純屬「意外收 是，終審法院在近期的HKSAR v. Chan 悉有關的申索不僅已草擬完成，並且已在 獲」。 Kam-Shing (FACC 5 / 2016) 一案的裁決 某日期向被告實際提出。換句話說，該等 Lord Briggs指出「除了[民事訴訟程序規 中，已表明在某程度上，它不欲依循英國 文件的內容已藉送達而向另一方傳達，而 則]現時所規定的極為有限情況外，關於 最高法院的裁決。 並非僅供其參閱。只有完成送達，法院才 n

補述 下列資料因為來得太遲，所以未能收納於本文中。司法機構並沒有保存關於無律師代表訴訟人的數目方面的統計資料，而只是保存 了涉及無律師代表訴訟人的聆訊數目。下圖顯示在各級法庭（包括上訴法庭）的聆訊中，有很大部分涉及至少一名無律師代表的訴 訟人，這也是它為何具有學術研究的價值。從該等聆訊數字來看，香港至今竟未發生像Wright Hassel案所出現的程序性爭議，這也 確屬幸運。

2010 2011 2012 2013 2014 2015 2016 2017 高等法院上訴法庭 民事上訴 37% 23% 24% 23% 20% 32% 25% 43%

民事審訊/ 實質聆訊 32% 29% 27% 33% 33% 33% 40% 32% 高等法院原訟法庭 審裁處及聆案官上訴 63% 51% 67% 60% 61% 66% 57% 63%

區域法院 民事審訊/ 實質聆訊 53% 51% 64% 51% 58% 53% 46% 61%

* 涉及無律師代表訴訟人的上訴/審訊/實質聆訊，是指在該等上訴/審訊/實質聆訊中，至少有一方並無律師作為其代表。

www.hk-lawyer.org 37 • April 2018 Law and Politics in Colonial Hong Kong

By Jenkin Chan Foo and Li

‘International Law as a Tool of Power Politics’ (the title of a book review by Meghana V. Nayak) This article recounts two famous and important court cases involving international power politics in Colonial Hong Kong.

38 www.hk-lawyer.org April 2018 • INTERNATIONAL LAW 國際法

The Man from Saigon Sir Stafford Cripps (the former Solicitor After the Central People’s Government General) was for the British Colonial of China proclaimed itself the Chinese In one cold evening of Jan 1933 at 3 Office, taking silk together with Pritt Government on 1 October 1949, the Chatham Road, Kowloon, which was previously. The parties arrived at a general managers of Central Air the private residence of Francis Henry settlement whereby the Government of Transport Corporation (‘CATC’) and Losby (1883–1967), a senior solicitor Hong Kong would undertake to use its China National Aviation Corporation of Russ & Co. and President of the best endeavours to secure that Sung (‘CNAC’), two major airlines in the Law Society, (whose daughter, Patricia should reach a place of his desire with Republic of China, defected to the new Losby was to become the first female costs awarded to Sung. Government together with some 2000 solicitor in Hong Kong on 27 July 1953) employees. They first flew 12 and then hosted with extraordinary treatment Still fearful for Sung’s safety (as both the 80 aircrafts to China, apparently on the and secrecy a fugitive from the French French and the Kuomintang detectives order of Zhou Enlai, the first premier colony of Annam called Sung Man were after him), his followers falsely of the new Chinese Government dated Cho. Sung went by the alias Nguyen Ai announced that Sung had died. Losby 12 November 1949, to protect all the Quoc. Losby, disguised as a European then arranged for him to stay at the assets of the two airlines in Hong architect, would meet Sung outside the YMCA and also sought assistance from Kong. This is commonly known as ‘the YMCA, where Sung stayed, and pretend the Governor, Sir William Peel. On the two airline incident.’ The defection of to be his contractor. He would then dark and chilly night of 22 January 1933, employees and removal of aircrafts take Sung to his house for dinner. Sung Sung disguised as a wealthy Chinese triggered a struggle for control of the would dress in a Chinese gown sewn by merchant together with Losby, boarded remaining aircrafts in the British Colony Mrs. Losby and wear a beard, looking a private launch organized by the whose embarrassed Government would like a Chinese professor. He would then Governor to reach the S.S. Anhui, which like to see this controversial issue be so seated that his back was to the was waiting for them outside the Hong resolved by the court. mirror to avoid being seen by any of the Kong Harbor. Sung departed Hong Losby’s household helpers. Kong for Amoy (escorted by Losby), then In an effort to save the aircrafts to Shanghai and Russia. Sung, the man remaining in the Hong Kong airfield, In fact, Sung was a client of Losby who from Saigon, was universally known by the Nationalist Government in Taiwan had successfully defended him in an his Chinese name, Ho Chi Minh (1890– appointed a loyal CATC employee, extradition proceeding in the Hong 1969). He was said to have formed the Ango Tai, to be the acting president of Kong Supreme Court and the Privy Vietnamese Communist Party during his CATC with full power to deal with all Council (see In the Matter of Sung Man stay in Hong Kong. its affairs on 13 November 1949. Ango Cho v. The Superintendent of Prisons Tai then obtained an interim injunction of Hong Kong and Another[HKCAMP When Ho Chi Minh told Francis Losby to restrain defected employees from 30/1931]). On 29 October 1929, the that he had no money to retain him removing the assets, but it was Imperial Court in Annam sentenced as his lawyer, Losby said: “I’ll defend disregarded and the physical control of Sung to death. He escaped to you because of honour, not for money.” the aircrafts were still in their control. Hong Kong, but was arrested and (see The Legal Case of Nguyen Ai Quoc On 5 December 1949 two US citizens, imprisoned in the Victoria Gaol. (Ho Chi Minh) in Hong Kong 1931- Claire Lee Chennault (formerly the US Through International Communist, 1933 (Documents and Photographs) general, and leader of the ‘Flying Tigers’ Losby was instructed to defend him (assembled by the National Political and the Republic of China Air Force as the French authority demanded his Publishers, the Ho Chi Minh Museum fighting for the Nationalist Government extradition without trial. There had (2006)). in World War II) and Whiting Willauer been nine sessions of hearing under a (a US diplomat) offered to purchase writ of Habeas Corpus and Sung was The Legal Battle in the Air the physical assets of CATC for US$1.5 represented by a newly-appointed The change of the ruling party and million. The offer was accepted by King’s Counsel, Francis C. Jenkin. government in China after World War the Nationalist Government on 12 When the Full Court ruled Sung to be II had caused a reshuffle of power and December 1949 with the condition that deported, it also granted him leave multiple claims for Chinese properties the assets sold would not be used to to appeal to the Privy Council. In the in Colonial Hong Kong, among which transport to or from the Communist Privy Council proceedings, Sung was was the plight of some 40 aircrafts that areas of China. The new partnership represented by Denis Noel Pritt, KC. had remained in the Kai Tak airfield.

www.hk-lawyer.org 39 • April 2018

was called Civil Aviation Transport ‘this was an act by members of the to midnight of 5–6 January 1950; Incorporated (‘CATI’), formed under the Nationalist Government done not in that the Communist Government laws of the State of Delaware, USA. good faith as trustees but for an alien was not the de jure government until and improper purpose.’ that time. On 12 December 1949, the On 5-6 January 1950, the British Nationalist Government was the de Government recognized the Central CATI appealed to the Full Court (Gould jure government of China, of which the People’s Government as the de jure and and Scholes JJ) (Appeal No. 5/1951) respondent was an organ and therefore de facto government of China. This was which dismissed the appeal on 28 the property in the 40 aeroplanes was the political background leading to the December 1951 adopting the first in the Nationalist Government. It was legal battle for the ownership of the ground of the Chief Justice while Gould open to the owners of the aeroplanes to Chinese aircrafts in Hong Kong. J dissenting on the second ground. In sell them and thereby to pass property his dissenting judgement, Gould J said On 19 May 1950, CATI instituted in them to the purchasers. Retroactivity that ‘the Central People’s Government proceedings in the Hong Kong court of recognition primarily operated to could not show any superior right against CATC, claiming a declaration validate acts of a de facto government or title to possession, nor can it rely that ‘the 40 aircrafts now on the which had subsequently become the upon any rights arising out of actual Government airfield at Kai Tak in the new de jure government, and not possession in the way it was; therefore it Colony of Hong Kong formerly the to invalidate acts of the previous de had no possession that could bring into property of the defendants…are the jure government. The winning party effect of the doctrine of retroactivity…I property of the plaintiffs and/or that immediately transported the remaining hold that the ordinary principle of the plaintiffs have the sole right to 71 aircrafts (hardly in flying condition) continuity was not displaced by any possession thereof.’ [Civil Air Transport to Los Angeles by an American aircraft consideration of retroactivity and that it Incorporated v. Central Air Transport carrier. follows that the Nationalist Government Corporation (OJ Action No. 269/1950)] was entitled to possession of and had The UK was one of the first countries The action was tried in March 1951 jurisdiction over the aeroplanes.’ It to recognize the Central People’s before Sir Gerald Howe, Chief Justice was observed that a special Order in Government as the de jure and de facto who dismissed the claim but allowed Council was made to give the Hong government of China and established appeal to the Full Court. CATI’s main Kong Supreme Court jurisdiction to hear diplomatic relation. But in June 1950, ground of claim was that ‘a change of the action notwithstanding the Central the Korean War broke out and the UK government is by succession and not People’s Government’s failure to was in alliance with the US under a but title paramount and accordingly appear. The US Government’s response UN resolution fighting for South Korea that Nationalist Government was was inimical as Republican Senator against North Korea which was then empowered to enter into this William F. Knowland termed the release supported by the PRC and the USSR. It transaction, being still recognized as of the aircrafts to Peking “one of the was the overture to the Cold War that the de jure government by the H.M.G. greatest blows to non-Communist lasted until the disintegration of the and the doctrine of retroactivity did world that has been delivered in that USSR in 1991. The reversal of judgmemt not apply.’ The Trial Judge rejected part of the world.” And the British by the English Privy Council in the this argument on two main grounds. Government was blamed for actually legal battle between the two airline The first ground was that the situation accelerating the spread of communism corporations would certainly please the of the Nationalist Government on 12 in Asia. [William M. Leary: Perilous US Government, but at the expense December 1949 was such that it could Missions: Civil Air Transport and CIA of further damaging the China-UK not validly enter into such a sale and Covert Operations in Asia 2006] relation. n that the terms of the purported sale were not such as the Government could CATI appealed to the Privy Council lawfully impose. The second ground of UK ([1952] UKPC 15) which was that the retroactive effect of the adopted Gould J’s argument and recognition by H.M.G. in the UK of the allowed its appeal. It was also held Communist Government as the de that the Nationalist Government jure government of China was as from must be regarded as the sole de jure 5-6 January 1950. He concluded that sovereign government of China up

40 www.hk-lawyer.org April 2018 • INTERNATIONAL LAW 國際法 香港殖民地時期的法律與政治

作者 陳少勳律師 李鳳翔律師事務所

「國際法作為強權政治的工具」 (Meghana V. Naya的一個書評題目) 由於擔心Sung的人身安全(因為當時的法 本文論述在殖民地時期的香港，兩宗涉及國際強權政治的著名和重要的法庭案件。 國政府和國民黨的偵查人員正在追捕他) ，Sung的追隨者乃訛稱Sung已經過世， 樞密院進行的引渡訴訟中，Losby成功 來自西貢的人 而Losby則安排Sung居於中華基督教青 為Sung進行抗辯(參看In the Matter of 在1933年1月的一個寒冷冬夜，Russ & 年會，並同時向當時的香港總督貝璐(Sir Sung Man Cho v. The Superintendent Co律師行的資深律師兼當時的香港律師 William Peel)求助。1933年1月22日晚 of Prisons of Hong Kong and Another 會會長 Francis Henry Losby (1883– 上，那是一個非常寒冷的黑夜，Sung偽 [HKCAMP 30/1931])。Sung於1929年 1967)(他的女兒Patricia Losby在1953 裝為一名富有的中國商人，在Losby的陪 10月29日被安南朝庭判處死刑，他輾轉 年7月27日成為香港的首位女事務律師) 同下，登上一艘由港督貝璐為他安排的 逃到香港，但被逮捕及囚禁於域多利監 以特殊及隱秘的方式，在他位於九龍漆 駁艇，將他載往正在香港外海等待的安 獄。法國當局要求香港在無需審訊的情 咸道3號的住宅，接待了一位名叫Sung 徽號輪上。在Losby的護送下，Sung離開 況下將Sung引渡，共產國際乃委託Losby Man Cho的客人，這位客人當時正在逃 香港前赴廈門，再轉往上海和俄羅斯。 擔任Sung的辯護律師。法庭就Sung的人 避安南(當時的法國殖民地)當局對他的 這位來自越南西貢的姓Sung男子，就是 身保護令進行了九次聆訊，Sung由一位 追捕。Sung當時以Nguyen Ai Quoc的化 後來廣為人知的胡志明(1890–1969)， 剛獲委任的御用大律師Francis C. Jenkin 名，居住在中華基督教青年會。Losby偽 而越南的共產黨，據說也是在他逗留香 作為代表。合議庭裁定Sung須被遞解出 裝為一名歐洲建築師，與Sung相約在青 港時期成立的。 年會的門外等候洽商，然後將他接到自 境，但批准他可向樞密院提出上訴。在 胡志明當時告訴Losby，他沒有錢聘請他 己家裡共進晚餐。Sung當時穿著一件由 樞密院的上訴程序中，Sung由御用大律 作為其辯護律師，但Losby對他說：「我 Mrs. Losby所縫製的長衫，臉上貼有鬍 師Denis Noel Pritt作為他的代表，而Sir 為你辯護不是為了錢，而是為了一份榮 鬚，外表看來像一位中國教授。Losby安 Stafford Cripps(英國的前律政專員)則代 譽。」(參看The Legal Case of Nguyen 排他坐在背對著鏡子的座位，以免他的 表英國殖民地部(他與Pritt在同一時期獲 Ai Quoc (Ho Chi Minh) in Hong Kong 容貌被家中傭人看到。 委任為御用大律師)。控辯雙方達成了一 項協議，而根據該協議，香港政府承諾 1931-1933 (文件及相片) (由胡志明 其實，Sung是Losby所處理的一宗案件 盡力確保Sung得以前往他打算前往的地 博物館轄下的國立政治出版機構彙編 的當事人。在這宗於香港最高法院和 方，並獲判給該案的訟費。 (2006)))。

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航空法律戰 1950年1月5-6日，英國政府承認中央 代。因此，國民黨政府有權管有該批飛 二次世界大戰後，中國的執政黨和政府 人民政府為中國的法律上及事實上的政 機，並對其享有管轄權。」事實上，英 出現更替，並導致當權者的權力重新 府。在這政治背景下，遂發生了在香港 國作出了一項英王會同樞密院的特別命 洗牌，而由此衍生的，是中國對在香 爭奪該批飛機的法律戰。 令，讓香港最高法院享有審理該宗訴訟 的司法管轄權，儘管中央人民政府並沒 港(當時屬英國殖民地)的多項資產提出申 1950年5月19日，「民航空運公司」 有就該聆訊出庭。美國政府對此作出了 索，其中包括當時停留在啟德機場的大 在香港法院向「中央航空運輸公司」提 憤怒的反應，其共和黨參議員William F. 約40架飛機。中華人民共和國中央人民 起訴訟，要求法院作出宣告：「該40 Knowland形容英國同意將該批飛機移交 政府於1949年10月1日宣布其為中國的 架現時停靠於啟德香港政府機場的飛 北京，是「非共產世界所遭受的其中一 唯一合法政府，而當時的兩家中華民國 機，以前是被告人的財產.....現時則屬於 個最重大打擊」，而西方國家亦埋怨英 主要航空公司：「中央航空運輸公司」 原告人，及/或原告人享有獨一的權利 國政府的此舉，實際加速了共產主義在 (CATC)及「中國航空(集團)有限公司」 管有該批飛機。」[Civil Air Transport 亞洲的擴散和蔓延。[William M. Leary: (CNAC)，連同其屬下二千多名職員， Incorporated v. Central Air Transport Perilous Missions: Civil Air Transport and 一起歸順了新成立的政府。在新政府的 Corporation (OJ Action No. 269/1950)] CIA Covert Operations in Asia 2006] 首任總理周恩來的命令下，這兩家航空 該宗訴訟於1951年3月在首席按察司Sir 公司的職員於1949年11月12日將首批 Gerald Howe席前進行審訊，他駁回了 「民航空運公司」向英國樞密院提出上 12架飛機，以及次批80架飛機駕駛回中 原告人所提出的申索，但批准其向合議 訴 ([1952] UKPC 15)，樞密院接納了 國，以保護該等公司在香港的資產，而 庭提出上訴。「民航空運公司」的主要 Gould J的論點，裁定該公司上訴得直。 這就是所謂的「兩航事件」。這兩家航 論據是：「政府是藉繼承而進行更替。 樞密院亦裁定，在1950年1月5-6日的 空公司職員的歸順，以及他們將飛機駕 在當時，國民黨政府仍被英國政府承認 午夜之前，國民黨政府須被視作中國唯 走，引發了對仍然停靠在香港的飛機的 是法律上的政府，因此有權訂立該項交 一的法律上的主權政府，而共產黨政府 控制權爭奪，而處於尷尬局面的香港政 易，而溯及既往的原則並不適用。」 主 在該時間以前，並非法律上的政府。國 府則建議希望透過司法程序來解決有關 審法官根據兩項主要理由反駁了這一說 民黨政府在1949年12月12日是法律上 爭議。 法。第一項理由是，國民黨政府在1949 的中國政府，而答辯人只是一個機關，

當時已遷至台灣的國民黨政府，為了取 年12月12日的處境，導致它未能有效進 因此該40架飛機的擁有權屬於國民黨政 回該批仍然停留在香港機場的飛機，乃 行該項出售，而該政府亦不能合法地就 府，而這批飛機的擁有人有權將它們出 於1949年11月13日委任了「中央航空 該項出售訂立條款；第二項理由是，英 售，並將其所有權轉移給買方。關於承 運輸公司」的一名本地職員Ango Tai作 國政府承認中國共產黨政府為法律上的 認方面的溯及既往，其主要目的是為了 為該公司的代理總裁，全權處理該公司 中國政府，其追溯力是從1950年1月5-6 使一個事實上的政府，當它後來成為一 的一切事宜。Ango Tai獲法庭頒發一項 日開始。該法官所作出的結論是：「有 個新的法律上的政府後，它先前的作為 臨時禁制令，限制該公司歸順新中國政 關的作為是國民黨政府成員所作出的擔 亦得以成為有效；但這項原則，並不是 府的職員挪移有關的資產，但這些職員 任受託人的作為，但它並非出於真誠， 要使先前的法律上的政府之作為成為無 並不理會該項禁制令，繼續維持對該批 而是出於為外國人的緣故以及為不適當 效。該宗訴訟審結後，勝訴一方隨即以 飛機的實際掌控。1949年12月5日，兩 的目的。 一艘美國航空母艦，將整批71架飛機運 往洛杉磯(該批飛機當時並不適於飛行)。 名美國人：一位是陳納德(他是一名前美 「民航空運公司」向合議庭提出上訴 國將軍，也是二次世界大戰時期的「飛 (Gould and Scholes JJ) (Appeal No. 英國是其中一個國家，最早承認中央人 虎隊」，以及國民黨政府麾下的中華民 5/1951) ，該法庭接納了首席按察司所 民政府為法律上及事實上的中國政府， 國空軍的指揮官)，而另一位是Whiting 提出的第一項理由(而Gould J就第二項 並與新中國建立外交關係。然而，1950 Willauer(他是一名美國外交官)，提出以 理由提出異議)，並於1951年12月28日 年6月韓戰爆發，而根據一項聯合國決議 150萬美元收購「中央航空運輸公司」 駁回了有關上訴。Gould J在其提出異 案，英國與美國聯手協助南韓抵抗北韓 的所有有形資產。國民黨政府於1949年 議的判決中指出：「中央人民政府不能 的侵襲(北韓當時獲中國及蘇聯的支持)。 12月12日接納該項收購建議，條件是該 在管有方面，證明其享有任何較高的權 它只是冷戰的一個序幕，而這冷戰一直 批資產於出售後，不得在共產政權所管 利或擁有權，也不能依據任何藉實際管 維持至蘇聯在1991年解體。關於該兩家 轄的中國範圍內，作為境內外的運輸工 有而產生的權利；因此，它並不享有任 航空公司的法律戰，英國樞密院最後推 具。這二人根據美國特拉華州的法律成 何可令致溯及既往原則生效的管有權..... 翻了香港法院的原來判決，美國政府對 立了一家公司，名為「民航空運公司」 本席認為，一般的持續性原則，並沒有 此顯然感到高興，但換來的，是中英關 (CATI)。 因為須對溯及既往原則作出考量而被取 係的進一步受損。n

42 www.hk-lawyer.org April 2018 • INDUSTRY INSIGHTS 業 界 透 視

INDUSTRY INSIGHTS 業 界 透 視

ARBITRATION “shows disregard for the integrity of our Proceedings were tortious in nature and legal system” and was “unethical” (see constitute a derivative action as it was Anti-Suit Injunction Granted article in the August 2017 of Hong Kong seeking remedy on behalf of the joint in Pro-Arbitration Judgment Lawyer). venture company, and that since the arbitration agreement was only made Facts and arguments In the latest chapter of the saga between between Arjowiggins and Shandong Arjowiggins HKK2 Ltd (‘Arjowiggins’) and The present case concerns an anti-suit Chenming, the arbitration agreement Shandong Chenming Paper Holdings injunction sought by Arjowiggins. It and the Award do not bind the joint Ltd (‘Shandong Chenming’), Justice was revealed that the Award remains venture company or the director. Mimmie Chan in the Court of First unpaid and that on 5 July 2017, Instance granted an anti-suit injunction Shandong Chenming commenced fresh Decision to restrain Shandong Chenming from proceedings in the Weifang court in Justice Chan examined the claims continuing its proceedings in Mainland Shandong Province against Arjowiggins raised in the Weifang Proceedings and China against Arjowiggins and an agent and a director of the joint venture noted that irrespective of the nature of Arjowiggins (see Arjowiggins HKK2 Ltd company nominated by Arjowiggins (the of the proceedings, the claims clearly v. Shandong Chenming Paper Holdings ‘Weifang Proceedings’). relate to the joint venture agreement Ltd [2018] HKCFI 93). This decision once and the parties’ rights and obligations Arjowiggins argued that the Weifang again highlights the pro-arbitration thereunder. She therefore held that Proceedings were in breach of the attitude of the Hong Kong courts. the Weifang Proceedings fall within the parties’ arbitration agreement. It also scope of the arbitration agreement. Case history argued that Shandong Chenming’s Further, she accepted that the claims conduct was vexatious and oppressive Arjowiggins and Shandong Chenming raised in the Weifang Proceedings have since among other reasons, the claims were parties to a joint venture agreement been determined by the arbitral tribunal, in the Weifang Proceedings have been which provided for arbitration seated and added that even if there are new decided by the arbitral tribunal. in Hong Kong. Dispute arose between claims, those claims should be pursued the parties and on 20 November In response, Shandong Chenming in accordance with the arbitration 2015, an arbitral tribunal issued an argued that its claims in the Weifang agreement. award in favour of Arjowiggins (the ‘Award’). Shandong Chenming made an application to set aside the Award, which was denied by Justice Chan on 12 October 2016. Arjowiggins then served a statutory demand on Shandong Chenming. On 7 July 2017, Justice Harris rejected Shandong Chenming’s application for an injunction to restrain Arjowiggins from presenting a winding up petition on the basis of the statutory demand. Justice Harris criticised Shandong Chenming’s conduct in his judgment, noting that the company’s refusal to honour the Award

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Justice Chan also agreed to extend suggested without deciding that s. 21L 情顯示，山東晨鳴未有支付仲裁判給的金 the injunction to proceedings against of the High Court Ordinance may be the 額，更在2017年7月5日在山東省濰坊法 the director, as Shandong Chenming more appropriate basis. 院針對Arjowiggins及Arjowiggins指定的 had made the same claims against the The saga continues as it is understood 合資公司董事展開新一輪訴訟(「濰坊訴 director in the arbitration on the premise that the Weifang Proceedings have since 訟」)。 that Arjowiggins was vicariously liable for been withdrawn but an appeal with the actions of the director. Justice Chan respect to Justice Harris’ decision on 7 Arjowiggins辯稱，濰坊訴訟違反兩方的 stated that to permit the proceedings July 2017 is pending. 仲裁協議，亦指稱山東晨鳴的行為是無理 would be to discredit the findings made 纏擾，咄咄逼人，因為(除了別的理由之 in the Award. - Joanne Lau, Associate, Allen & 外)仲裁庭已經就濰坊訴訟的申索作出了 Overy Finally, Justice Chan took into account 判決。 the conduct of Shandong Chenming in deciding whether to exercise the 仲裁 山東晨鳴的答辯指它在濰坊訴訟的申索性 court’s discretion to grant the injunction. 質上是侵權申索，而該訴訟是派生訴訟， Echoing the views of Justice Harris, 法庭判決支持仲裁並發出禁訴 因為它是為了代表合資公司尋求濟助，另 Justice Chan was highly critical of 令 指仲裁協議的締約方只有Arjowiggins和 Shandong Chenming’s conduct, noting 山東晨鳴，因此仲裁協議及仲裁裁決對合 that it “displayed complete disrespect 在Arjowiggins HKK2 Ltd( for the arbitration agreement and the 「Arjowiggins」)和山東晨鳴紙業集團 資公司或公司董事沒有約束力。 arbitral process” and that its “deliberate 股份有限公司(「山東晨鳴」)的長篇故 裁決 disregard of the order of this Court and 事最新的一章，原訟法庭法官陳美蘭發 陳法官查看山東晨鳴在濰坊訴訟提出的申 of the Award cannot be countenanced”. 出禁訴令，禁止山東晨鳴繼續在中國內 The anti-suit injunction sought by 索後認為，姑勿論訴訟的性質，申索明顯 地針對Arjowiggins及Arjowiggins的代表 Arjowiggins was therefore granted. 與合資企業協議及締約方據此享有的權利 人進行訴訟(見Arjowiggins HKK2 Ltd v. 和承擔的義務有關。因此，她裁定濰坊訴 Comments Shandong Chenming Paper Holdings Ltd 訟在仲裁協議範圍之內。此外，她接受 This judgment shows that the court is [2018] HKCFI 93)。這個決定再一次強調 Arjowiggins所指，仲裁庭早已就山東晨 prepared to look beyond the form of the 香港法庭對仲裁持支持態度。 impugned proceedings to determine 鳴在濰坊訴訟提出的申索作出裁定；她補 whether they in substance fall within 案件歷史 充說，即使有新的申索，該等申索應按照 the scope of an arbitration agreement. Arjowiggins和山東晨鳴是合資企業協 仲裁協議的規定提出。 As a clear recognition of the negative 議的締約方，該協議規定以香港為仲裁 aspect of an arbitration agreement, it 陳法官亦同意把禁制令擴展到針對董事的 shows that the court is willing to restrain 地。雙方發生爭議，2015年11月20日， 訴訟，因為在Arjowiggins就董事的作為 foreign court proceedings even after the 仲裁庭作出裁決，判Arjowiggins勝訴(「 負上轉承法律責任的前提下，山東晨鳴的 conclusion of the arbitral proceedings 該裁決」)。山東晨鳴申請撤銷該裁決， 申索與其在仲裁中針對董事提出的申索是 in order to guard against attempts to 陳法官在2016年10月12日拒絕接受該申 一樣的。陳法官說明，准許訴訟會使仲裁 re-litigate matters determined by the 請。 tribunal. It also serves as a reminder 裁決的定論受到質疑。 that the Hong Kong courts have little Arjowiggins其後向山東晨鳴送達法定要 最後，當決定是否行使法庭的酌情權， tolerance for parties who refuse to 求償債書。山東晨鳴申請禁制令，禁止 發出禁制令的時候，陳法官考慮了山東 comply with arbitral awards. Arjowiggins以法定要求償債書為基礎， 晨鳴的行為。陳法官附和法官夏利士的 A practical point to note is that 向法庭提出清盤呈請。2017年7月7日， 意見，嚴厲批評山東晨鳴的行為，指出 Arjowiggins’ application is based on s. 法官夏利士拒絕接納申請，在判決書批 山東晨鳴「表現得完全不尊重仲裁協議和 21L of the High Court Ordinance. By 評山東晨鳴的行為，指出該公司拒絕履 仲裁程序」，並且「刻意漠視本法庭的 way of comparison, it may be recalled 行仲裁裁決，「表現得漠視香港法律體 that in Ever Judger Holding Company 命令及仲裁裁決的命令，做法不可取」 Ltd v. Kroman Celik Sanayi [2015] 3 HKC 系的完整性」，是「不符情理」的(見《 。Arjowiggins申請的禁訴令因此獲批。 246, in which an anti-suit injunction 香港律師》2017年8月的一篇文章)。 was sought whilst an arbitration was 評論 案情和爭論點 pending, the applicant relied on s. 45 of 這次判決顯示法庭願意不囿於受質疑訴訟 the Arbitration Ordinance but the judge 本案關乎Arjowiggins尋求的禁訴令。案 的形式，以裁定有關訴訟是否在仲裁協議

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的範圍之內。判決清楚知道仲裁協議的負 Rules (Cap. 32H) confirming as is an argument for another case, but 面情況，顯示法庭為了防止有人試圖再就 much. an example given in the judgment is 仲裁庭已經裁定的事情提起訴訟，即使仲 The judgment of the judge in charge of of a petitioner who can show a risk of a misappropriation of a respondent 裁程序已經完結，也願意禁制在外地法庭 the “Companies List” of the High Court company’s assets such as to justify the 進行訴訟。判決亦提醒人們，對於拒絕履 is a significant departure from previous thinking in Hong Kong – including: (i) appointment of provisional liquidators. 行仲裁裁決的當事人，法庭的容忍度極 that a petition to wind-up a company Lasmos Ltd v Southwest Pacific Bauxite 低。 on the basis of insolvency would not (HK) Ltd represents not only a significant 這宗案有一點很實用：Arjowiggins是 be stayed in favour of arbitration even change in the law, it is also likely to have 根據《高等法院條例》第21L條提出申 if the debt arises in connection with an some important practical consequences. agreement that contains an arbitration 請的。現舉另一案件與之相比：在Ever For example, following these clause (Industry Insights, September developments, a court in Hong Kong Judger Holding Company Ltd v. Kroman 2014 – “Arbitrability of Shareholder should generally dismiss a winding-up Celik Sanayi [2015] 3 HKC 246，申請人 Disputes”); and (ii) the respondent petition that is based on an alleged 根據《仲裁條例》第45條申請禁訴令， company opposing a winding up should debt that comes within the terms of an 申請之時，仲裁仍未之結，不過法官認為 demonstrate that it has a bona fide arbitration clause in a contract, provided 但沒有裁定《高等法院條例》第21L條可 defence on substantial grounds. the respondent company disputes the 以是更合適的申請基礎。 The judge’s reasoning is heavily reliant debt. on case law developments from 濰坊訴訟已被撤銷，但故事仍未完 The judgment should also curtail the jurisdictions such as England and strategy of some petitioners who try 結，因為就法官夏利士2017年7月7日 Wales and Singapore, the “Object and 的裁決提出的上訴尚待裁定。 to get around arbitration agreements principles” of s. 3 of the Arbitration by presenting winding-up petitions. - 安理國際律師事務所助理律師劉煦婷 Ordinance (Cap. 609) – “party Contracting parties should think twice autonomy” – and the progressively pro- before inserting arbitration clauses in arbitration stance of the local courts, all contracts if there is a possibility later ARBITRATION of which are set out in a fully reasoned that they may want to access the courts judgment. to petition for winding up or to use other Winding-up Petition The judgment also makes it clear that mechanisms that are available in the Dismissed in Favour of there may be “exceptional cases” in litigation process. Arbitration is not a Arbitration which a creditor whose debt is disputed panacea and there are situations when would be justified in issuing a winding- litigation may be better suited. Lasmos Ltd v Southwest Pacific Bauxite up petition notwithstanding that the (HK) Ltd [2018] HKCFI 426, 2 March The judgment will generally be welcome dispute appears to come within the 2018, is another in a line of cases that in the arbitration community of Hong terms of an arbitration clause. What demonstrate the pro-arbitration stance Kong. these “exceptional cases” might be of the courts in Hong Kong. The case decides that a petition to wind-up a company on the grounds of insolvency should generally be dismissed if: • the respondent company disputes the debt relied on by the petitioner; WINDING UP • the dispute relating to the debt comes within the terms of an arbitration clause in the contract under which the debt is alleged to arise; and • the respondent company takes steps ARBITRATION required under the arbitration clause to commence the dispute resolution process and files an affidavit/ affirmation in accordance withRule 32 of the Companies (Winding-Up)

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At the time of writing no appeal is （party autonomy）――和本地法庭逐步 Costs”), on a review of a taxing master’s evident, although the legal principles 支持仲裁的立場；所有詳情載述於論據充 certificate, pursuant to RHC O. 62, r. raised are arguably deserving of 分的判決書之中。 35, a judge saw fit to disallow the costs appellate court review. That said, given of a second partner’s time following a that the judge found that even applying 判決亦訂明可以有「例外情況」，在例外 “solicitor and own client taxation”. The the previous law the respondent 情況之中，債項受爭議的債權人會有充分 sole ground for discounting the second company had established a bona fide 理由發出清盤呈請，即使有關爭議看來在 partner’s time with respect to the dispute on substantial grounds, such 仲裁條款的範圍之內亦然。什麼是「例外 disputed items of costs was a so-called that he would have dismissed the 情況」？這個可以是另案爭論的問題，不 “duplication of work”, notwithstanding petition, opportunities for an appeal that four barristers had also assisted 過法官在判決書舉了一個例子：呈請人能 might appear to be limited. with the case. 夠證明存在答辯人公司的資產被挪用的風 - David Smyth and Warren Ganesh, 險，以致有充分理由支持委任臨時清盤 An appeal as of right was heard in Lam & Lai (Solicitors) v Ho Chun Yan Albert RPC 人。 [2018] HKCA 83 and for some the costs 仲裁 Lasmos Ltd v Southwest Pacific Bauxite outcome may appear fairer. The Court (HK) Ltd不只是一宗法律明顯改變的代表 of Appeal allowed the solicitors’ appeal 法庭支持仲裁，撤銷清盤呈請 案件，有可能也有某些重要的實際後果。 and varied the judge’s taxation review so as to allow the costs of one partner and 香港法庭支持仲裁，在一系列展現法 例如，按照有關發展，假若答辯人公司對 the costs of a “notional” junior solicitor 債項有所爭議，而清盤呈請是建基於被指 庭這一立場的案件中，Lasmos Ltd v (equivalent to half of the costs of a 屬於合約中仲裁條款範圍內的債項，香港 Southwest Pacific Bauxite (HK) Ltd partner) on the taxation of the sixty-four [2018] HKCFI 426（2018年3月2日） 法庭通常應該撤銷呈請。 items disputed in the solicitors’ bill. 就是一例。該案的裁定是，在下列情況 判決亦應限制一些呈請人的策略，所指的 Having regard to the complexity and 下，以無力償債為由把公司清盤的呈請 是限制呈請人藉清盤呈請逃避仲裁的意 importance of the underlying court 應被撤銷： 圖。要是締約方有可能其後想向法庭呈 proceedings, out of which the costs dispute arose, the Court of Appeal • 答辯人公司對呈請人賴以為依據的債 請，要求把公司清盤，或者有可能其後想 considered that the judge had erred 利用其他在訴訟程序中可用的機制，他們 項有所爭議； in simply taxing off the costs of one of 就應該在合約加入仲裁條款之前三思。仲 • 債項被指稱是根據合約產生的，關乎 the two partners without considering 裁不是萬寧丹，有的情況可能最好是透過 有關債項的爭議屬於合約的仲裁條款 other justifiable options – such as (for 訴訟解決。 範圍之內；及 example) allowing a senior solicitor to be 一般來說，香港使用仲裁服務的人會歡迎 assisted by a junior solicitor. Therefore, • 答辯人公司根據仲裁條款，按要求逐 the Court of Appeal felt justified in 判決。 步展開排解糾紛的程序，並按照《公 exercising the court’s discretion afresh. 司(清盤)規則》（第32H章）第32條 雖然按理值得在上訴庭檢討案中提出的法 Of equal interest is the Court of Appeal’s 規則，提交誓章確認有關事項。 律原則，但撰寫本文時，明顯未有任何一 confirmation that Hong Kong law did not 主理高等法院「公司案件審訊表」 方提出上訴。不過，法官裁定答辯人公司 follow a more recent English approach （Companies List）的法官的判決書，嚴 的爭議是基於實質和有力的理由，即使引 regarding a judge’s powers on reviewing 重偏離過往在香港的想法――包括(i)基於 用以前的法例，他也會撤銷呈請；有鑑於 a taxing master’s certificate under the equivalent of RHC O. 62, r. 35. Therefore, 無力償債的公司清盤呈請不會因為仲裁 此，上訴機會看來有限。 a judge’s review of a taxing master’s 而被擱置，即使債項的產生與包含仲裁 - 施德偉及莊偉倫，RPC certificate pursuant to this provision was 條款的協議有關亦然（2014年9月《業 not a hearing de novo and he or she did 界透視》的「股東爭議的可仲裁性」） not have an unfettered discretion. ；(ii)反對清盤的答辯人公司應該證明其 CIVIL PROCEDURE Rather, the judge should only interfere 有真誠並有實質理由支持的答辯。 with the decision of the taxing master Reviews of Taxed Costs 法官的推論極度倚重源自英格蘭及威爾 in limited circumstances; for example, where it could be shown that the taxing 斯、新加坡等司法管轄權區的判例法發 As reported in Industry Insights for the master had erred in principle or had 展、《仲裁條例》（第609章）第3條的 September 2017 edition of the Hong Kong Lawyer (“Solicitor and Own Client made a mistake of law (Chan Yin Na 「目的及原則」――「當事人自主權」 v Union Medical Centre Ltd, HCPI No.

46 www.hk-lawyer.org April 2018 • INDUSTRY INSIGHTS 業 界 透 視

804 of 2003, 5 August 2011, approved). 在Lam & Lai (Solicitors) v Ho Chun Yan 相反，法官只應在有限度的情況下，才 While the Court of Appeal saw fit to Albert [2018] HKCA 83案，上訴法庭審 干預訟費評定官的決定；例如，當能 interfere with the exercise of the judge’s 理屬於當然權利的上訴，而對於部分人 夠證明訟費評定官在原則上犯錯或者犯 discretion the judge had not applied the 來說，訟費結果可能看來比較公平。上 了一個法律錯誤的時候(Chan Yin Na v wrong law. 訴法庭判事務律師上訴得直並修改法官 Union Medical Centre Ltd，高院傷亡訴 For those familiar with matters of costs in 的訟費評定覆核，以便在評定事務律師訟 訟案2003年第804號，2011年8月5日， court proceedings, the Court of Appeal’s 費單上受爭議的64個項目的訟費時，准 已獲批准)。雖然上訴法庭認為適宜干預 reasoning will make sense. While in 予一名合夥人的訟費及一名「假想的」 法官酌情權的行使，但法官並沒有錯用 matters of costs there are winners and losers, overall taxing masters are usually （notional）初級事務律師的訟費（相等 法律。 於合夥人訟費的一半）。 better placed to deal with costs disputes. 對於熟悉法律程序訟費事宜的人來說， By comparison, some judges may lack 訴訟雙方就法律程序的訟費發生爭議，上 上訴法庭的推論也有道理。在訟費問題 the necessary current experience to deal 訴法庭考慮過有關法律程序的複雜性和重 上，有人贏，也有人輸，整體而言，訟 with the matter of taxation of costs as a hearing de novo; that experience is not 要性之後，認為法官犯了錯，因為他只 費評定官通常更有條件處理訟費爭議。 necessarily made-up for by dealing with 是在訟費評定中扣減其中一名合夥人的訟 相比之下，有些法官不大知道現時的訟 summary assessments of costs (Chan Yin 費，不考慮其他合理的選擇――譬如說， 費水平，欠缺經驗把訟費評定的事宜當 Na, at para. 24). 考慮是由一名初級事務律師協助一名資深 成重審一樣處理；以簡易程序評估訟費 As the Vice-President of the Court of 事務律師。因此，上訴法庭覺得有充分理 的經驗不一定補足得到這方面的缺欠 Appeal states in his judgment in Lam & 由支持重新行使法庭的酌情權。 (Chan Yin Na案第24段)。 Lai (at para. 7): 英國有一條與第62號命令第35條規則對 正如上訴法庭副庭長在他撰寫的Lam & “It is not the practice of the court to list 應的規則，法院最近處理了與法官根據這 Lai案判決書所言（第7段）： a review before a judge for the same 條規則覆核訟費評定官證明書的權力有關 length as the taxation before the taxing 「在法官席前列出與訟費評定官席前的 的爭議。同樣有趣的是，香港上訴法庭確 master. Expensive and lengthy taxation 長度一樣的覆核清單不是法庭的做法。 定，香港法例並不依循英國法院的處理方 processes (including review and appeal) 昂貴並冗長的訟費評定過程（包括覆核 is another form of satellite litigation 法。因此，法官是根據這條規則覆核訟費 和上訴）是另一種效用不高就應予避免 which should be avoided if the utility is 評定官的證明書，不是重審；他或她沒有 的附屬訴訟」。 not high”. 不受任何束縛的酌情權。 - 莊偉倫、蘇瑋程 資深顧問，RPC - Warren Ganesh, Senior Consultant, and Mark So, Associate, RPC

民事訴訟程序

覆核經評定訟費

誠如《香港律師》2017年9月版的〈業 界透視〉所報道(「訟費官司」)，法官 以《高等法院規則》第62號命令第35 條規則為依據，覆核訟費評定官的證明 書之後，認為不適宜按照「律師及當事 人訟費評定」（solicitor and own client taxation）而准予另一名合夥人所花時間 的訟費。雖然有四名大律師曾經協助處理 案件，但第二名合夥人在受爭議訟費項目 方面所花的時間被扣減，唯一的理由是所 謂的「工作重複」。

www.hk-lawyer.org 47 • April 2018

CRIMINAL LAW the right of public hearing? If we visit except witnesses, judges, lawyers, the website of Hong Kong judiciary, prosecutors, defendants and Social Celebrities Attending at the page “Technology Court”, necessarily parties, are all irrelevant; Court Trial SNAPSHOT – COURT PROCEEDINGS • In order to have a fair jury trial for the BROADCASTING SYSTEM”, it states, The former Chief Executive Donald defendant, the jurors are prohibited Tsang Yam-kuen who was accused of “Technology Court is equipped with a to communicate, in any form, to other accepting benefits from Wave Media was Proceedings Broadcasting System in parties; and not convicted at the jury trial in 2018. situations where people cannot be all • Holding conservations and taking The issue of social celebrities attending accommodated inside courtroom. photos etc. are all prohibited. jury trials for defendants raised many If the trial judge so wishes, the court Are these warnings effective and discussions. waiting area outside the Technology sufficient? Can they be used to ensure a It may be a possibility that the Court can immediately be converted into fair legal trial? After warnings are given, attendance of most social celebrities an extension of this court. and if the jurors still contradict them, should the judge find the jurors to be in in a jury trial, seated at the areas Once the broadcasting system is contempt of court? Should the legal trial exclusively for the relatives and families activated, those seats in the court go on or stop? These are questions that of defendant, may induce jurors, who are waiting area can view the court we need to further and carefully consider ordinary people, to believe the defendant proceedings inside the courtroom on before implementation. is a good man; the chance for the the projection screen and LCD monitors defendant to commit the offence is low, there.” - David Chan, Associate Professor in and hence he may not be guilty. If the social celebrities are required to sit Macao Polytechnic Institute We must balance the interests of both at waiting areas outside the Technology the prosecution and the defendant. Court, it can eliminate the adverse 刑事法 Donald was the number one official in effects mentioned above because only Hong Kong, so most of his friends should the necessary parties can show up in 社會知名人士法庭聽審 be the social celebrities. Their showing court room. However, the argument that 前特首曾蔭權被控收受雄濤廣播利益案， up in court is one of the ways to show the defendant fails to see his friends in 陪審團在2018年的審訊中未能對此達成 their generous support to Donald. court room and hence loses support from 裁決，但社會知名人士到法庭聽審，以表 If the social celebrities are disallowed them in legal trial is not well handled. 示對被告的支持，這話題引起了社會的熱 to attend court trials, support given Technology Court may be both problems 議。 by friends to the defendant may and solutions for the protection of right be deprived, it may be unfair to the of public hearing. Not all courts have 社會知名人士在有陪審團參與的審訊中聽 defendant. It may also deprive the right the broadcasting systems. If we put 審，坐在為被告的親友和家人而設的範圍 of general public to attend court to hear this suggestion into practice, should all 中，可能會促使陪審員（他們都是由普通 legal trial at any time they wish (the right courts install broadcasting systems? If 市民組成）覺得被告應該是一個好人，他 of public hearing). there is no broadcasting system, should 觸犯有關罪行的機會很微，因此他很可能 Anyway, there are two sides to this the court and jury not hear criminal issue. The problem with attendance of cases? Even if the court does have a 沒有罪。 social celebrities in court is not an easy camera system in operation, there must 我們必須平衡控方與被告人之間的利益。 be more than one for recording the legal question for both the prosecution and 曾蔭權過去曾經出任香港的最高級官員， the defendant. To ensure the jury is only trial at the same time. In case of any 所以他有很多朋友是社會知名人士，這也 adjudicating the case in accordance one of the cameras is broken down, the 不足為奇，而他們現身法庭，是其中一種 with evidence, if there is any dispute remaining cameras can still function. The before the real trial, a mini-legal trial legal trial can go on, the broadcasting 表示對曾蔭權大力支持的方法。 can go on, and neither are stopped by may be held. The court may decide who 如果不許這些社會知名人士到庭聽審，被 is entitled to show up in the court room. reason of mechanical error. 告人會被剝奪其朋友給予他的支持，這對 The demerits of mini-legal trial are If the court finally decides that anyone 被告人來說並不公平。同時，此舉也剝奪 increasing the litigation time and cost. may attend, perhaps the court might 了公眾人士隨意前往法庭聽審的權利（公 If only the families and relatives can stay warn the jurors before a criminal trial: 開審訊權利）。 in the court room, the general public • Anyone appearing in court, should be excluded. How do we protect

48 www.hk-lawyer.org April 2018 • INDUSTRY INSIGHTS 業 界 透 視

不管怎樣，這一爭議可以從正反兩方面 假如法庭最後決定，任何人都可以進入 companies are affected. Based on the 來看。社會知名人士到法庭聽審，這對 庭內聽審，那麼在展開刑事審訊之前， extra-territorial effect of the GDPR, 控方和被告人來說，都是一個不易處理 法庭可以先行提醒陪審員： numerous Hong Kong entities will face 的問題。為了確保陪審團只根據證據來 substantial challenges adapting to the • 除了證人、法官、律師、主控官、被 new requirements. 斷案，在正式審訊未展開之前，如果出 告人及其他必要的當事人外，法庭上 現了任何爭議，大可先進行一個迷你審 The new law comes in the shape of a 的任何其他人都是與案件無關； 訊，由法官決定甚麼人有權在庭內聽 regulation and is directly applicable • 為了讓被告獲得公平審訊，陪審員不 in all member states. Whereas the 審。但這一迷你審訊的缺點是，它會增 得以任何方式與他人溝通聯繫；及 Personal Data (Privacy) Ordinance 加訴訟的時間和費用。 (Cap. 486) (‘Ordinance‘) generally only • 談話與拍照等行為一律禁止。 如果法官只批准家人和親友在庭內聽 provides direct compliance obligations 此等提醒是否有效和充分呢？它們是否 審，公眾人士不准進入，那我們如何保 for controllers, the GDPR imposes these 能確保審訊得以公平進行呢？在法官 obligations on both controllers and 障公開審訊的權利呢？假如瀏覽香港司 作出了提醒後，假如仍有陪審員不予遵 processors. This is most likely going 法機構的網站，我們可以發現，在「科 守，法官是否應該裁定他藐視法庭呢？ to affect the way supply and other 技法庭」，「科技法庭概覽 – 法庭審訊 commercial agreements are drafted in 正在進行的審訊應該繼續下去，還是應 廣播系統」的網頁中有如下內容： regard of the new European rules. 當停止呢？在實施有關建議之前，我們 One of the key foundations of lawful 「科技法庭設有法庭審訊廣播系統，以 必須對這些問題作出更深入和仔細的思 data processing under the GDPR is the 便法庭內沒有足夠空間容納所有人時使 考。 data subject’s consent. The requirements 用。 in this regard have been increased, - David Chan，澳門理工學院副教授 如果主審法官認為有需要，可立即將法 compared to the previous regulation 庭等候處改為法庭的延伸部份。 under the Data Protection Directive (‘DPD‘) and go beyond those of the 當廣播系統啟動後，在法庭等候處的人 DATA PRIVACY Ordinance. Valid consent has to be (i) 士可透過在該範圍設置的投影屏幕和LCD freely given, (ii) specific, (iii) informed The EU General Data 顯示器，看到法庭內的審訊情況。」 and (iv) unambiguously indicated. Hong Protection Regulation Kong companies within the scope of the 如果法庭規定，前來聽審的社會知名人士 (Summary) * GDPR that rely on the consent of data 必須坐在科技法庭外的等候處，只有案件 subjects as a lawful basis for any of their The EU General Data Protection 當事方可以進入庭內，這能有助消除上述 processing activities should ensure that Regulation (‘GDPR‘) is fast approaching. they meet the new obligations. 的不利影響。然而，對於「被告人因為不 After a two-year implementation phase, 能在庭上見到自己的朋友到來，以致在審 the new Regulation will be coming into Several provisions on accountability and 訊中失去精神上的支持」這一論點，上述 force on 25 May 2018. It is Europe’s governance support the enforcement 的安排無助緩解有關顧慮。 biggest shift in data protection law for of the principles of data processing. A the last decades. Not only European new feature is data protection by design 就公開審訊權利的保障而言，科技法庭 and by default, which does not exist 既可以是問題，也可以是解決辦法。並 非所有法庭都設有廣播系統，如果我們 將有關建議付諸實行，那麼，是否所有 法庭都應該設置廣播系統呢？如果並無 廣播系統的設置，法庭及陪審團是否便 不應審理刑事案件呢？即使法庭已經安 裝了在操作狀態中的攝錄系統，但理 想的情況，是應該在同一時間，有多於 一個攝錄系統記錄有關的審訊過程。如 此一來，當有其中一部攝像機出了毛病 時，其餘的攝像機仍可繼續發揮功能， 讓審訊得以持續，廣播得以持續，不會 因為發生機械故障而停止。 * The full text was circulated via Hong Kong Lawyer eNewsletter and posted on Hong Kong Lawyer website.

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under Hong Kong law. Furthermore, 個人資料私隱 的立法程序，GDPR提供了精細的監管體 the GDPR provides mandatory rules 系。這是達致歐盟內部全面數據協調的 on Data Protection Officer and data 歐盟一般數據保護規例 重要一步。詳細的要求及巨額罰款對所 breach notifications, whereas under the 有受影響的機構提出了挑戰。香港公司 Hong Kong data protection regime such 歐盟一般數據保護規例（GDPR）即將來 measures are only recommended. 臨。經過兩年的實施階段後，新規例將 將無法完全依賴根據該條例制定的現行保 護措施，該等措施主要是基於歐洲之前 The new Regulation strengthens the 於2018年5月25日生效。這是歐洲過去 rights of individuals. These namely 數十年來數據保護法的最大轉變。不僅 的DPD。適應新挑戰並實施(諸如通過設 consist of the right of information, rights 歐洲公司受到影響。由於GDPR的治外法 計和數據獲取能力等措施達致的）數據保 to access, rectification and erasure, right 權的影響，許多香港實體將面對適應新 護的機構也可能受益於新的、更高效的數 to restriction of processing, right of data 要求的重大挑戰。 據處理和問責系統。新規例即將生效，各 portability, right to object and the right 公司應立即採取措施以確保符合規定。然 not to be subject to automated decision 新法律以規例的形式出現，並直接適用 而，若干成員國關於特定領域的規則及新 making (eg profiling). 於所有成員國。《個人資料（私隱）條 規定的判例法尚未建立。 Administrative fines up to EUR 例》（第486章）《條例》通常只為管制 20,000,000.00 or in the case of an 人員施加直接的遵守法規責任，而GDPR - Andreas Respondek博士， undertaking (e.g. group), up to 4 percent 則對管制人員及處理人員施加這些責 Jasmin Eberhard女士， of the total worldwide annual turnover, Johannes Schmidt先生， whichever is higher, can be imposed in 任。在新歐洲規則之下，這很可能會影 case of infringements of the Regulation. 響供應方及其他商業協議的起草方式。 Respondek & Fan Furthermore, individuals may claim for GDPR之下的合法數據處理的重要基礎 compensation of both material and non- material damages. 之一，是獲數據主體的同意。與數據保 EMPLOYMENT LAW 護指令（DPD）之前的規例相比，這方 The GDPR provides an elaborated regulatory system as a result of several 面的要求有所提高，也超出了《條例》 #MeToo in the Office – decades of data protection in Europe 的要求。有效的同意必須是（i）自願提 Workplace Bullying in the and a long lasting legislation process. 供，（ii）具體，（iii）知情及（iv）清楚 Spotlight It is an important step towards full data 表示。該等在GDPR範圍內、依賴數據主 The international growth of the #MeToo harmonization within the EU. Detailed 體同意作為其任何處理活動的合法基礎 movement has drawn attention not only requirements and heavy fines provide to sexual harassment but also to bullying challenges for all affected organisations. 的香港公司應確保其符合新的責任要求。 in the workplace. Any kind of behaviour Hong Kong companies will not be 有關問責及管治的若干規定支持數據處 able to fully rely on existing protection that humiliates, intimidates or threatens 理原則的執行。一項新特色是按設計和 measures set out in accordance with the can be classified as bullying. 預定設置的數據保護，這在香港法律中 Ordinance, which is largely based on the Bullying in the spotlight former European DPD. Organisations 並不存在。此外，GDPR為數據保護主任 Reported workplace bullying cases are adapting to the new challenges and （DPO）和涉及數據洩露的通知提供了 on the rise, as they continue to hit the implementing measures like data 強制性規則，而在香港的數據保護制度 protection by design and access ability news headlines and put a number of 下，這些措施只是建議而已。 of data may also benefit from the new, senior leaders in the spotlight. more efficient data processing and 新規例加強了個人的權利。這些包括資 Several recent high profile cases accounting systems. The new Regulation 訊權，獲取權，糾正和刪除權，處理限 have highlighted the issue, including will enter into force soon and companies 制權，數據可移植權，反對權和不受自 allegations made by staffers in MPs’ should take immediate steps to ensure offices at the UK Parliament, where, in 動決定權（例如對某人的簡介）。 compliance. However, several member a survey published in January 2018, 24 state rules in specific areas and case 行政罰款高達20,000,000歐元 - 或者對 members of staff reported having been law on the new provisions have yet to be 於企業（例如集團），在違反該規例的 bulled by the MP they work for. A new established. 情況下，可以徵收高達全球總年度營業 grievance procedure could see MPs being sacked if they are found to have - Dr. Andreas Respondek, 額的4％（以較高者為準）。此外，個人 bullied their staff. Ms. Jasmin Eberhard, 可以要求賠償物質和非物質損失。 Mr. Johannes Schmidt , Also in January 2018, three former Respondek & Fan 由於歐洲數十年的數據保護以及長時期

50 www.hk-lawyer.org April 2018 • INDUSTRY INSIGHTS 業 界 透 視

employees of the Green Party in Canada in August 2017 of failing to handle Having a good ethical work culture is accused their leader Elizabeth May of properly discrimination against workers therefore good business, as it mitigates creating a toxic work environment with with disabilities. Victims reportedly said personal liability and enhances the behaviour that included shouting at that complaints to the management of corporate brand. and humiliating employees in front of Hongkong Post had been ignored. The A top down approach is however their workmates. As the media pressure complaints included an incident in which required. Employers should mounted, several former staff also called a senior postal inspector was understood communicate to staff - at all levels - that on her to step down and resign. to have referred to an employee with a bad behaviour in the workplace can cleft palate as “broken mouth”. mean the loss of an individual’s job and Definition of “bullying” reputation, as well as harming the firm’s In a Hong Kong employment case in Presently, there is no statutory definition own reputation. 2000, an employer was found to have of workplace bullying in Hong Kong. kicked, pushed and punched a domestic Employers should consider Bullying may be viewed as a repeated helper, subjecting her to psychological implementing policies which prohibit pattern of unreasonable behaviour that abuse of a frightening and degrading all types of harassment and bullying is directed towards a colleague, or group nature. The employer was found liable in the workplace. Such policies should of colleagues, that presents a risk to to pay damages, as the court found the include examples of behaviour that will health and safety. behaviour was a breach of the implied not be tolerated, encourage reporting of Examples of workplace bullying towards duty. unacceptable behaviour and state the co-workers includes any behaviour consequences of breach. that may be viewed as humiliating, Confronting the bullies As with many other aspects of corporate intimidating or threatening. It may Permitting bullying to continue in a governance, it is all about setting the include the making of constant criticisms workplace can result in decreased right tone from the top. However, it without a valid basis, raising one’s voice morale, lowered productivity and is also everyone’s responsibility to towards the person, or making them feel increased staff turnover. Allowed to eliminate inappropriate behaviour in the ostracised from the team. continue, it can adversely affect the workplace! company’s reputation in the market, Employers in Hong Kong owe a general making it harder to attract and retain duty of care to their employees. If an - Anita Lam, Counsel, Clifford Chance talent. employer becomes aware or reasonably should have known that bullying is taking place in the workplace and does nothing about it, that could be a breach of the duty. In addition, employers should also be aware of the implied duty of “mutual trust and confidence” under which an employer must avoid acting in a way that is calculated and likely to seriously damage its relationship with employees.

Bullying at work in Hong Kong Conduct that destroys trust extends beyond simple physical abuse. In December 2017, a major public transport network serving Hong Kong was criticised by a labour union for turning a blind eye to bullying in the workplace. Examples of mistreatment cited by staff reportedly included verbal abuse in public areas. Elsewhere in the service sector, Hong Kong’s postal authority was accused

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勞工法 避免採用有可能嚴重損害僱傭關係的方 全在於由高層定準基調。然而，人人都 式行事。 有責任消除工作場所中的不恰當行為。 辦公室#MeToo – 專談工作場 - 高偉紳律師行顧問律師林尹菁 所的「欺凌」 香港工作間欺凌問題 破壞信任的行為不單只是普通的身體虐 #MeToo運動在國際間漫延，引發人們關 待。 注的問題不只是性騷擾，還有工作場所 FINTECH 在2017年12月，香港某大型公共交通服 的欺凌行為。任何羞辱、恐嚇、威脅他 Is Blockchain Technology 人的行為，都可以歸類為欺凌行為。 務公司被工會批評對工作場所的欺凌事 件置若罔聞。據報，員工列舉的惡意對 Disrupting Intellectual 專談「欺凌」 待包括在公眾地方口頭謾駡。 Property Management 在工作場所遭欺凌的事件繼續登上新聞 and Legal Practice in Hong 還有其他服務行業被投訴。在2017年8 頭條，也把好幾名高層領袖放到聚光燈 Kong? 月，香港郵政被指沒有恰當處理殘疾員 下之際，相關的舉報個案也多了起來。 Public interest in the blockchain has 工被歧視的問題。據報，受害人稱香港 spiked since the latter half of last year. 最近幾宗觸目個案突出了欺凌問題，這 郵政的管理層一直不理有關投訴。投訴 As shown by Google Trends, web and 包括英國國會議員辦公室職員的指控： 的事件包括某名高級郵務督察背地裡以 news search of the term has grown 一項調查發現（調查結果在2018年1月 「崩嘴」稱呼一名裂顎的員工。 exponentially since April 2017. The 公布），國會議員辦公室有24名職員指 blockchain is essentially a decentralised 在香港2000年的一宗僱傭案件，僱主被 稱自己一直被國會議員上司欺凌。根據 ledger that stores data securely by 發現拳打腳踢並手推家庭傭工，令傭工 新的申訴程序，國會議員如果被發現欺 encryption and distributes them publicly 心理上飽受威脅和侮辱。僱主被裁定須 across a network of data-receiving nodes. 凌員工，將會被開除。 支付損害賠償，因為法庭認為有關行為 Data stored on the blockchain are time- 另外，在2018年 1 月，三名加拿大綠 違反隱含責任。 stamped and immutable, making the 黨前員工指控他們的領袖伊麗莎白·梅 technology attractive for industries prone 正視欺凌問題 （Elizabeth May）；據報，她在其他人 to fraud or wanting in transparency. As a platform for cryptocurrencies, 面前大聲喝斥甚至侮辱員工，而那些 如果容許工作場所的欺凌事件繼續下 the blockchain also supports direct 去，可能削弱員工士氣，生產力可能 「其他人」是該員工的同事。傳媒壓力 micropayments by content end-users to 降低，員工流失率也可能增加。容讓 隨之而來，多名前員工亦要求她辭職下 creators. 台。 情況繼續的話，可能對公司在市場的 Innovators have been looking to 名聲產生負面影響，以致公司難以吸 apply the blockchain to different data 「欺凌」的定義 引和挽留人才。 management systems, including the 目前，「工作場所的欺凌」在香港沒有 因此，培養一種合乎道德的工作文化是 management of intellectual property. 法定定義。「欺凌」可被視為針對某同 件好事，因為在這種文化下，個人法律 The blockchain may be used as a 事或一班同事重複作出的不合理行為， registry of intellectual property since 責任會減輕，企業品牌會提升。 危害到被針對者的健康和安全。 original copies of registered items can 不過，公司也需要一種下行方法。僱主 be stored with a clear date and tamper- 在工作場所欺凌同事的行為包括任何可 應當與員工――所有職級的員工――溝 proof evidence of ownership. The 被視為羞辱、恐嚇、威脅他人的行為。 通，讓他們知道，在工作場所的壞行為 blockchain may then track subsequent 舉例說，不斷蠻不講理地作出批評，向 use of registered intellectual property 可以令人失去工作，名聲受損，並且損 人大聲呼喝，或者令組員覺得被排擠， as well as authenticate questionable 害公司本身的聲譽。 這些都是在工作場所的欺凌行為。 items. Platforms such as Bitcoin 僱主應當考慮實施政策，禁止所有人在 notary, Binded and Bernstein, among 在香港，僱主對其員工負有一般的謹慎 工作場所作出任何騷擾或欺凌行為。這 others, have been providing blockchain- 責任。只要僱主開始覺得或理應知道工 based solutions for intellectual property. 類政策應該包括例子，用作說明公司不 作場所有員工被欺凌，但完全坐視不 會容忍的行為，鼓勵舉報不可接受的行 Another promising feature of the 理，就有可能違反責任。此外，僱主也 blockchain is that it powers smart 為，並且陳明違反政策的後果。 應該知道自己負有一種隱含責任，即「 contracts that are able to define rules 僱傭關係互信責任」，據此，僱主必須 與企業管治許多其他方面一樣，其實這 and penalties of an agreement, and

52 www.hk-lawyer.org April 2018 • INDUSTRY INSIGHTS 業 界 透 視

self-enforce them without involving 和新聞搜尋「區塊鏈」的次數以倍數遞 事件可以觸發智能合約自行執行已編成 intermediaries. For example, once the 增。區塊鏈實質是去中心化總帳，利用 密碼的條款。相信在確保交易的盡職調 terms of a commercial contract are 加密技術安全地儲存數據，網絡佈滿接 查及評核表現方面，這是挑戰律師的職 coded on the blockchain, events such as 收數據的節點，四通八達，數據通過節 能。 expiry date or price change can trigger 點向外界分發。儲存在區塊鏈的數據有 the smart contract to execute the coded 商業世界渴望發掘區塊鏈技術的巨大潛 時間戳，不可改變，使得這門技術對欺 terms itself. This is believed to challenge 能的同時，區塊鏈的實際作用也在不斷 the role of lawyers in ensuring due 詐容易得逞或想有透明度的行業具有吸 演變，不過現時未有人充分評估相關風 diligence in transactions and evaluating 引力。作為加密貨幣的平台，區塊鏈亦 險。這就解釋了為何香港至今仍未有關 their performance. 支援網站內容的終端用戶向創作者直接 於實施區塊鏈技術的具體監管指引。 While the business world is eagerly 支付小額費用。 grappling with the vast potential 這令人懷疑香港會否承認已在區塊鏈登 革新者一直想把區塊鏈應用到各種數據 blockchain technology brings, its 記的知識產權及智能合約，甚至其他招 practices are still evolving and associated 管理系統裏去，包括知識產權的管理。 致的訴訟的有效性也存疑。有意採用建 risks have yet been adequately assessed. 由於儲存已登記項目的正版時，可同 基於區塊鏈的解決方案的機構或個人， This is why Hong Kong has as of 時儲存準確日期和不可篡改的擁有權 now no specific regulatory guidance on 應當鑽研相關司法管轄區的相關規定和 證明， 區塊鏈可以用作為知識產權登 the implementation of blockchain 措施(如果有的話)，採取更多預防措施， 記冊。如此，區塊鏈就可以追蹤已登 technology. 在亞洲的更應如此，因為區塊鏈在那裡 記知識產權以及證明有問題的項目在 This casts doubt on whether intellectual 是一門新技術。隨著智能合約精簡協議 之後的使用。一直以來，包括Bitcoin公 property registered on the blockchain 的組成和執行，也降低相關費用，律師 證、Binded及Bernstein在內的平台在區 as well as smart contracts will be 的策略建議、專業經驗和網絡將同樣為 recognised in Hong Kong, and the 塊鏈的基礎上，提供知識產權適用的解 公司及個人法律意見的尋求者增值。 validity of any further action incurred. 決方案。 Organisations and individuals wishing 司法管轄區：香港 to adopt blockchain-based solutions 區塊鏈的另一亮麗特點是，它大力推動 are advised to study thoroughly the 智能合約，智能合約能夠界定協議的 - JC Legal負責人Janice Chew regulations and measures, if any, in the 規定和罰則，不用中介人就可以自行執 JC Legal的Yuly Yung(專責知識產權事 務) jurisdiction(s) concerned and take extra 行。例如，商業合約的條款一旦在區塊 precautions, especially in Asia where 鏈編成密碼，有效期改變或價格變動等 this technology is new. With smart contracts streamlining the formation and implementation of agreements and reducing related costs, the strategic advice, professional experience and networks of lawyers will add greater value to seekers of corporate and personal legal advice alike. Jurisdiction: Hong Kong - Janice Chew, Principal, JC Legal Yuly Yung, Intellectual Property Specialist, JC Legal

金融科技

區塊鏈技術擾亂香港知識產權 管理和法律執業嗎？

由去年下半年開始，公眾對區塊鏈的興 趣大增。正如谷歌趨勢(Google Trends) 顯示，自2017年4月以來，`網上搜尋

www.hk-lawyer.org 53 • April 2018

FRANCHISE LAW granted E-Commerce rights to their sector whereby the franchisor group country franchisees as E-Commerce acquires complementary service brands. Recent Trends and Practical and traditional “Bricks and Mortar” For example Franchise Brands is an Solutions for Licensing and businesses become more connected. international multi-brand franchisor Franchising Some franchisors have developed that owns ChipsAway, Ovenclean, their own platforms that they require Barking Mad, and Metro Rod and has Franchising, in its various forms, franchisees to use. Franchisors will expanded through the acquisition continues to present businesses with an also need to consider approving on- of complementary service franchise excellent way of achieving profitable and line stores on marketplaces and social companies. Acquiring a franchise brand successful international growth without media sites such “TMall” “WeChat” in can have its challenges in integrating the the need for either substantial capital China. Master franchise agreements new brand into the existing culture and investment or a broad managerial and development agreements need practices whilst keeping all franchisees infrastructure. In sectors as diverse to accommodate multi-channel across the brands happy. as F&B, retail, hospitality, education, approvals and certification with General trends include: healthcare and financial services it E-Commerce being less of an add-on continues to be a popular catalyst for and more of an integral part of the • Social Media: Franchisors are still international commerce and makes franchisee’s expansion in a country. negotiating how to benefit from a strong and effective contribution to franchisees engaging in social • Wellness and healthcare: Wellness world trade. media whilst ensuring that they stay is a $3.72 trillion global industry. on message and do not damage Looking at trends in various sectors: There is a huge upsurge in interest the reputation of the brand. Every in healthy living. The Wellness sector • Hotels: On a global basis, most hotel franchisor should have a social media includes gyms, fitness and spas, operators have a balance between policy and appropriate protections in healthy eating, nutrition and weight franchised and managed hotels, its franchise agreements. loss, beauty and anti-aging, health with, as rough average, two-thirds prevention and complementary • Multi-Unit and Multi-Brand franchised and one-third managed medicine. There are a large amount Franchisees: There has been a growth (though this varies by operator). of gym and fitness franchises in franchisees who own multiple units However is a growing trend towards emerging in different parts of the of the same franchise brand and favouring franchising in hotels. In Asia world and spreading internationally multiple brands across the same or Pacific, the vast majority of hotels and also licenses and franchises for different sectors. A franchisee may are operated under management luxury spas. In the healthcare sector have a pizza, coffee shop and chicken agreements rather than franchise personal home care franchises from franchise or own multiple brands agreements because of concerns North America are spreading to other across different service sectors. It is about the quality of would-be parts of the world but care should be essential to ensure that these multi- franchisees and the need to protect taken in adapting to local conditions unit/multi-brand franchisees have brand standards. There are signs, and ensuring that where necessary the right management structure in however, that this is changing. IHG the franchisor has “boots on the place and maintain brand standards has been trialling what it calls a ground” in the local market. and do not grow too fast to quickly to “Franchise Plus” model for its Holiday be able to cope. Inn Express brand in China, which • Food & Beverage: Trends in food extends a franchise offering to third and beverage include the growth of Franchisors are still using the traditional parties, whilst retaining some of the healthy options such as vegan and franchise structures in international control elements of a management smoothie concepts and customization franchising such as master franchises agreement. IHG has now announced of food to customers’ requirements. and development agreements plans to extend the model to its There is an increasing use of but regional master franchise and Crowne Plaza and Holiday Inn and technology in F&B such as ordering development agreements are also being Holiday Inn Resort brands. on-line, mobile apps and on demand granted even in smaller countries to products and services and franchisors spread the risk of the a local partner • Retail: Issues around “Omni channel” need to consider how to introduce not performing. Increasingly there is continue to dominate as traditional these to the franchise network and to the use of hybrid structures such as retailers struggle with how to roll update their franchise documentation subordinated equity arrangements out E-Commerce and M-Commerce and manual accordingly. where the franchisor takes a share in across their international franchise the franchisee and “Manchising” where network. Most retail franchisors have Services: There is a growing trend for a franchisee with little operational multi-brand franchising in the services

54 www.hk-lawyer.org April 2018 • INDUSTRY INSIGHTS 業 界 透 視

experience can be assisted by a management team put in place by the franchisor.

- Shelley Nadler, Legal Director, Bird & Bird LLP

特許經營法

授權和特許經營的最新趨勢及 務實成果

不需要投放大筆資金，也不需要大堆管 理基礎設施，特許經營繼續在國際市場 以不同形式出現，給各行各業提供盈利 增長並成功發展的絕佳方法。在各種各 越緊密，零售業大部分特許經營商已 慮如何把技術引進特許經營網絡，以 樣的行業裡，包括餐飲業、零售業、酒 向所屬國家的加盟商授予電子商務 及如何相應地更新特許經營的文件及 店業、教育產業、健康護理及金融服務 權。有特許經營商開發自己的平台， 手冊。 業，特許經營繼續是受歡迎的國際商務 要求加盟商使用。特許經營商亦有需 • 服務業：在服務業，多品牌特許 催化劑，在全球貿易建樹良多，成效顯 要考慮核准市場及內地「天貓」、「 經營有增長之勢，集團式特許經營 著。 微訊」等社交媒體的網上商店。特許 商亦借勢收購配套服務品牌。例 特許經營在不同行業的趨勢： 經營總合約及發展合約需要照顧到多 如，Franchise Brands是國際多品 渠道核准及認證，合約包含的電子商 牌特許經營商，擁有ChipsAway, • 酒店業：縱觀全球，大部分酒店經營 務可不一定是附加上去的，更有可能 Ovenclean、Barking Mad及Metro 者在特許經營類酒店和委託管理類酒 是加盟商在一國之內擴展業務所必不 Rod，現已藉收購配套服務的特許經 店之間作出了平衡，粗略估計，三分 可少的部分。 營公司，擴展業務。將新品牌融入現 之二是特許經營，三分之一是委託管 • 保健業：全球保健業總值達3.72萬 有文化及常規的同時令有關品牌的所 理(雖然經營者各有比例)。然而， 特 億元。人們對健康生活的關注程度直 有加盟商繼續感滿意，可以是收購特 許經營模式日益普及，在酒店業漸成 線上升。保健行業包括健身及水療、 許經營品牌的挑戰。 趨勢。在亞太地區，因為關注到未來 健康飲食、營養和減肥、美容和抗衰 加盟商的質素及保護品牌標準的需 整體趨勢包括下列兩方面： 老、疾病預防及另類藥物。全球各地 要，絕大多數酒店是根據管理合約而 • 社交媒體：特許經營商仍在商議如何 湧現大量以特許經營模式經營的健身 不是特許經營合約經營的。但有跡象 善用參與社交媒體的加盟商，同時又 公司，有國際化之勢，另亦有以授權 顯示情況有變。洲際酒店集團(IHG) 確保他們目標明確，不會分心，不會 或特許經營模式經營的豪華水療。在 現已在中國試驗其稱為「智選假日酒 損害品牌的聲譽。每個特許經營商都 健康護理業，來自北美洲的個人家居 店」品牌的特許經營模式(Franchise 應該有一套社交媒體政策，並在特許 護理特許經營權正延伸全球其他地 Plus)，在此模式下，加盟商可以委託 經營合約訂明適合的保障。 區，不過人們應留心特許經營模式在 第三方公司管理酒店，同時保留管理 當地的實施情況，並在有需要時，小 • 多單位加盟商和多品牌加盟商：在同 合約的某些控制權。IHG現已公布擴大 心確保特許經營商在當地市場是否已 一行業甚或不同行業裡，有越來越多 特許經營模式的計劃，對旗下皇冠假 經投入足夠人力。 加盟商在同一特許經營品牌甚至多個 日酒店及度假村、假日酒店和假日度 品牌擁有多單位特許經營權。加盟商 假酒店品牌開放特許經營模式。 • 餐飲業：向顧客提供健康餐單在餐飲 可以有一家薄餅店、咖啡店及雞品店 業已成趨勢，例如素食及水果奶昔概 • 零售業：在傳統零售商努力在國際特 的特許經營權，或在不同服務行業擁 念，以及按顧客要求提供貼心合意的 許經營網絡推出電子商務和流動商務 有多個品牌。重要的是確保這些多單 食品。應用於餐飲業的技術越來越 之際，有關「全渠道」(Omni channel) 位∕多品牌加盟商建立了適當的管理 多，例如網上落單、手機應用程式、 的爭論繼續不絕於耳。電子商務和傳 架構，保持品牌標準，並且不會增長 隨選產品及服務，特許經營商需要考 統的「一磚一瓦」式業務的聯繫越來 太快，以至力有不逮。

www.hk-lawyer.org 55 • April 2018

在國際市場，特許經營商依然利用傳統 record-keeping requirements as set or company service business in Hong 的特許經營結構，例如特許經營及發展 out in Schedule 2 to AMLO. The said Kong. Any person carrying on a trust or 總合約，不過即使在細小國家，也有利 requirements are the main strands of company service business in Hong Kong 用地區特許經營權及發展總合約的，目 the anti-money laundering and counter- without a licence commits an offence terrorist financing regulatory regime (new section 53F). A licence would be 的是分散當地不做特許經營的生意夥伴 championed by the Financial Action Task granted only if the Registrar is satisfied 的風險。現時越來越多使用的是混合型 Force (‘FATF’), an inter-governmental that the applicant is a "fit and proper" 結構，例如附屬股權安排是由特許經營 body of which Hong Kong has been a person (new section 53H). New section 商承擔加盟商的一部分工作，特許經營 member since 1991. 53ZQ contains transitional provisions applicable to TCSPs who have been 混合委託管理(Manchising)是由特許經營 To enhance Hong Kong’s regulatory carrying on a TCSP business and holding 商指定的管理團隊協助營商經驗近乎零 regime for combating money laundering a valid Business Registration Certificate. 的加盟商管理公司。 and terrorist financing in fulfilment of For this group of persons, a licence is Hong Kong’s international obligations as deemed to have been granted when the - 鴻鵠律師事務所法律總監Shelley a member of the FATF, the Government licensing requirement came into effect Nadler introduced the Anti-Money Laundering on 1 March. If they wish to continue to and Counter-Terrorist Financing carry on their businesses, they must (Financial Institutions) (Amendment) Bill lodge an application for the TCSP licence REGULATORY & 2017 (‘AML Amendment Bill’) into the within the transitional period of 120 days, COMPLIANCE Legislative Council on 28 June 2017 to which will expire after 28 June 2018. amend the AMLO to apply the statutory Enhancing Hong Kong’s CDD and record-keeping requirements In the case of legal professionals, The Regulatory Regime (‘AML/CTF requirements’) to solicitors Law Society of Hong Kong (‘LSHK’) takes for Combating Money and foreign lawyers (as defined in section on statutory oversight for monitoring Laundering and Terrorist 2(1) of the Legal Practitioners Ordinance and ensuring the compliance of solicitors Financing – Part I (Cap. 159) (‘LPO’), accountants, estate and foreign lawyers with the AML/CTF agents and trust or company service requirements. Non-compliance with Both the Anti-Money Laundering and providers (‘TCSPs’) (collectively called the requirements would be handled Counter-Terrorist Financing (Financial designated non-financial businesses in accordance with the prevailing Institutions) (Amendment) Ordinance and professions (‘DNFBPs’)) when they investigation and disciplinary procedures 2018 and the Companies (Amendment) conduct certain specified transactions under the LPO governing professional Ordinance 2018 were passed by the and for that purpose to establish a misconduct. To this end, the LPO has Legislative Council on 24 January 2018 regulatory regime for TCSPs, and been amended to enable the LSHK and have come into operation on 1 designate relevant professional or to take disciplinary action under the March 2018. This article seeks to set regulatory bodies as "relevant authority" existing regulatory regime in respect out the background and objectives, and or "regulatory bodies" to implement of failure to comply with the AML/CTF highlight the major requirements, of the the statutory requirements for various requirements. Enabling provisions two Amendment Ordinances. DNFBPs. The AML Amendment Bill have also been introduced (new section was subsequently passed on 24 January 7(1)) so that LSHK has the discretion to The Anti-Money Laundering 2018. promulgate guidelines as they consider and Counter-Terrorist Financing appropriate in relation to the operation (Financial Institutions) Under the AML Amendment Ordinance, of the requirements. LSHK may have (Amendment) Ordinance 2018 (‘The non-compliance with the AML/CTF regard to or take into account any AML Amendment Ordinance’) requirements by DNFBPs may result in practice direction that it has issued in disciplinary sanctions imposed by the The Anti-Money Laundering and providing guidance on the AML/CTF relevant authority or regulatory bodies. Counter-Terrorist Financing (Financial requirements. Institutions) Ordinance (Cap. 615) For the TCSP sector, the AML To avoid regulatory overlap, exemption (‘AMLO’) was first enacted in July 2011 Amendment Ordinance introduces from the new licensing requirements and came into operation in April 2012 to a licensing regime for TCSPs which for TCSPs are given to, among others, require financial institutions (as defined is administered by the Registrar of accounting professionals and legal in Part 2 of Schedule 1 to the AMLO) Companies (‘Registrar’). Under the professionals who are subject to the to, among other things, comply with new regime, a TCSP must apply to the regulation of their respective professional the customer due diligence (‘CDD’) and Registrar for a licence to carry on a trust

56 www.hk-lawyer.org April 2018 • INDUSTRY INSIGHTS 業 界 透 視

bodies. For details of the licensing 條所界定的涵義)、會計師、地產代理及 效時，會被當作已獲批給牌照。他們若 regime and its exemption, please visit 信託或公司服務提供者(統稱為指定非金 有意繼續經營其業務，便須在120日的 www.tcsp.cr.gov.hk. . 融企業及行業人士(下稱「指定非金融業 過渡期內申請信託或公司服務提供者牌 人士」))進行某些指明交易時適用，以及 照，過渡期將於2018年6月28日屆滿。 - Ms Ada Chung, Registrar of 就此為信託或公司服務提供者設立監管 Companies, Ms Christy Yiu, Senior 就法律專業人士而言，香港律師會(下稱 制度，並指定有關專業或監管團體為「 Solicitor, Companies Registry 「律師會」)承擔監察的法定職責，監 有關當局」或「監管機構」，藉以針對 督並確保律師及外地律師遵守打擊洗錢 監管與合規 不同指定非金融業人士實施有關法例規 及恐怖分子資金籌集規定。如有違規， 定。《打擊洗錢(修訂)條例草案》其後於 香港加強打擊洗錢及恐怖分子 會按照《法律執業者條例》就專業失當 2018年1月24日獲通過。 資金籌集監管制度 – 第I部分 行為訂明的現行調查和紀律處分程序處 根據《打擊洗錢(修訂)條例》，指定非金 理。為此，當局已修訂《法律執業者條 《2018年打擊洗錢及恐怖分子資金籌集 融業人士如不遵從打擊洗錢及恐怖分子 例》，使律師會可在現行監管制度下， (金融機構)(修訂條例》和《2018年公司 資金籌集規定，有關當局或監管機構可 對不遵從打擊洗錢及恐怖分子資金籌集 (修訂)條例》兩項修訂條例已於2018年1 對其施加紀律制裁。 規定的律師及外地律師採取紀律行動。 月24日由立法會通過，並已於2018年3 此外，當局加入賦權條文(新訂第7(1)條) 對於信託或公司服務提供者界別，《打 月1日實施。本文旨在闡述該兩項修訂條 ，讓律師會可因應有關規定的施行，酌 擊洗錢(修訂)條例》引入信託或公司服務 例的背景及目的，並扼要介紹該兩項修 情公布其認為適當的指引。在提供有關 提供者發牌制度，該制度由公司註冊處 訂條例的主要規定。 指引時，律師會也可顧及或考慮任何其 處長(下稱「處長」)執行。在新發牌制度 已發出的執業指引。 《2018年打擊洗錢及恐怖分子資金籌 下，信託或公司服務提供者必須向處長 集(金融機構)(修訂條例》(下稱「《打 申請牌照，以在香港經營提供信託或公 為避免出現規管重疊，受所屬專業機構 擊洗錢(修訂)條例》」) 司服務的業務。任何人如在香港無牌經 規管的會計專業人士和法律專業人士， 《打擊洗錢及恐怖分子資金籌集(金融機 營信託或公司服務業務，即屬犯罪(新訂 可獲豁免遵從新的信託或公司服務提供 構)條例》(第615章)(下稱「《打擊洗錢 第53F條)。處長僅可在信納申請人為「 者發牌規定。如欲了解發牌制度及豁免 條例》」)最初於2011年7月獲制定為法 適當」人選的情況下，方會向其批給牌 的詳情，請瀏覽公司註冊處信託及公司 例，其後於2012年4月實施，規定金融 照(新訂第53H條)。新訂第53ZQ條載有 服務提供者發牌制度的網站www.tcsp. 機構(按照《打擊洗錢條例》附表1第2 過渡安排的條文，該等條文適用於現時 cr.gov.hk。 部所界定的涵義)必須遵從多項規定，包 已經營信託或公司服務業務及持有有效 - 鍾麗玲，公司註冊處處長 括就客戶作盡職審查及備存紀錄的規定 商業登記證的信託或公司服務提供者； 姚麗盈，公司註冊處高級律師 (載列於《打擊洗錢條例》附表2)，上述 對於這類人士，當發牌規定於3月1日生 規定是財務行動特別組織(下稱「特別組 織」)倡議能有效打擊洗錢及恐怖分子資 金籌集的監管制度的主要一環。特別組 織是一個跨政府組織，而香港自1991年 起成為特別組織的成員地區。

為加強香港打擊洗錢及恐怖分子資金籌 集的監管制度，以履行香港作為特別組 織成員的國際責任，政府遂於2017年6 月28日向立法會提交《2017年打擊洗錢 及恐怖分子資金籌集(金融機構)(修訂)條 例草案》(下稱「《打擊洗錢(修訂)條例 草案》」)，藉此修訂《打擊洗錢條例》 ，訂明就客戶作盡職審查及備存紀錄的 法例規定(下稱「打擊洗錢及恐怖分子資 金籌集規定」)， 在律師及外地律師(按 照《法律執業者條例》(第159章)第2(1)

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REGULATORY & Ordinance (ss. 653E and 1 of Schedule If a company fails to comply with any of COMPLIANCE 5A), a person has significant control over the above requirements, the company a company if the person meets one or and each of its responsible persons Enhancing Hong Kong’s more of the following conditions: commit an offence. Regulatory Regime a) the person holds, directly or indirectly, Although the changes brought about by for Combating Money more than 25 percent of the issued the Companies Amendment Ordinance Laundering and Terrorist shares in the company or, if the apparently deviate from the principle Financing – Part II company does not have a share of company law that no notice of any capital, the person holds, directly or trust may be entered in the register of The Companies (Amendment) indirectly, a right to share in more members of a company, the disclosure Ordinance 2018 (‘the Companies than 25 percent of the capital or of corporate beneficial ownership is Amendment Ordinance’) profits of the company; now part and parcel of an international To combat money laundering and b) the person holds, directly or indirectly, concerted effort to prevent the misuse of terrorist financing, the Financial Action more than 25 percent of the voting companies for illicit purposes. Task Force (‘FATF’) requires member rights of the company; Similar disclosure arrangements have jurisdictions to take measures to prevent c) the person holds, directly or indirectly, been put in place in other member the misuse of legal persons for money the right to appoint or remove a jurisdictions of the FATF. For example, laundering and terrorist financing by majority of the board of directors of with effect from 6 April 2016, UK ensuring that adequate and accurate the company; companies are required to keep a information on the beneficial owners and d) the person has the right to exercise, register of people with significant control of legal persons can be obtained or actually exercises, significant influence or control (PSC), and with or accessed in a timely fashion by law influence or control over the effect from 30 June 2016, to deliver the enforcement agencies. company; PSC information to the central register at the Companies House. The PSC register To achieve this, the Companies e) the person has the right to exercise, is accessible to the public. . Amendment Ordinance requires a or actually exercises, significant company incorporated in Hong Kong influence or control over the activities Likewise in Singapore with effect from to ascertain the individuals and legal of a trust or a firm that is not a 31 March 2017, Singaporean companies entities that have significant control legal person, but whose trustees or are required to keep a similar register over the company, and maintain a members satisfy any of the first four which may be inspected by the Registrar significant controllers register (‘SCR’). conditions (in their capacity as such) of Companies and public agencies Listed companies are exempt from in relation to the company. when the agencies are administering or this requirement as they are already The major obligations of a company in enforcing any written law of Singapore. subject to a more stringent disclosure this regard include – For details of the new requirements regime under the Securities and Futures introduced under the Companies Ordinance (Cap. 571). • keeping a SCR at the company’s registered office or a prescribed place; Amendment Ordinance, please visit The Companies Amendment Ordinance www.cr.gov.hk/en/scr. adds a new Division 2A (ss. 653A • taking reasonable steps to ascertain to 653ZK) to Part 12 and three new the company’s significant controllers, - Ms Ada Chung, Registrar of Schedules (Schedules 5A, 5B and 5C) to including, where appropriate, issuing Companies, Mr Francis Mok, Senior the Companies Ordinance (Cap. 622). notices of inquiry to such persons Solicitor, Companies Registry and those who know the identity of A significant controller includes a another person who is a significant registrable person and a registrable 監管與合規 controller of the company; legal entity. A registrable person • entering the required particulars of its is generally a natural person with 香港加強打擊洗錢及恐怖分子 significant controllers in the SCR; significant control over the company. A 資金籌集監管制度 — 第II部分 registrable legal entity is a legal entity • keeping the particulars required up- which is a shareholder of the company to-date; 《2018年公司(修訂)條例》(下稱「《 and which has significant control over • allowing inspection and making of 公司(修訂)條例》」) the company. copies of the SCR by law enforcement 為打擊洗錢及恐怖分子資金籌集，財務 officers upon demand. Under the Companies Amendment 行動特別組織(下稱「特別組織」)要求

58 www.hk-lawyer.org April 2018 • INDUSTRY INSIGHTS 業 界 透 視

成員司法管轄區採取措施，確保執法機 關可就法人的實益擁有人和控制權，及 時獲取充分和準確的資料，以防止有人 利用法人作洗錢及恐怖分子資金籌集用 途。

為達致這個目的，《公司(修訂)條例》 規定，在香港成立為法團的公司必須確 定對公司有重大控制權的個人及法律實 體，以備存重要控制人登記冊(下稱「登 記冊」)。因上市公司受《證券及期貨條 例》(第571章)更嚴格的披露制度所規 管，獲豁免遵從上述規定。

《公司(修訂)條例》在《公司條例》(第 622章)第12 部加入新的第2A分部(新訂 第653A至653ZK條)，並加入3個新訂附 表(新訂附表5A, 5B及5C)。 一個條件。 國際共同努力的目標，藉以防止有人利 用公司作不法用途。 重要控制人包括須登記人士和須登記法 公司在這方面的的主要責任包括— 律實體。須登記人士一般是指對公司 • 在公司的註冊辦事處或某訂明地方備 特別組織的其他司法管轄區成員已實施 有重大控制權的自然人。某法律實體如 存重要控制人登記冊； 類似的披露安排。例如，由2016年4月 6日起，英國的公司須備存擁有重大影響 為公司的股東，並對該公司有重大控制 •採取合理步驟，確定公司的重要控制 力或控制權人士登記冊，並須由2016年 權，該實體即屬該公司的須登記法律實 人，包括在適當情況下向該等人士和 6月30日起將登記冊資料包括在英國公司 體。 知道有另一人是公司的重要控制人及 註冊處的中央登記冊，供公眾查閱。 根據《公司(修訂)條例》(第653E條及 其身分的人士發出查詢通知； 附表5A第1條)，如某人符合一個或以上 •把重要控制人的所需詳情記入重要控 同樣，在新加坡，由2017年3月31日 的下述條件，則該人對公司有重大控制 制人登記冊； 起，新加坡的公司須備存類似的登記 冊，新加坡公司註冊處處長可以查閱該 權— •保持登記冊內的所需詳情更新； 登記冊，而當地的公共機構在施行或執 a) 該人直接或間接持有該公司25%以 •在執法人員要求下，容許執法人員查 行新加坡的任何成文法時亦可查閱該登 上的已發行股份；或如該公司沒有股 閱重要控制人登記冊並複印登記冊。 記冊。 本，該人直接或間接持有分攤該公司 如公司未有履行上述任何規定，公司及 如欲了解《公司(修訂)條例》所訂立有關 25%以上的資本或分享該公司25%以 其每名責任人即屬犯罪。 上的利潤的權利； 新規定的詳情，請瀏覽公司註冊處網頁 儘管《公司(修訂)條例》所帶來的改變表 (www.cr.gov.hk/tc/scr/) 所載的資料。 b) 該人直接或間接持有該公司25%以上 面看來偏離了公司法有關任何信託的通 的表決權； 知均不得記入有關公司的成員登記冊1的 - 鍾麗玲，公司註冊處處長 c) 該人直接或間接持有委任或罷免該公 原則，但是披露法團實益擁有權是目前 莫少堅，公司註冊處高級律師 司董事局的過半數董事的權利； Feel free to write in to us with more short contributions on latest industry developments and d) 該人有權利或實際上對該公司發揮或 trends. Simply contact the editor at: [email protected] 行使重大影響力或控制； 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。請與本刊編輯聯絡。 e) 該人有權利或實際上對某信託或商號 電郵：[email protected] 的活動發揮或行使重大影響力或控 制，而該信託或商號並不是法人，但 The information provided here is intended to give general information only. It is not a complete statement of the law. It is not intended to be relied upon or to be a substitute for legal advice in relation to particular 該信託的受託人或商號的成員(以其作 circumstances. 為信託受託人或商號成員的身分)，就 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，亦不應被依賴為任何個案中的 該公司而言符合首四個條件中的任何 法律意見或被視作取代法律意見。

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CASES IN BRIEF 案 例 撮 要

CIVIL PROCEDURE 14 July 2016 applied for leave to accept [2013] 1 All ER 1118 applied; (Wong the Payment and costs of the action. The Ching Wan v. AS Watson & Co Ltd Or Siu Lung, appointed to represent Deputy Judge granted leave and ordered [2007] 4 HKLRD 362 not followed). the estate of Lam Choi Ching(林賽貞), D to pay P’s costs up to 14 August 2015 (See paras. 17–20.) deceased v. Fu Hong Home for the and P to pay D’s costs from 15 August • As there were situations where Elderly Co Ltd [2018] 1 HKLRD 872 2015, including of the application (the imposing the normal costs ‘Costs Order’); finding that L’s death was Court of Appeal consequence might be unjust, a contingency inherent in litigation and Civil Appeal No 189 of 2017 flexibility was built into the O. 22 not a special circumstance justifying a Lam V-P and Cheung JA regime under r. 23(5) and (6) as a departure from the usual costs order. 19, 25 January 2018 deliberate and important safety The Deputy Judge refused P leave to valve. A classic example was where appeal against the Costs Order and P the plaintiff changed his mind Civil procedure — costs — obtained leave from the Court of Appeal. after reassessing the risk based on sanctioned offer or payment — Under O. 22 r. 23 of the Rules of the High relevant information withheld by the acceptance out of time — whether Court (Cap. 4A, Sub.Leg.) (‘RHC’), the defendant. A party might change usual costs order should apply — court could order the plaintiff to pay any his mind for other reasons including correct approach — question was costs incurred by the defendant after the a change in the person in charge whether unjust to make usual latest date on which the payment or offer of a corporate plaintiff; a change of order, not whether there were could have been accepted without leave legal advisor who took a different special circumstances — Rules (r. 23(3)); and it shall make such order view of the case; and a change of of the High Court (Cap. 4A, Sub. unless it considered it unjust to do so (r. circumstances due to contingencies Leg.) O. 22 r. 23 23(5)) in all the circumstances of the case inherent in litigation. None of these (r. 23(6)). situations was likely to constitute Personal injuries claim — original Held, allow the appeal by setting aside injustice (Jones v. Jones (unrep,, 13 elderly plaintiff did not accept the Costs Order, that: October 1999), SG v. Hewitt [2013] 1 All defendant’s sanctioned payment ER 1118 applied). (See paras. 21–26.) within prescribed time — after her • Under O. 22 r. 23 of the RHC, injustice • The Deputy Judge had not considered death, new plaintiff (representing should be the benchmark based on “what the fairness of the situation whether it would be unjust to order her estate) granted leave to costs against P in the circumstances accept payment out of time demands”, rather than “exceptional circumstances” which suggested of the case. Consequently, the Costs In 2013, the original plaintiff, L, then aged that only extreme circumstances Order was set aside and the discretion 88, sustained injuries in an accident at would count. The reasonableness of exercised afresh. Although the Court the residential care home operated by D. a plaintiff rejecting the sanctioned could not adjudicate on the merits at a On 6 July 2015, L brought personal injury payment within time was a relevant costs hearing, in a case of acceptance proceedings against D. On 17 July 2015, consideration but, depending on the out of time with leave where the D made a sanctioned payment into facts, not necessarily determinative. application of the normal costs rule court of $380,000 (the ‘Payment’). On Ultimately, the question was whether was disputed, under O. 22 r. 23(6) 31 July 2015, interlocutory judgment it was unjust to make the normal costs (a), the Court was obliged to consider was entered for L, who did not accept order. Costs decisions were highly the reasonableness of the sanctioned the Payment within the prescribed time. fact-sensitive and it was not helpful payment albeit on a very broad-brush L died of unrelated causes in February to compare one case with another basis to assess if it was unjust to apply 2016. L’s son, P, the representative of (Matthews v. Metal Improvements Co the normal costs rule. (See paras. 28, her estate, took over her action and on Inc [2007] EWCA Civ 215, SG v. Hewitt 30.)

60 www.hk-lawyer.org April 2018 • CASES IN BRIEF 案 例 撮 要

• Here, D admitted liability and there 民事訴訟程序 的許可及訴訟的訟費。暫委法官給予許可 was no contributory negligence. P’s 並命令被告人支付原告人截至2015年8月 CASES IN BRIEF injuries fell within the serious injury Or Siu Lung, appointed to represent 14日的訟費，原告人則支付被告人2015 category for which awards for pain, the estate of Lam Choi Ching(林賽 年8月15日起的訟費，包括傳票費用(「 suffering and loss of amenities ranged 貞), deceased v. Fu Hong Home for 該訟費令」)；暫委法官裁定，L之死是訴 from $510,000 to $692,000. Even the Elderly Co Ltd 訟固有的或有事件，不是支持偏離慣常訟 taking into account L’s age and pre- [2018] 1 HKLRD 872 案 例 撮 要 existing condition, it was reasonable 費命令的特別情況。暫委法官拒絕給予 上訴法庭 for P to have rejected the Payment 原告人針對該訟費令上訴的許可，原告人 民事上訊案件2017年第189號 (Wong Man Kin v. Golden Wheel 其後取得上訴法庭的上訴許可。根據《高 (C&HK) Transportation Co Ltd [2015] 5 高等法院上訴法庭副庭長林文瀚 等法院規則》(第4A章，附屬法例)第22 HKC 570 applied). (See para. 31.) 高等法院上訴法庭法官張澤祐 號命令第23條規則，法庭可以命令原告 • Given the history of the action up to L’s 2018年1月19、25日 人支付被告人在有關付款或提議本可無需 death and the manifestly inadequate 民事訴訟程序 — 訟費 — 附帶條款 法庭許可而被接受的最後日期後所招致的 Payment, since D had not filed an 任何訟費(第23(3)條規則)；法庭須作出 answer to the statement of damages, 和解提議或附帶條款付款 — 逾期接 該命令，但如果法庭考慮案件的整體情況 P’s lawyers could not properly and 受 — 慣常的訟費命令應否適用 — 後(第23(6)條規則)，認為作出該命令並 accurately advise her on quantum. It 正確方法 — 問題在於作出慣常命令 不公正，則不可作出該命令(第23(5)條規 was open to P to accept the Payment 是否不公正，而不是是否有特別情 則)。 and seek costs up to the date of late 況 — 《高等法院規則》(第4A章， acceptance. Applying O. 22, including 附屬法例)第22號命令第23條規則 裁決 –判上訴得直，撤銷該訟費令： r. 15(3) with r. 23, it was unjust to require P to pay costs to D. The costs 民事訴訟程序 — 訟費 — 附帶條款 • 根據《高等法院規則》第22號命令 incurred since the Payment could not 和解提議或附帶條款付款 — 人身傷 第23條規則，「不公正」應該是基 have been avoided. D was ordered to 害申索 — 原先的原告人(長者)不在 準尺度，建基於「情況所需的公平」 pay the costs of the action up to the 訂明時限內接受被告人的附帶條款 而不是「特別情況」之上，「特別 date of late acceptance and the costs 付款 — 她死後，新原告人(她的遺 情況」使人想到只有極端情況才會計 of this appeal, including the costs of 算在內。原告人不在時限內接受附帶 產代表)獲給予逾期接受付款的許可 the application for leave. (See paras. 條款付款的合理性是相關考慮，但不 34, 38–41.) 2013年，原先的原告人L在被告人經營 一定是決定因素，得視乎案情而定。 Appeal 的一間安老院舍意外受傷，她當時88 最終的問題是，作出慣常的訟費命令 This was an appeal by the representative 歲。2015年7月6日，L就所受人身傷害 是否不公正？訟費決定相當取決於案 of the estate of the deceased in a 向被告人提出訴訟。2015年7月17日， 情，拿另一案件作比較並無幫助(引 personal injuries action against the costs 被告人作出附帶條款付款，向法院繳存 用Matthews v. Metal Improvements order made against him by Deputy Judge $380,000(「該筆付款」)。2015年7月 Co Inc [2007] EWCA Civ 215、SG v. Eric Tam in the District Court following 31日，判L勝訴的非正審判決予以登錄， Hewitt [2013] 1 All ER 1118；不遵 his application for leave to accept out of 但L沒有在訂明時限內接受該筆付款。L在 循Wong Ching Wan v. AS Watson & time a sanctioned payment made by the 2016年2月死去，死因與意外受傷無關。L Co Ltd [2007] 4 HKLRD 362)。(見 defendant (see [2017] 1 HKLRD 308). The 的兒子P，她的遺產代表，接手她這宗訴 第17–20段) facts are set out in the judgment. 訟，在2016年7月14日申請接受該筆付款 • 由於有情況是判以慣常訟費的結果 是不公正的，第22號命令第23(5)及 (6)條規則富有靈活度，猶如刻意設 置的重要安全閥。典型的例子是，原 告人根據被告人所隱瞞的相關資料 重新評估風險之後，改變主意。訴 PLEASE ACCEPT? 訟一方可以因為其他理由改變主意， 包括：公司(原告人)換了負責人；換 了法律顧問，而新法律顧問對案件有 不同看法；情況由於訴訟固有的或有 事件而改變。上述情況完全不可能構

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成不公正(引用Jones v. Jones(未經彙 CIVIL PROCEDURE Held, dismissing the application, that: 報，1999年10月13日)、SG v. Hewitt • TT was not a party to the proceedings [2013] 1 All ER 1118)。(見第21–26 Jagdip Kaur Sadhu Singh v. I-Live Ltd and there being no evidence that P 段) [2018] 1 HKLRD 957 had given notice to it, the Court could • 暫委法官沒有考慮一點：在涉案情況 District Court not make any order against TT in 下命令原告人支付訟費會否不公正？ Civil Action No 3222 of 2017 respect of P’s alternative case based on express trust. (See para. 9.) 因此，上訴法庭法官撤銷該訟費令並 Judge Liu Man Kin in Chambers 重新行使酌情權。儘管法庭不能在訟 6 February 2018 • It was inappropriate to grant the relief sought by default judgment, inter 費聆訊判定是非曲直，但根據第22號 alia, on P’s pleaded case. As P had 命令第23(6)(a)條規則，如果獲許可逾 Civil procedure — default judgment — action for not alleged any fraud, the dispute 期接受附帶條款付款，而慣常訟費原 declaration of trust — whether between P and TT was a contractual 則的應用受到爭議，法庭有責任考慮 appropriate case for grant of one, and its resolution depended on 附帶條款付款的合理性(儘管只是非常 judgment — whether entire value the terms of their agreement. The only 籠統地考慮)，以評估應用慣常訟費原 of fund allegedly subject to trust wrongful act on D’s part was allowing 則是否不公正。(見第28、30段) within jurisdiction of District the Investment Fund to be transferred out of the HSBC account for “purposes • 本案被告人承認法律責任，案件不 Court — District Court Ordinance (Cap. 336) s. 37(2) unrelated to investment”, but P 涉及共分疏忽的問題。原告人的傷勢 had not pleaded particulars of this 屬於嚴重損傷類別，痛苦、痛楚及失 Courts and judicial system — allegation. (See paras. 11–13) 去生活樂趣的償金介乎$510,000至 District Court — jurisdiction • Further, contrary to para.4 of Practice $692,000之間。即使計及L的年齡 — action for declaration of Direction 27, P had not pleaded why 及她原先已存在的健康狀況，原告人 trust — value of fund allegedly her claim fell within the jurisdiction 拒絕該筆付款也是合理的(引用Wong subject to trust in excess of of the District Court or specified Man Kin v. Golden Wheel (C&HK) Court’s jurisdiction — whether which of ss. 32–39 of the District Transportation Co Ltd [2015] 5 HKC abandonment of part of claim Court Ordinance (Cap. 336) applied. P’s claim was for a declaration that 570)。(見第31段) under s. 34(1) so as to give Court jurisdiction — District Court a trust subsisted, but s. 37(2) of the • 考慮到訴訟在L死去之前的歷史及該筆 Ordinance (Cap. 336) s. 34(1) Ordinance limited the maximum 付款明顯不足，也由於被告人沒有答 amount of the fund subject to the trust 覆損害賠償陳述書，原告人的律師不 P’s case was that after receiving a cold to HK$1 million. On P’s pleaded case, 可能恰當並準確地在數額方面給她建 call from TT, purportedly a UK online the value of the entire Investment 議。原告人大可接受該筆付款並要求 financial services provider, P opened Fund was about HK$1,014,800 an investment trading account with 直到逾期接受該筆付款當日為止的訟 and therefore outside the Court’s TT and deposited into an account at jurisdiction. (See paras. 15–17.) 費。引用第22號命令，包括第15(3)條 HSBC held by D, a Hong Kong company, 規則及第23條規則，要求原告人支付 • As for P’s plea that she would USD5,000 initially and subsequently relinquish that part of her claim in 訟費給被告人並不公正。該筆付款招 a total of USD130,101 (the ‘Investment excess of the Court’s jurisdiction, 致的訟費原本就無法避免。上訴法庭 Fund’). When P encountered difficulties s. 34(1) of the Ordinance was of no 法官命令被告人支付直到逾期接受該 in terminating the trading account, assistance. First, s. 34(1) concerned 筆付款當日為止的訴訟訟費及上訴的 she made a report to the police and monetary claims and P was seeking 訟費，包括許可申請的訟費在內。(見 discovered that only US$26,295.22 declaratory relief. Second, reading P’s 第34、38–41段) remained. P brought proceedings statement of claim as a whole, a trust against D in the District Court, seeking, relating to the entire Investment Fund, 上訴 inter alia, a declaration that D held the and not any lesser amount, subsisted. 這是一宗由已故者的遺產代表提出的上訴 Investment Fund for her on resulting trust (See paras. 18–19.) 案。已故者在世時意外受傷，提出人身傷 or alternatively, TT held the Investment Application 害訴訟，她的遺產代表申請逾期接受被告 Trust on express trust for P and D as TT’s This was an application by the plaintiff for agent was liable to P as constructive 人作出的附帶條款付款的許可，區域法 default judgment against the defendant 院暫委法官譚利祥其後命令他支付訟費， trustee; and an order that D return the on the ground it had failed to file and 他於是針對訟費令提出上訴(見[2017] 1 Investment Fund in the HSBC account serve a defence. The facts are set out in to her. P now applied for judgment in HKLRD 308)。案情已在判決書詳細列 the judgment. default against D.

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民事訴訟程序 對TT作出任何命令。(見第9段) 應用 • 除了別的以外，不宜基於原告人在 這是一宗申請欠動判決的案件。原告人針 Jagdip Kaur Sadhu Singh v. I-Live 狀書提出的案情，授予藉欠動判決所 對被告人申請欠動判決，理由是被告人沒 Ltd [2018] 1 HKLRD 957 尋求的濟助。由於原告人未有指控 有提交，也沒有送達抗辯書。案情已在判 區域法院 任何欺詐，原告人與TT的爭議是合 決書詳細列出。 區院民事訴訟案2017年第3222號 約爭議，解決方法取決於兩方合約的 區域法院法官廖文健內庭聆訊 條款。容許轉撥滙豐銀行帳戶的投 2018年2月6日 資資金用於「與投資無關的用途」 CIVIL PROCEDURE (purposes unrelated to investment)是 民事訴訟程序 — 因欠缺行動而作 CLS v. LPKP [2018] 1 HKLRD 957 被告人所做的唯一的錯誤作為，但原 出的判決 — 信託聲明書的訴訟 — District Court 告人沒有作訴說出這項指控的詳情。( Matrimonial Causes No 17127 of 2014 是否適合批予判決的案件 — 整筆 見第11–13段) 被指稱受信託規限的資金價值是 Judge Grace Chan in Chambers • 此外，原告人沒有作訴解釋為何她 否在區域法院司法管轄權範圍內 28 August 2017, 8 January 2018 的申索不在區域法院司法管轄權範圍 —《區域法院條例》(第336章)第 內，也沒有指明所引用的是《區域法 Civil procedure — discovery — 37(2)條 院條例》(第336章)第32–39條中哪 inappropriate in matrimonial 法院及司法制度 — 區域法院 — 司 些條文。原告人申索要求法庭宣告信 proceedings to seek discovery 法管轄權 — 信託聲明書的訴訟 — 託存在，只是《區域法院條例》第 against banker of spouse rather 被指稱受信託規限的資金價值超逾 37(2)條指明受信託規限的資金的最高 than spouse 限額是港幣$1,000,000。根據原告人 區域法院的司法管轄權 — 是否根 In these matrimonial proceedings, 在狀書提出的案情，整筆投資資金的 據第34(1)條放棄部分申索以使區 the petitioner-wife applied for specific 價值約為港幣$1,014,800，因此不在 discovery, not against the respondent- 域法院具有司法管轄權 —《區域 法院司法管轄權範圍內。(見第15–17 husband, but against his bankers. 法院條例》(第336章)第34(1)條 段) Held, dismissing the application, that:- 原告人的案情是，她接到TT的直銷電 • 至於原告人作訴指稱她會放棄申索 • Although the wife’s application was 話，TT宣稱是英國網上金融服務提供者， 超逾法院司法管轄權的那一部分，《 taken out under s. 21 of the Evidence 成功游說她在TT開立投資交易賬戶並存款 區域法院條例》第34(1)條沒有任何 Ordinance (Cap. 8) and s. 47B of the 到滙豐銀行一個由被告人持有的帳戶，首 幫助。首先，第34(1)條所關乎的是 District Court Ordinance (Cap. 336), 筆存款是5,000美元，其後分幾次存款， 金錢申索，但原告人尋求的是宣布性 the applicable rule was, as counsel 合共存入130,101美元(「投資資金」)； 質的濟助。其次，從整份申索陳述 on both sides agreed, O. 24 r. 7 of the Rules of the High Court (Cap. 4A, Sub. 被告人是一間香港公司。原告人終止交 書看來，存在的是整筆投資資金的信 Leg.). (See para. 23.) 易帳戶遇到困難，於是向警方報案，其後 託，不是較少投資資金的信託。(見第 • The discovery sought was unnecessary 交易帳戶被發現只剩餘26,295.22美元。 18–19段) for the fair disposal of the matter or 原告人在區域法院針對被告人提出法律程 序，申索濟助包括要求法庭宣告，被告人 以歸復信託方式為她持有投資資金，或者 交替地說，TT以明示信託方式為原告人持 有投資資金，而被告人，作為TT的代理， 對原告人負有法律構定受託人的責任；另 亦要求法庭命令被告人歸還她存放在滙豐 銀行帳戶的投資資金。原告人現針對被告 人申請因欠缺行動而作出的判決(「欠動判 決」)。 裁決 –駁回申請： • TT不是訴訟一方，亦無證據證明原告 人曾向TT發出訴訟通知，法院不可就 原告人建基於明示信託的交替案情，

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for saving costs (LKW v. DD [2010] 13 [2010] 13 HKCFAR 537)。(見第65 after conviction on D’s own plea, the HKCFAR 537 applied). (See para. 65.) 段) prosecution would adduce evidence to • It was inappropriate to seek discovery • 不宜要求丈夫的銀行而不是丈夫本人 prove the actual speed by “somewhere in the nature of a Newton hearing”. against the husband’s banker rather 透露文件。丈夫拒絕妻子所要求的透 than against the husband himself. The application was granted and D 露，但這不是又好又充分支持她要求 That the husband had refused the then pleaded guilty to speeding on the 銀行透露文件的理由(有別於Chan Wai discovery requested by the wife was amended summons and summary of not a good and sufficient reason for Sun v. Law Shiu Kai Andrew [2003] 3 facts. The Magistrate however queried her to seek discovery against the HKLRD 954)。(見第72段) the legal basis for holding the hearing banker (Chan Wai Sun v. Law Shiu • 法官提醒從事家事法工作的法律執業 sought and ruled that there was no Kai Andrew [2003] 3 HKLRD 954 者，在本案一類的情況中，申請人(配 dispute on the amended facts to warrant distinguished). (See para. 72.) 偶)不應試圖藉強制到庭的傳票或要求 a Newton hearing. D did not advance any mitigation. The Magistrate then • Family practitioners were to be 銀行透露文件的申請，達到他們要求 reminded that applicant spouses sentenced D on the basis that he had 透露文件的目的。(見第73段) should not in situations like the exceeded the speed limit by 1 km/h present attempt to achieve their 應用 and imposed a fine of $2,000. On an discovery objectives by way of application by the Secretary for Justice 這是一宗申請透露特定文件的案件。在婚 subpoena or discovery applications (’SJ’) for a review of the decision not to 姻法律程序中，妻子(呈請人)提出申請， directed to bankers. (See paras. 73.) hold a hearing to receive evidence on the 要求丈夫(答辯人)的銀行透露特定文件。 Application actual speed, the Magistrate upheld it 案情已在判決書詳細列出。 and the SJ now appealed against it by This was an application by the petitioner- way of case stated. wife in matrimonial proceedings for specific discovery against the banker of Held, allowing the appeal and remitting the respondent-husband. The facts are CRIMINAL SENTENCING the case to the Magistrate to conduct set out in the judgment. a Newton hearing and to sentence D Secretary for Justice v. Chan Yiu Tung accordingly, that: Anthony [2018] 1 HKLRD 835 民事訴訟程序 • If the Magistrate erred in law in Court of First Instance sentencing D, an appeal by way of Magistracy Appeal No 463 of 2016 CLS v. LPKP [2018] 1 HKLRD 957 case stated could be brought against Deputy Judge Pang Chung Ping his decision. If the exact speed of D’s 區域法院 8 December 2017, 23 January 2018 car were proved to have been 137 婚姻訴訟案件2014年第17127號 km/h, ie 45 km/h over the speed 區域法院法官陳玉芬內庭聆訊 limit, the sentence would be much Criminal sentencing — road 2017年8月28日、2018年1月8日 more severe and include a mandatory traffic offences — speeding — disqualification order. The exact speed 民事訴訟程序 — 透露文件 — 不宜 defendant pleaded guilty to would therefore make a material charge which did not specify 在婚姻法律程序要求對立方的銀行 difference to D’s sentence. (See paras. exact speed of vehicle alleged — 31–32, 63.) 而不是該方本人透露文件 whether magistrate had power • Where there was a plea of guilty, both 在相關婚姻法律程序中，妻子(呈請人)提 to conduct Newton hearing sides had a duty to ensure that the 出特定文件透露的申請，申請所針對的不 to determine exact speed for judge was aware of any discrepancy sentencing purposes — whether 是丈夫(答辯人)，而是他的銀行。 between the basis of plea and the magistrate erred in refusing to 裁決 –駁回申請： prosecution case that could potentially hold hearing and sentencing have a significant effect on sentence, • 儘管妻子的申請是根據《證據條例》( defendant on artificial basis so that the court could consider 第8章)第21條及《區域法院條例》(第 D was charged with speeding and holding a Newton hearing. Even where 336章)第47B條提出，但正如雙方代 admitted the offence but denied the the basis of plea was agreed, the 表律師所同意，適用規則是《高等法 actual speed alleged of 137 km/h in judge retained a discretion (R v. Tolera 院規則》(第4A章，附屬法例)第24號 a 70 km/h zone. At the beginning of [1999] 1 Cr App R(S) 25, R v. Cairns 命令第7條規則。(見第23段) the trial, the prosecution sought to [2013] 2 Cr App R(S) 73 applied). (See amend the summons and summary paras. 35–37, 52.) • 用不著為了公平處理事情或減省訟費 of facts by deleting the precise speed • The prosecutor’s conduct was out 而去尋求文件透露(引用LKW v. DD alleged and told the Magistrate that

64 www.hk-lawyer.org April 2018 • CASES IN BRIEF 案 例 撮 要

of the ordinary. It was not necessary 刑事判決 • 如果裁判官判罰被告人時在法律上犯 to amend the summons by deleting 了錯，訴訟方可針對他的決定，以案 the exact speed. The proper course 件呈述方式上訴。如果有證據證明被 Secretary for Justice v. Chan Yiu was for the defendant to plead guilty Tung Anthony [2018] 1 HKLRD 835 告人的準確車速是每小時137公里， to the offence and then for a trial to 原訟法庭 即每小時超出車速限制45公里，判 determine the exact speed in excess 處的刑罰會重得多，包括發出強制停 of the limit. Notwithstanding, the 裁判法院上訴案2016年第463號 牌令。因此，如果有準確車速的話， amended summons here was not 高等法院暫委法官彭中屏 被告人所受刑罰會很不一樣。(見第 a nullity (R v. Yiu Yuk Lun (unrep., 2017年12月8日、2018年1月23日 HCMA 381/1993) applied). (See paras. 31–32、63段) 40–42.) 刑事罪判刑 — 道路交通罪行 — 超 • 在被告人認罪的情況下，雙方都有責 • The amended summary of facts 速駕駛 — 被告人承認控罪，控罪 任確保法官知悉認罪的基礎和控方案 was not the agreed basis of D’s 沒有指明涉事車輛的準確車速 — 情有出入，任何差異都有可能嚴重影 plea for the purpose of sentencing, 裁判官可有權就判罰進行牛頓聆訊 響所判刑罰，以致法庭有可能考慮舉 but a reflection of the extent of 行牛頓聆訊。即使雙方同意認罪基 以決定準確車速 — 裁判官是否錯 the prosecution case that could be 礎，法官也保留酌情決定權(引用R v. 在拒絕舉行聆訊並在虛假的基礎上 admitted by D. There was clearly a Tolera [1999] 1 Cr App R(S) 25、R v. serious dispute on a significant fact 判罰被告人 Cairns [2013] 2 Cr App R(S) 73)。(見 alleged by the prosecution. Although 第35–37、52段) D was convicted on his own plea and 被告人被控超速駕駛，他認罪但否認控 admission of the amended summary 方所指的，在每小時70公里的車速限制 • 控方的行為異乎尋常。控方無需要修 of facts, the Magistrate had the power 區內，他的實際車速是每小時137公里。 訂傳票，刪除準確車速。正確的做法 to hold a Newton hearing to decide 審訊開始時，控方申請修訂傳票和事實摘 是被告人承認有關罪行，然後進行審 the actual speed of D’s car. (See paras. 要，刪除指稱的準確車速，並告訴裁判 訊以決定準確超出限制的車速。儘管 43–47, 54–55.) 官，待被告人認罪而被定罪之後，控方會 如此，本案經修訂的傳票並非無效(引 • It was the duty of both the prosecution 以「性質近乎牛頓(Newton)聆訊的方式」 用R v. Yiu Yuk Lun(未經彙報，HCMA and the defence to assist the ，舉證證明實際車速。該申請獲批，其後 381/1993))。(見第40–42段) Magistrate as to what was the true 被告人承認經修訂傳票和事實摘要上所指 • 經修訂的事實摘要不是雙方同意用 basis of the plea of guilty tendered by 控的超速駕駛。然而，裁判官質疑舉行所 D; and of the Magistrate to sentence D 作判罰的被告人認罪的基礎，而是被 要求的聆訊的法律基礎，裁定修訂後的案 on the true facts of the case. D would 告人可以在多大程度上承認控方案情 not have been prejudiced by a hearing 情沒有爭議，因而沒有足夠理由進行牛頓 的反映。雙方在控方指稱的重要事實 to prove the exact speed of his car. 聆訊。被告人沒有提出任何減刑要求。裁 上顯然有嚴重分歧。雖然被告人是 Accordingly, the Magistrate erred in 判官其後以每小時超速1公里為依據，判 經認罪並承認經修訂的事實摘要後被 refusing to hold such a hearing; as 處被告人罰款$2,000。律政司司長申請 定罪，但裁判官仍有權舉行牛頓聆 well as in sentencing D on an artificial 覆核不舉行聆訊以收取實際車速的證據的 訊，以決定被告人的實際車速。(見第 basis (R v. Beswick [1996] 1 Cr App R(S) 決定，但裁判官維持決定，律政司司長不 43–47、54–55段) 343, HKSAR v. Cheung Cho Fat [2010] 服，現以案件呈述方式上訴。 5 HKC 400 applied). (See paras. • 控辯雙方有責任協助裁判官知道被告 57–58, 61–64, 66.) 裁決 –判上訴得直，把案件發還裁判官 人認罪的真正基礎；裁判官有責任以 Appeal 以進行牛頓聆訊，以對被告人作出相應的 案件的實情為基礎，判罰被告人。進 判罰： 行聆訊以證明被告人的準確車速本來 This was an appeal by way of case stated by the Secretary for Justice against the decision of a Deputy Special Magistrate not to hold a hearing to receive evidence from the prosecution as to the actual speed of the respondent’s car after the respondent pleaded guilty to speeding. The facts are set out in the judgment.

www.hk-lawyer.org 65 • April 2018

就不會影響被告人的權利。因此，裁 taxation only affected the factors to 刑事法及刑事訴訟程序 判官錯在拒絕舉行有關聆訊；也錯在 be taken into account for the amounts 在虛假的基礎上判罰被告人(引用R v. to be allowed. If the drafter adopted HKSAR v. Li Chun Ting Beswick [1996] 1 Cr App R(S) 343 other rates without explanation in the [2018] 1 HKLRD 829 bills, the court would raise requisitions 、HKSAR v. Cheung Cho Fat [2010] 原訟法庭 5 HKC 400)。(見第57–58、61–64 on them (Wing Fai Construction Co Ltd (Costs: Taxation) (2012) 15 HKCFAR 裁判法院上訴案2007年第311號 、66段) 657 applied). (See paras. 9–10.) 高等法院司法常務官龍劍雲內庭聆 上訴 • The DoJ could request higher rates 訊 這是一宗上訴案。答辯人承認超速駕駛， for taxation of particular items but 2018年1月9、16日 暫委特委裁判官決定不舉行聆訊，以收取 must state the reasons for doing so. The costs of government counsel 刑事法及刑事訴訟程序 — 訟費 — 控方有關答辯人汽車實際車速的證據。律 who did the work of both a solicitor 訟費評定 — 草擬刑事案訟費單的 政司司長不服決定，以案件呈述方式上 and a barrister was one of the factors 適用指引 — 訟費評定基準 — 適量 訴。案情已在判決書詳細列出。 for consideration. Whether or not to 的每小時收費 — 政府律師兼顧律 accept such reasons and what the appropriate rates of charge should 師和大律師工作時的處理方法 CRIMINAL LAW AND be were in the court’s discretion. The 律政司根據《刑事案件訟費規則》(第 costs of government lawyers who were 492A章，附屬法例)第7–8條，尋求覆核 PROCEDURE treated as barristers and solicitors for 司法常務官就一宗刑事上訴作出的訟費評 the purpose of fees and costs were to HKSAR v. Li Chun Ting be taxed on the same basis as private 定，目的是為將來刑事案訟費單的草擬工 [2018] 1 HKLRD 829 practitioners (Ling Yuk Sing v. Secretary 作提供指引。 Court of First Instance for the Civil Service [2010] 3 HKLRD 裁決 – Magistracy Appeal No 311 of 2007 722 applied). (See paras. 11–13.) • 共同基金基準理應適用於刑事案的 Registrar Lung Kim Wan in Chambers • A solicitor with higher rights of 訟費評定。刑事案訟費單的草擬者 9, 16 January 2018 audience under r. 21(8)(b)(ia) of the Legal Aid in Criminal Case Rules (Cap. 必須採用律師會標題為「High Court 221D, Sub.Leg.) usually had higher Taxation – Consolidation Circular – Criminal law and procedure — seniority. This was by no means Updated April 2008」的通函作為參 costs — taxation — guidance comparable to junior government 考。訟費評定的各種基準都只影響判 for drafting of bills for criminal counsel in the present case who had 給金額時所考慮的因素。要是草擬 only three years’ post-qualification matters — basis of taxation 者採用其他收費率但不在訟費單詳 experience. She could charge for time — appropriate hourly rates — spent on the work of a solicitor and 細說明，法庭會就此提出要求(引用 approach where government counsel, but her hourly rate must be Wing Fai Construction Co Ltd (Costs: counsel did work of both solicitor reasonable and the burden was, on Taxation) (2012) 15 HKCFAR 657) and barrister the common fund basis, on the DoJ. 。(見第9–10段) She could not justifiably command the The Department of Justice (DoJ) sought • 律政司可要求特別項目按較高收費 same hourly charge of a partner in a a review of the taxation of costs of a 率評定訟費，但必須說明這樣做的原 solicitor’s firm of 10 or more years. The criminal appeal by the Registrar under ss. indemnity principle of costs applied 因。政府律師兼顧律師和大律師工作 7–8 of the Costs in Criminal Cases Rules equally to government counsel 的收費是考慮因素之一。是否接受這 (Cap. 492A, Sub.Leg.) for the purpose of (Building Authority v. Business Rights 些理由？收費多少才算適量？這些都 providing guidance for the future drafting Ltd [1999] 3 HKC 247 considered). of bills in criminal matters. 是法庭酌情決定的問題。就費用和訟 (See paras. 16–17.) 費而言，被視為大律師兼律師的政府 Held, that: Application 律師，其訟費按照與私人執業律師的 • For criminal taxation, the common This was an application by the 一樣的基準評定(引用Ling Yuk Sing v. fund basis should apply. Drafters of Department of Justice for a review of a Secretary for the Civil Service [2010] 3 criminal bills must adopt for reference taxation of costs of a criminal appeal by HKLRD 722)。(第11–13段) the hourly rates in the Law Society’s Registrar Lung Kim Wan on 4 August Circular entitled “High Court Taxation • 《刑事案件法律援助規則》(第221D 2017 (see [2017] HKEC 1718). The facts are – Consolidation Circular – Updated 章，附屬法例)第21(8)(b)(ia)條所指 set out in the judgment. April 2008”. The different bases for 的享有較高級法院出庭發言權的律

66 www.hk-lawyer.org April 2018 • CASES IN BRIEF 案 例 撮 要

師，通常資歷較深。本案初級政府律 — possession of offensive weapon Ds appealed against conviction. D1 also 師只有三年認許後執業經驗，絕不能 in public place — chilli spray appealed against his sentence of nine 相提並論。她可以按自己在律師和大 intended for purpose of causing months’ imprisonment. 律師工作所花的時間收費，不過根據 injury to others at protest — Held, dismissing the appeals, that: relevant factors — whether 共同基金基準，她的每小時收費必須 Appeal against conviction by D1 合理，並且舉證責任在於律政司。她 prosecuting counsel attempted to influence sentence by advocacy — • Given her overall analysis, the 不可能有理由與十年或以上律師行的 Public Order Ordinance (Cap. 245) Magistrate had not shifted the burden 合夥人看齊，收取的每小時收費與他 s. 33(1), (2) of proof onto D1. In considering 們的一樣。訟費的彌償原則同樣適用 whether the articles were offensive 於政府律師(考慮Building Authority v. D1–2 were convicted of possession of weapons, she had to make findings Business Rights Ltd [1999] 3 HKC an offensive weapon in a public place on the credibility of D1’s testimony; contrary to s. 33(1) and (2) of the Public otherwise it would be impossible to 247)。(見第16–17段) Order Ordinance (Cap. 245). The safely determine the relevant issues. 應用 prosecution case was that D1, dressed She had first accepted the prosecution in armour-like protective gear, was with witnesses as honest and reliable and 這是一宗覆核申請案，律政司尋求覆核司 D2 near a protest. D1–2 were found then rejected D1’s testimony that he 法常務官龍劍雲2017年8月4日就一宗刑 carrying respectively inter alia five bottles had lawful authority or reasonable 事上訊作出的訟費評定(見[2017] HKEC of chilli spray and one bottle of chilli excuse for possession as incredible. 1718)。案情已在判決書詳細列出。 spray. The chilli spray was oil-free and Section 94(A) of the Criminal contained capsaicin and dihydrocapsaicin Procedure Ordinance (Cap.221) did (collectively ‘capsaicinoids’) and isopropyl not have much application here. (See alcohol with effects similar to pepper paras. 26, 31, 35–36.) CRIMINAL LAW AND spray (pain, stinging, irritation and • D1’s clothing and equipment were PROCEDURE swelling) but mild and not noxious. The not evidence of “uncharged acts” bottles could discharge a fine spray over but part of the evidence as a whole HKSAR v. Chan Yiu Shing a range of 50 cm. At trial, D1 testified and relevant to the purpose of his that he was on his way to provide first possession of the chilli spray. Such [2018] 1 HKLRD 421 aid outside certain premises, the bottles evidence should be admitted if there Court of First Instance contained chilli oil from relatives and was no statutory provision requiring its Magistracy Appeal No 377 of 2016 he had already consumed some. D2 exclusion and the Magistrate properly Albert Wong J testified that the bottle was from a took it into account (R v. Chong Ah friend and he used it while eating out; 17 March, 7 April 2017 Choi [1994] 3 HKC 68, Chim Hon and he was showing D1, a stranger, the Man v. HKSAR (1999) 2 HKCFAR 145, way to the premises in question when HKSAR v. Chu Chi Wah (No 1) [2010] 4 Criminal law and procedure — they were intercepted. The Magistrate HKLRD 675, HKSAR v. Kwok Hing Tony possession of offensive weapon in found the prosecution witnesses honest [2010] 3 HKLRD 761 applied). (See public and reliable and rejected. She rejected paras. 38–39, 47–48.) place — chilli spray — not Ds’ exculpatory testimony, finding that • Given the expert evidence as to offensive weapon per se — they knew the chilli sprays were inedible; the effects of the chilli spray, the given D1’s clothing and equipment, he whether offensive weapon Magistrate was entitled to find that expected clashes; and the prosecution on basis intended for purpose of D1 knew the liquids were not edible had proved Ds possessed the chilli sprays causing injury to others — whether and reject his assertion that they for the unlawful purpose of causing injury lawful authority or reasonable were for consumption as completely to others by them or some other person. excuse — whether magistrate unbelievable. There was sufficient reversed burden of circumstantial evidence for her proof — whether conclusion that D1 had the requisite erred by taking unlawful intention and this was the account of uncharged only reasonable inference that could acts — whether be drawn. As for D1’s argument that erred in approach to his clothes were merely the type worn circumstantial evidence by BMX riders and he had a reflective — Public Order vest bearing the words “First Aid”, Ordinance (Cap. 245) s. even if they were for other legitimate 33(1), (2) purposes, it did not affect the finding Criminal sentencing that D1 possessed items intended to

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be used by him or other persons to 111–114.) 法權限或合理辯解 — 裁判官可有 cause injury to others (HKSAR v. Tsang • While the liquid could produce only 逆轉舉證責任 — 是否錯在考慮了 Chi Wai (unrep., CACC 384/2012, mild and temporary discomfort, D1’s 不被檢控行為 — 有關環境證據的 [2013] CHKEC 1129) applied). (See act was premeditated and not for 做法是否有錯 — 《公安條例》(第 paras. 50, 53, 57–63, 67.) self-defence; and would aggravate the 245章)第33(1)及(2)條 Appeal against conviction by D2 situation. There were no sentencing guidelines for this type of offence as • D2’s conviction was neither unsafe 刑事罪判刑 — 在公眾地方管有攻 the sentence depended on all the nor unsatisfactory. The chilli spray 擊性武器 — 擬在示威地點作傷害 circumstances, including the nature was not an offensive weapon per se. of the weapon concerned, the degree 他人用途的辣椒噴霧 — 相關因素 Even if the liquid might be edible or of potential injury and the ultimate — 檢控人員是否試圖藉訟辯影響 harmless when consumed, it could intention of possessing the weapon. become an offensive weapon because 判處 — 《公安條例》(第245章)第 (See paras. 117, 119.) of the possessor’s intention to use it 33(1)及(2)條 to attack others. The Magistrate had • D had previous convictions including a duty to consider all the relevant one relating to an explosive D1–2被控一項在公眾地方管有攻擊性 evidence to determine whether the substance. That D1 had five bottles 武器罪，違犯《公安條例》(第245章)第 only reasonable inference that could of the liquid in his possession 33(1)及(2)條，裁判官裁定二人罪名成 suggested that he intended to use be drawn was that D2’s possession 立。控方案情是，D1穿著類似盔甲的保 them continuously. There was also of the bottle of chili spray was for the 護衣服，與D2在示威地點附近出現。二 purpose of causing injury to others. a risk that some might fall into the 人分別被發現身上帶有辣椒噴劑，D1有 Her conclusion was amply justified. hands of others for illegal purposes. The expert evidence on the nature Bringing chilli spray to protests 五樽，D2有一樽。辣椒噴劑沒有油的成 of the liquid and its effects was might also discourage members of 份，含有辣椒素、二氫辣椒素(合稱「辣 relevant to assessing the credibility the public from exercising their right 椒素物質」)和異丙醇，可引起與胡椒噴 to participate in peaceful protests. of D2’s defence; and his intention 霧相若的效果(痛楚、刺激、紅腫)，不過 in possessing it (R v. Chong Ah Choi Accordingly, while D1’s sentence was 程度輕微，算不上有害。樽內辣椒噴劑 [1994] 3 HKC 68 applied). (See paras. severe, it was not manifestly excessive. 80–83, 87–88, 91, 93, 106–107.) (See paras. 120–121, 123–125.) 可以微細霧狀形態噴出來，距離可達50 厘米。審訊時，D1作供稱，他當時正前 • Given the circumstances as a whole, Appeal 往某幾處處所外提供急救工作，所帶透 there was no good reason to interfere This was an appeal by the first defendant with the Magistrate’s finding as to against conviction and sentence for 明樽載著的是辣椒油，是親戚給他的， the credibility of D2 and the defence possession of an offensive weapon 他曾吃過一些。D2作供稱，所帶那樽辣 witness. Having found that D2’s in a public place and by the second 椒油是朋友給他的，他在外出用膳時使 defence was untrue, she also rejected defendant against conviction for the 用；他不認識D1，當時帶領D1前往有關 the reasonable excuse advanced by same offence imposed by Ms Winnie Lau 處所，途中被截停。裁判官判斷控方證人 him. It was unnecessary to proceed in the Magistrates’ Court. The facts are to the second stage of consideration, set out in the judgment. 誠實可靠，拒絕接納D1和D2的免責開脫 namely whether the excuse was 證詞，裁定：他們知道辣椒噴霧不可供食 genuine (HKSAR v. Hung Mei Ling 用；D1的衣著和裝備反映D1預期衝突的 Marine (unrep., CACC 200/2010, 刑事法及訴訟程序 情況；控方已經證明D1和D2管有辣椒噴 [2012] CHKEC 118), HKSAR v. Ho Loy 霧作非法用途，即擬供其本人或他人作傷 (2016) 19 HKCFAR 110 applied). (See HKSAR v. Chan Yiu Shing paras. 98–99, 103.) 害他人用途。二人就定罪提出上訴。D1 [2018] 1 HKLRD 421 Appeal against sentence by D1 亦就自己被判處9個月監禁提出上訴。 原訟法庭 • The way the Magistrate dealt with D1’s 裁判法院上訴案2016年第377號 裁決 –駁回上訴： sentence could not be criticised. The prosecution merely reminded her that 高等法院原訟法庭法官黃崇厚 D1就定罪提出上訴 a case on appeals against sentence 2017年3月17日、4月7日 • 從她的整體分析看來，裁判官沒有將 was annexed to his closing submission 舉證責任轉移給D1。考慮相關物品是 for her to “see if it can assist the 刑事法及訴訟程序 — 在公眾地方 否攻擊性武器時，她必須就D1證詞的 Court”. There was no attempt to 管有攻擊性武器 — 辣椒噴霧 — 本 可信性作出判斷，否則，她不可能穩 influence the sentence by advocacy. 質上不是攻擊性武器 — 是否因為 The Magistrate noted the similarities 妥地就相關議題作出裁定。她先信納 but also the differences between that 擬供其本人或他人作傷害他人用 控方證人為誠實可靠，然後拒絕接納 case and the present case. (See paras. 途便成為攻擊性武器 — 是否有合 D1的證詞，判斷D1指自己管有是有合

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法權限或合理辯解的說法並不可信。 。(見第80–83、87–88、91、93 厲的，但不致明顯過重。(見第120– 《刑事訴訟程序條例》(第221章)第 、106–107段) 121、123–125段) 94(A)條的作用對本案影響不大。(見 • 綜觀整體情況，不存在充份理由要干 上訴 第26、31、35–36段) 預裁判官有關D2和辯方證人的誠信 這是一宗上訴案。兩名被告人被控一項在 • D1的衣著和裝備不是「不被檢控行 的裁斷。她裁定D2的說法不真實，同 公眾地方管有攻擊性武器罪，經審訊後， 為」的證據，而是整體證據的一部 時亦否定了他所指出的合理辯解。法 裁判官劉綺雲女士裁定二人罪名成立並判 份，和管有辣椒噴劑的目的有關。只 庭不用繼續進行第二階段的考慮，即 處監禁。第一被告人就定罪及判處提出上 要沒有法規訂明應被豁除，該項證據 不用繼續審視該辯解是否真實(引用 訴，第二被告人就定罪提出上訴。案情已 應可呈堂，而裁判官也有顧及不被檢 HKSAR v. Hung Mei Ling Marine(未 在判決書詳細列出。 控行為，做法恰當(引用R v. Chong Ah 經彙報，CACC 200/2010，[2012] Choi [1994] 3 HKC 68、Chim Hon CHKEC 118)、HKSAR v. Ho Loy Man v. HKSAR (1999) 2 HKCFAR (2016) 19 HKCFAR 110)。(見第 145、HKSAR v. Chu Chi Wah (No 98–99、103段) TAXATION 1) [2010] 4 HKLRD 675、HKSAR D1就判處提出上訴 Danix Ltd v. Collector Of Stamp v. Kwok Hing Tony [2010] 3 HKLRD • 裁判官判處D1的手法無可詬病。檢控 Revenue [2018] 1 HKLRD 910 761)。(見第38–39、47–48段) 官只是提醒了她，他的結案陳詞中所 District Court • 考慮到專家證詞所指辣椒噴霧的效 附的其中一宗案例有處理判處上訴， Stamp Duty Appeal Nos 3 & 4 of 2012 果，裁判官有權裁斷D1當時知道相關 「睇下可唔可以幫助法庭」。他完全 Judge Liu Man Kin in Chambers 液體不可食用，並因管有這些噴劑是 不是試圖藉訟辯影響裁判官的判處。 31 January, 2 February 2018 為了食用之說毫不可信而拒絕接納。 裁判官指出該案與本案有相近之處， 本案有足夠環境證據供裁判官考慮， 也有相異之處。(見第111–114段) Taxation — stamp duty — appeal 然後才推論D1有相關的不法意圖；這 against assessment by way of • 雖然相關液體只會產生短暫及程度輕 也是唯一可以得出的合理推論。至於 case stated — seven-day time 微的不適，但D1是有預謀的，並且不 D1辯稱他當時穿著的只是BMX單車 limit — court had no jurisdiction 會是為了自衞，此外，使用相關液體 to extend time limit — Stamp 手會穿的那一種裝束而已，而且，他 會令局面惡化。這類罪行沒有量刑指 Duty Ordinance (Cap. 117) s. 14(2) 還穿了一件印有「急救」字樣的反光 引，因為刑處取決於整體情況，包括 Human rights — equality before 衣，即使他是為了其他合法目的而穿 相關武器的性質，能引致的傷害的程 courts and right to fair hearing 著，也不影響裁判官的裁定D1管有物 度，以及管有該武器的最終意圖。(見 under art. 10 Hong Kong Bill of 品是擬供其本人或他人作傷害他人用 第117、119段) Rights Ordinance (Cap. 383) and 途(引用HKSAR v. Tsang Chi Wai(未 art. 35 Basic Law • D1曾干犯其他罪行，包括一項和炸藥 經彙報，CACC 384/2012，[2013] 有關的罪行。他管有五樽相關液體， [Stamp Duty Ordinance (Cap.117) s.14(2)] CHKEC 1129))。(見第50、53、57– 顯示他有意持續使用，並且存在其中 63、67段) C1–2 lodged notices of appeal against 一部份會落入其他人手中不法地使用 assessments by the Collector of Stamp D2就定罪提出上訴 的風險。帶同辣椒噴劑往示威地點有 Revenue (the Collector) of stamp duty • D2的定罪不是不安全，也不是不穩 可能令有意參與和平示威的市 payable Cs acknowledged 妥。辣椒噴劑本質上不是攻擊性武 民卻步。因此，D1的判處是嚴 receipt of the Case Stated 器。即使相關液體可以服用或服用了 from the Collector. However, 不致有害，它也有可能因為管有者 Cs failed to serve it on the Secretary for Justice (SJ) 擬使用它來攻擊別人而成為攻擊性武 or set down the cases for 器。裁判官有責任考慮整體相關證 hearing within the seven- 據，以決定是否推論D2管有那樽辣椒 day time limit under s. 噴霧是為了作傷害他人的用途，並且 14(2) of the Stamp Duty 這是唯一可以作出的合理推論。她的 Ordinance (Cap. 結論理據充份。相關專家意見在於相 117). The Collector 關液體的性質和對人的影響，在D2 applied to strike out 的辯解的可信性評估及他管有這液體 the appeals. 的意圖這兩方面有其作用(引用R v. Chong Ah Choi [1994] 3 HKC 68)

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Held, granting the applications, that: 稅務 在不平等的問題(引用Lee Yee Shing • Cs’ challenge to the seven-day time Jacky v. Inland Revenue Board of limit in s. 14(2) based on the right Danix Ltd v. Collector Of Stamp Review [2011] 6 HKC 307 (CFI)、Lee to equality before the courts and Revenue [2018] 1 HKLRD 910 Yee Shing Jacky v. Inland Revenue right to a fair hearing under art. 區域法院 Board of Review [2012] 2 HKLRD 10 of the Hong Kong Bill of Rights 印花稅評稅上訴案2012年第3及4號 981 (CA))。(見第18–19段) could not succeed, since tax matters fell outside the scope of civil rights 區域法院法官廖文健內庭聆訊 • 納稅人如果不符合第14(2)條的規定， and obligations under art. 10. There 2018年1月31日、2月2日 但解釋得到延誤的原因，上訴有理可 was also no inequality between 稅務 — 印花稅 — 反對評稅而以案 據，就可向原訟法庭尋求濟助，要求 the absence of a time limit for the 司法覆核。因此，7天時限沒有侵犯 Collector’s duty to prepare the Case 件呈述方式上訴 — 第14(2)條所訂 《基本法》第三十五條的向法院提起 Stated taking into account the duty 的7天時限 — 法庭沒有司法管轄 訴訟的權利(引用Lee Yee Shing Jacky payer’s comments, which was a 權延長時限 — 《印花稅條例》(第 v. Inland Revenue Board of Review time-consuming exercise, and the 117章)第14(2)條 seven-day limit for the duty payer’s [2012] 2 HKLRD 981)。(見第20–23 duty under s. 14(2), which involved 人權 — 根據第十條，人人在法庭 段) relatively simple matters (Lee Yee 前平等及有權受公正審問 — 根據 • 因此，法庭沒有司法管轄權延長第 Shing Jacky v. Inland Revenue Board of 第三十五條的向法院提起訴訟的 14(2)條的7天時限。上訴不能繼續進 Review [2011] 6 HKC 307 (CFI), Lee Yee 權利 — 第14(2)條適用於印花稅 Shing Jacky v. Inland Revenue Board 行，應根據《區域法院條例》第48(1) 上訴的7天時限 — 不違反第十條及 of Review [2012] 2 HKLRD 981 (CA) 條及《區域法院規則》(第336H章， 第三十五條 — 《基本法》第三十 applied). (See paras. 18–19.) 附屬法例)第1B號命令第1(2)(l)條規 五條 — 《香港人權法案條例》(第 • If a duty payer did not comply with 則，予以剔除(引用Bangkok Capital s. 14(2), but the delay was excusable 383章)第8條《香港人權法案》第 Antique Co Ltd v. Collector of Stamp and the appeal meritorious, the duty 十條 — 《印花稅條例》(第117章) Revenue (1984) 2 HKTC 83)。(見第 payer could seek relief from the Court 第14(2)條 of First Instance by judicial review. 24–25段) Thus, the seven-day time limit did not [《印花稅條例》(第117章)第14(2)條] 應用 infringe the right of access to courts 公司1–2提交上訴通知書，上訴反對印花 under art. 35 of the Basic Law (Lee Yee 這是一宗申請剔除訴訟的案件。兩間公司 Shing Jacky v. Inland Revenue Board of 稅署署長(署長)所評定須繳付的印花稅， (上訴人)提出上訴，印花稅署署長因為上 Review [2012] 2 HKLRD 981 applied). 其後確認收到署長發出的案件呈述。然 訴人不履行《印花稅條例》(第117章)第 (See paras. 20–23.) 而，公司1–2沒有將案件送達律政司司 14(2)條所訂的7天時限，要求法庭頒令剔 • Accordingly, the Court did not have 長，也沒有在《印花稅條例》(第117章) 除上訴。案情已在判決書詳細列出。 jurisdiction to extend the seven-day 第14(2)條所訂的7天時限內要求排期聆訊 time limit in s. 14(2). The appeals 案件。署長申請剔除上訴。 could not proceed and should be struck out under s. 48(1) of the 裁決 –批准申請： Ordinance and O. 1B r. 1(2)(l) of the • 根據《香港人權法案》第十條，人人 Rules of the District Court (Cap. 336H, Sub.Leg.) (Bangkok Capital Antique 在法庭前平等及有權受公正審問，但 Co Ltd v. Collector of Stamp Revenue 公司1–2如果以此為依據，就不可能 (1984) 2 HKTC 83 applied). (See 成功質疑第14(2)條的7天時限，因為 paras. 24–25.) 稅務事宜不在第十條所指的公民權利 Application 和義務範圍之內。署長有責任準備案 件呈述，但由於要花時間考慮納稅人 This was an application by the Collector For full summaries and judgments, please refer of Stamp Revenue seeking an order to 的意見，準備案件呈述不設時限；另 to Westlaw and Hong Kong Law Reports & strike out the appeals brought by the two 一方面，納稅人有責任在第14(2)條所 Digest at www.westlaw.com.hk. appellant-companies for non-compliance 訂的7天時限內履行責任，當中涉及相 就完整的摘要和判決書，請到 with the 7-day time limit under s. 14(2) of www.westlaw.com.hk 參閱Westlaw 對簡單的事情。因此，第14(2)條不存 the Stamp Duty Ordinance (Cap. 117). The 及《香港法律彙報與摘錄》。 facts are set out in the judgment.

70 www.hk-lawyer.org April 2018 • PROFESSIONAL MOVES 會 員 動 向

PROFESSIONAL MOVES 會員動向

Newly-Admitted Members 新 會 員

CHAN CHUN YAT HENG JOCELYN SUNG CHOI FUNG ARTHUR SEETORNG 宋彩鳳 陳俊逸 王曦彤 MAK PATRICK & TSE SKADDEN, ARPS, HERBERT SMITH 麥家榮律師行 SLATE, MEAGHER & FREEHILLS FLOM 史密夫斐爾律師事 世達國際律師事務所 務所

CHEUNG MAN KIN HON KAM KONG SZE STEPHANIE ALEX 韓金光 施敏佩 張文健 POON S.T. & WONG SIMMONS & CHOW & CO., B.C. 潘成達黃恆成律 SIMMONS 周炳朝律師行 師行 西盟斯律師行

CHIEN MERCEDES J LAM NATALIE TAM CHING 錢晉卉 KATE 譚 政 HOWSE WILLIAMS 林家希 MAYER BROWN JSM BOWERS TANNER DE WITT 孖士打律師行 何韋鮑律師行 泰德威律師事務所

CHIU LOK SZE LAU PO WA TAM TSZ SHAN SINCERE VIVIAN TIFFANY 趙樂施 劉寶樺 譚芷珊 CLIFFORD CHANCE STEPHENSON ALLEN & OVERY 高偉紳律師行 HARWOOD 安理國際律師事務所 羅夏信律師事務所

FUNG CLEMENT LI CHEUK BON WONG JING PETER SANBORN 黃 正 馮愷民 李焯梆 PRINCIPAL TRUST MAYER BROWN JSM CLIFFORD CHANCE COMPANY (ASIA) 孖士打律師行 高偉紳律師行 LIMITED

www.hk-lawyer.org 71 • April 2018

WONG KA WING GAO WANTING Partnerships and Firms KYLIE 高婉婷 黃家穎 GUANTAO & CHOW SOLICITORS AND 合夥人及律師行變動 MAYER BROWN JSM NOTARIES changes received as from 1 February 2018 孖士打律師行 觀韜律師事務所(香港) 取自2018年2月1日起香港律師會所提供之最新資料 IP SIK MAN SIGNORY 葉式文 CLYDE & CO. • CHAN LAI CHING WONG SUET WA 其禮律師行 joined Ricardo Lee & Associates Law Office as 黃雪華 a partner as from 01/03/2018. KWOK YIN KAN BRIAN 陳麗菁 SLAUGHTER AND 郭彥勤 MAY 自2018年3月1日加入李廣文律師行為合夥 司力達律師樓 SHEARMAN & STERLING 人。 謝爾曼‧思特靈律師事務所 • CHAN MING KIT LAI HANG YIN JOANNA became a partner of C.K. Charles Ho & Co. as 黎杏姸 from 01/03/2018. ZHANG CHIXIN SO MIKE, JOSEPH LAU & CO. 陳銘傑 張弛欣 蘇與劉律師事務所 自2018年3月1日成為何傳經律師事務所合夥 人。 CLIFFORD CHANCE LIANG YUK HAN JOYCE 高偉紳律師行 梁玉嫻 • CHAN PAK LAM ANDREW ceased to be the sole practitioner of Andrew MA YAT-SI LOUISE Chan & Co. as from 12/03/2018 and the firm 馬逸思 closed on the same day. Mr. Chan remains as SIMMONS & SIMMONS a consultant of Jimmie K.S. Wong & Partners. ZHU YING 西盟斯律師行 陳柏林 朱 穎 SHUM HO TING HELEN 自2018年3月12日不再出任陳柏林律師事務 所獨資經營者一職，而該行亦於同日結業。陳 MAK PATRICK & TSE 沈皓婷 律師仍繼續擔任黃嘉錫律師事務所顧問一職。 麥家榮律師行 KING & WOOD MALLESONS 金杜律師事務所 • CHAN YING LAM ANGELA became a partner of Wan Yeung Hau & Co. as WANG ZHENYUAN from 02/02/2018. 王臻圓 陳映霖 CAI JIANBIN WONG HEI 自2018年2月2日成為溫楊侯律師事務所合夥 蔡健彬 黃 曦 人。 GALLANT LIN AND ASSOCIATES • CHONG MAN YEE 何耀棣律師事務所 林華榕律師事務所 became a partner of L & Y Law Office as from 20/02/2018. CHAN YIN SZE WONG KA PO 陳燕思 黃嘉寶 莊敏儀 LEUNG & CO., ANNIE 自2018年2月20日成為林余律師事務所合夥 梁淑莊律師事務所 WONG PUI FEI 人。 王佩菲 CHANG SIM MING CLARA • CHOW PUI YAN 張心銘 WONG YUK KWAN ANNABELLE became a partner of Keith Lam Lau & Chan ALLEN & OVERY 黃鈺鈞 as from 13/02/2018. 周佩炘 安理國際律師事務所 YIP YIU TSUN VICTOR ALAN 自2018年2月13日成為劉林陳律師行合夥 葉耀駿 CHUNG KRISTIE KAY 人。 叢 琦 BAKER & MCKENZIE FRESHFIELDS BRUCKHAUS DERINGER 貝克‧ 麥堅時律師事務所 • CHUNG HOI YING MIRANDA 富而德律師事務所 commenced practice as the sole practitioner YUNG KING LEUNG of Chung & Co., Solicitors as from CHUNG LAI IN 容竟量 01/03/2018. 鍾麗然 MAYER BROWN JSM 鍾海英 孖士打律師行 自2018年3月1日獨資經營鍾海英律師行。

72 www.hk-lawyer.org April 2018 • PROFESSIONAL MOVES 會 員 動 向

• HEW KIAN HEONG • LO KON KI • SILLI REBECCA ceased to be a partner of Pinsent became a partner of Lo & Fung as from ceased to be a partner of Minter Masons as from 01/03/2018. 08/02/2018. Ellison as from 01/03/2018. 丘健雄 羅幹淇 自2018年3月1日不再出任銘德律師 自2018年3月1日不再出任品誠梅森律 自2018年2月8日成為羅馮律師事務所合 事務所合夥人一職。 師事務所合夥人一職。 夥人。 • SUEN CHI WAI • KAHNG JOO HEE • LUI CHI HUNG ceased to be a partner of DLA Piper joined Ropes & Gray as a partner as ceased to be a partner of Cheung & Liu, Hong Kong as from 13/02/2018 and from 21/02/2018. Solicitors as from 01/03/2018 and joined joined Withers as a partner as from 自2018年2月21日加入瑞格律師事務 Wong, Fung & Co. as a consultant on the 26/02/2018. 所為合夥人。 same day. 孫志偉 呂志雄 自2018年2月13日不再出任歐華律 • LAI LAI SHAN ESTHER 自2018年3月1日不再出任張廖律師事務 師事務所合夥人一職，並於2018年2 ceased to be a partner of Deacons as 所合夥人一職，並於同日加入黃馮律師行 月26日加入衛達仕律師事務所為合夥 from 01/02/2018 and joined Kwok 為顧問。 人。 Yih & Chan as a partner as from 05/02/2018. • McBRIDE CATHERINE MARY • TAN VIM YEW ERIC 黎麗珊 became a partner of Latham & Watkins joined Ashurst Hong Kong as a 自2018年2月1日不再出任的近律師行 as from 01/02/2018. partner as from 26/02/2018. 合夥人一職，並於2018年2月5日加入 自2018年2月1日成為瑞生國際律師事務 陳偉耀 郭葉陳律師事務所為合夥人。 所合夥人。 自2018年2月26日加入亞司特律師事 務所為合夥人。 • LAM SAN KEUNG • NG CHI HIM ceased to be a partner of L & Y Law ceased to be a partner of Winnie Leung • TANG CHIK CHEE TERRIS Office as from 03/02/2018. & Co. as from 20/02/2018 and joined became a partner of Latham & 林新強 Edward Lau, Wong & Lou as a partner on Watkins as from 01/03/2018. 自2018年2月3日不再出任林余律師事 the same day. 鄧植之 務所合夥人一職。 吳自謙 自2018年3月1日成為瑞生國際律師 自2018年2月20日不再出任梁鳳慈律師行 事務所合夥人。 • LEE KA KIT SPENCER 合夥人一職，並於同日加入劉黃盧律師行 ceased to be the sole practitioner of 為合夥人。 • YU PUI HANG Spencer Lee & Co. as from 01/03/2018 joined Lam, Lee & Lai as a partner as and the firm closed on the same day. • NG SHAN YUNG from 03/02/2018. Mr. Lee joined Hau, Lau, Li & Yeung as joined L & Y Law Office as a partner as 余沛恒 a consultant as from 01/03/2018. from 03/02/2018. 自2018年2月3日加入林李黎律師事 李家傑 吳燦榕 務所為合夥人。 自2018年3月1日不再出任李家傑律師 自2018年2月3日加入林余律師事務所為 事務所獨資經營者一職，而該行亦於同 合夥人。 • ZHANG YUANHONG 日結業。李律師於2018年3月1日加入 became a partner of Fongs as from 侯劉李楊律師行為顧問。 • OWEN KEVIN ROBERT 08/02/2018. ceased to be a partner of Mayer Brown 張元洪 • LEE KWONG MAN JSM as from 01/03/2018. 自2018年2月8 日成為方氏律師事務 joined Kitty So & Tong as a partner as 區建宏 所合夥人。 from 01/03/2018. 自2018年3月1日不再出任孖士打律師行 李廣文 合夥人一職。 • ZHANG YUE 自2018年3月1日加入蘇潔兒, 唐淑萍 ceased to be an assistant solicitor 律師行為合夥人。 • ROBERTSON MARTIN SCOTT of Guantao & Chow Solicitors and ceased to be a partner of Mayer Brown Notaries as from 01/03/2018 and • LI MICHELLE HO MING JSM as from 03/03/2018. joined Peter Yuen & Associates as a joined Herbert Smith Freehills as a 羅邁廷 partner on the same day. partner as from 01/03/2018. 自2018年3月3日不再出任孖士打律師行 張 悅 李浩明 合夥人一職。 自2018年3月1日不再出任觀韜律師 自2018年3月1日加入史密夫斐爾律師 事務所(香港)助理律師一職，並於同 事務所為合夥人。 • SHARPE RICHARD CHARLES 日加入阮葆光律師事務所為合夥人。 CHRISTOPHER joined Kirkland & Ellis as a partner as from 26/02/2018. 自2018年2月26日加入凱易律師事務所為 合夥人。

www.hk-lawyer.org 73 • April 2018 PRACTICE SKILLS 實踐技能

Negotiate to Obtain a Favourable Result By Navin G. Ahuja

ften, people tend to categorise The fact that lawyers negotiate regularly is a board or on some paper that is visible those who appear to be dominant not enough to master the art – it has to be to the parties. If at some point the Oand stubborn as “strong” or honed. By becoming aware each time when negotiations turn sour, you may want to “good” negotiators and assume that it is in a situation that requires bargaining and refer to the common ground to diffuse impossible to reach any agreement with with the adoption of certain techniques, the situation and to recreate positive such persons. Some may find asking for lawyers might gain more confidence in feelings. what they want to be confrontational in trying to achieve a favourable result. 3. Know your bottom line - make nature and would rather avoid it than to 1. Authority. Imagine having spent an informed decision. Accurately feel awkward or uncomfortable. Some time preparing for a meeting and then evaluate what the best and worst might dismiss any discussion, labelling proposing your points to the other outcomes (commonly referred to a subject-matter as non-negotiable. party. At the end, the other party is as BATNA or Best Alternative to a However, the reality is that we all whether convinced but does not have any decision- Negotiated Agreement and WATNA consciously or subconsciously bargain all making authority as he or she is merely or Worst Alternative to a Negotiated the time in order to obtain a favourable representing the client who is absent. Agreement respectively) might be if no result and “everything is negotiable” Simply knowing who is sitting at the table settlement is reached. The former helps (Eldonna Lewis-Fernandez, Think Like a might not be enough. At the beginning you identify your position. You might try Negotiator). of the negotiation confirm with the to improve your BATNA and approach For lawyers, attempting to strike a deal is other party whether or not he or she has your BATNA if no agreement is reached unavoidable. There are various situations the authority to settle any agreement at the negotiation. With regard to the in which lawyers regularly negotiate. For reached. This would save you the hassle latter, if the other side’s final offer is example, discussing fee arrangements of going through the entire negotiation less than your WATNA, you could walk with clients and/or the adjustment of process once again with the person away from the table. Furthermore, their fees; carrying out transactions authorised to settle. your flexibility to settle would largely or settlements on behalf of clients; 2. Positive atmosphere. Commend depend on how you feel about your discussing the nature and schedule of the other side for agreeing to negotiate. WATNA. Often however, we tend to tasks to be undertaken; and assignment Share in the beginning (and throughout assume or are unrealistic as to what our of tasks to their subordinates. Even setting the negotiation as you identify) any BATNA and WATNA are and therefore an agenda for any meeting, which might common ground between yourselves. we may decline an attractive offer or appear to be relatively straightforward, For example, both sides might be at walk away from the table unnecessarily. may sometimes require some form of the negotiation table to avoid going to A comprehensive calculation including negotiation. For example, there could be court and legal fees, or both sides might taking into account the costs, duration, disagreements in deciding the topics to be concerned about their reputation, etc. would help avoid negotiating address, the order in which they should be etc. Subject to their confirmation of the poorly. discussed, who should start first, etc. common ground, consider listing them on

74 www.hk-lawyer.org April 2018 • PRACTICE SKILLS 實 踐 技 能

4. Active listening. All or at least most of the other is interested in the pulp for dependent expert opinion, etc. Even us know how to listen, but active listening juice. The more you ask, the more you consider flipping a coin if you reach a is different. Usually when comments are learn about the other party’s interests. deadlock (Roger Fisher and William being made, instead of actively listening, b. Put yourself in the other party’s shoes. Ury, Getting to Yes). we are likely thinking of how to respond Prior to any negotiation, think about 6. Embrace the power of silence. to those comments. Instead, try to: the situation from the other party’s After sharing with the other side an a. Make eye contact. By maintaining lit- perspective. This will help you to underlying goal or suggesting an tle eye contact, you may be perceived understand or at least give you an idea option to the other side, the room may as uninterested, disingenuous or in- as to what the other party’s interest or become silent. It may become awkward decisive. On the other hand, too much underlying goal might be. or uncomfortable and there is an urge eye contact might make the other side c. Keep an open mind and think of cre- to promptly clarify or digress just to to feel uncomfortable or threatened. ative options. It increases the number fill the silence, thereby conceding that underlying goal or option. Instead, b. Acknowledge. From time to time, of solutions the parties can choose although this might be one of the most nod your head, say “yes” or “uh huh” from (provided they benefit all the difficult techniques to learn, try to smile, without being mechanical. parties involved as explained earlier). It may also have a positive impact maintain eye contact and wait for 10 to c. Rephrase. Use your own words to on the outcome of the negotiation 12 seconds. Bear in mind that one of repeat what appears to be key points as many win-win options can only the reasons for the silence in the first raised and to put a positive spin on encourage the other party (including place might be that the other party is any negative comments made. For the dominant kind) to consider settling digesting what you have just shared example, Party A says “You have not or to engage by brainstorming more with them or the other party may be paid my invoice for months!” Party B win-win solutions. Examples of cre- thinking of a response. The other party rephrases “So it is important for you to ative solutions might include (on the may eventually also find the silence receive payments on time.” assumption that these are valid and to be unbearable and be encouraged d. Summarise what the other side has enforceable): setting-off, long-term to speak his or her mind quickly and said from time to time. contracts, short-term contracts, min- possibly reveal critical information. e. Be aware of your body language. For imum turnover, maximum turnover, Practice the negotiation techniques example, try not to sit with your arms exclusivity or partial exclusivity, royal- in front of a mirror and/or on your crossed as it may send a negative ties, installments, right of first refusal, friends, family members, colleagues message. conditional pricing, barter, fixed rate or and relatives with an open mind. Active listening is a powerful technique floating rate, etc. Read articles and books for an in- which might enable the other party d. Fairness. Solutions should be based on depth analysis and further techniques to let off steam if any and appreciate objective criteria instead on negotiation. A personal being heard. It even works in personal of a party’s bargaining favourite is the classic Getting relationships. power. Use standards to Yes by Fisher and Ury. The 5. Give and take - everyone is a winner. or principles such as key is to plan, prepare and Settlement agreements are usually market value, custom, practice! n entered into when all the parties feel business practice, in- that they are winning something and not losing everything. Abandon the “I must win all” attitude. But what do you give and what do you take? a. Focus on interest rather than position. An important and necessary step in any negotiation is to ask why the other party is positional on his or her stance to establish his or her underlying goal. Also understand your own underlying goal. The classic example is where two parties quarrel over an orange. Merely suggesting that the parties split the orange in half may not work when one party wants the peel for baking and

www.hk-lawyer.org 75 • April 2018 透過談判取得有利結果

作者 Navin G. Ahuja

些看來支配和固執的人，人 案和WATNA或談判協議最差替代方案)， 的例子是雙方因為一個橙而爭吵。建 們往往把他們視作「強」或「 前者可幫你確定自己立場。如談判未能達 議把橙分成兩半可能不行，因為一方 那好」的談判者，並認為不可能 成協議，你可以嘗試推進BATNA並接近 想要燈皮烘焙，而另一方想要果汁。 與這些人達成任何協議。有些人可能會覺 它；如果對方的最終方案差於WATNA， 越問會越了解對方的利益。 得提出要求好像咄咄逼人，故寧願避而不 你可以離開談判桌。此外，解決方案的 b. 易地而處。在任何談判之前，從對方 談，也不願場面尷尬不安。有些人可能會 靈活性很大程度上取決於你對WATNA的 的角度思考一下，將有助理解對方的 拒絕任何討論，把事情列為不可談判。然 感受。然而，我們往往傾向堅持BATNA 利益或潛在目標。 而，事實是，我們不時有意識或潛意識地 和WATNA，或者訂立不現實的BATNA c. 保持開放的思維，考慮創意選擇，能 討價還價以獲得有利結果，一切都是可協 和WATNA，因而可能拒絕有吸引力的提 增加各方可以選擇的解決方案數目(只 商的。(Eldonna Lewis-Fernandez《Think 議，或不必要地離開談判桌。完整的計 要它們讓各方均有所得益)，對談判的 Like a Negotiator》)。 算，包括考慮成本、時間等，有助避免談 結果也可產生積極影響，因為雙贏方 判不當。 對於律師而言，嘗試達成協議是不可避免 案能鼓勵對方(包括主導型)考慮和解 的一環。律師經常需要談判的情況有很多 4. 積極傾聽。我們所有人或至少大多數人 或集體思考更多雙贏方案。創意解決 種，例如與客戶討論費用安排及／或調整 都懂得傾聽，但積極傾聽不同，通常在提 方案的例子包括(假設有效的和可行) 費用；代表客戶進行交易或結算；討論將 出意見時，我們可能會考慮如何回應，而 ：抵銷、長期合同、短期合同、最低 要開展的任務的性質和時間表；將任務分 不是積極傾聽。相反，嘗試： 營業額、最高營業額、排他性或部分 配給下屬等。即使制定會議議程，看起來 排他性、版稅、分期付款、優先權、 a. 眼神交流。眼神接觸不足，你可能會 很簡單，有時也需要某種形式的談判，例 有條件定價、易貨、固定利率或浮動 被視為不感興趣、不誠實或優柔寡 如，決定討論的主題、討論的次序、唯人 利率等。 斷。相反，過多的眼神接觸可能會使 首先發言等，均可能存在分歧。 對方感到不安或受威脅。 d. 公平。解決方案應該基於客觀標準， 而不是一方的議價能力而定。採用 律師經常談判，仍不足以掌握談判藝術， b. 確認。不時點頭，回應「是」，但避 市場價值、習慣、商業慣例、獨立專 必須加以磨練。意識到每個需要討價還價 免機械化。 家意見等標准或原則。遇到僵局時， 的情況，採用某些技巧，或能令律師對取 c. 改變措辭。用自己的說話重複提出的 連拋硬幣也可考慮(Roger Fisher and 得有利結果更有信心。 關鍵問題，並對負面評論給予肯定。 William Ury《Getting to Yes》)。 1. 決策權。試想像，你花了時間準備會 例如，甲方說：「你們幾個月還沒有 6. 沉默是金。與對方分享根本目標或向對 議，然後向對方提出你的觀點，最後令對 付清我的發票！」乙方改變措辭說： 方建議選項後，房間可能變得沉默無聲， 方信服，但對方沒有決策權，因為他只 「所以你們按時收到付款很重要。」 場面可能會變得尷尬或不安，令人急於立 是代表缺席的客戶。只知道誰坐在談判桌 d. 不時總結對方的說話。 即澄清或離題以填補沉默，從而承認這個 或許不足夠。在談判開始時，與對方確認 e. 注意身體語言。例如，盡量不要雙 潛在目標或選擇。相反，儘管這可能是最 一下，他是否有權就任何和解協議作出決 臂交叉，因為這樣可能會傳達負面信 難學的技術之一，但試著微笑，保持眼神 定。這樣可節省再次與授權人員重新談判 息。 接觸，等待10至12秒。請記住，沉默的 的麻煩。 積極傾聽是強而有力的技巧，可讓對方消 原因之一可能是對方正在消化你剛剛與 2. 正面的氣氛。讚揚對方同意談判。在 消氣，為被聆聽而高興。它甚至能在個人 他們分享的內容，或者對方可能正在考慮 開始時談判時(及在整個談判過程中)指出 關係中起作用。 回應。對方可能最終也會覺得沉默無法忍 雙方的共同點。例如，雙方可能在談判避 5. 能屈能伸，個個都是贏家。通常在各方 受，應該鼓勵他們盡快說出想法，並且可 免訴諸法庭和支付律師費，或雙方都關注 都認為自己贏得一些什麼，而不是失去一 能會洩露重要信息。 其聲譽等。在他們確認共同點的基礎上， 切，才能達成和解協議。放棄「我必須贏 以開放的態度在鏡子及／或朋友、家人、 考慮將共通點列寫於雙方可見的佈板或紙 得所有」的態度。但是你給予什麼，又得 同事、親戚身上練習談判技巧。閱讀文 張上。如果談判在某個時候急轉直下，你 到什麼？ 章和書籍，深入分析和增進談判技巧。 可提出共通點來分散局面，創造正面的觀 個人最喜歡是Fisher和 Ury的經典著作 感。 a. 專注於利益而不是立場。任何談判中 一個必要的步驟，就是問為什麼對方 《Getting to Yes》。關鍵是要規劃、準 3. 知道你的底線，作明智的決定。準確 為了確立根本目標而站在他的立場 備和實踐！ n 評估若未能達成和解的最佳和最差結果( 上，同時也了解你的根本目標。典型 通常稱為BATNA或談判協議最佳替代方

76 www.hk-lawyer.org MALAYSIA - 22 March CHINA - 19 April SE ASIA - 10 May JAPAN - 13 June HONG KONG - 7 September INDONESIA - 4 October PHILIPPINES - 26 October KOREA - 15 November

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CUHK Law Receives Major Research Grant from 中大法律系獲Erasmus + Jean Monnet Erasmus+ Jean Monnet Programme and Joins the Jean 計劃研究經費並加入2018-2021 Jean Monnet Network ‘EUCROSS’ for 2018-2021 Monnet Network ‘EUCROSS’ The Faculty of Law of The Chinese University of Hong Kong (‘CUHK Law’) 香港中文大學法律學院獲教育視聽文化局轄下的 has been awarded a major research grant from the Erasmus+ Jean Monnet Erasmus+ Jean Monnet計劃(2018-2021)頒發重 Programme (2018-2021) managed by the Education, Audiovisual and 大研究經費，該局代表代表歐洲委員會執行計劃及 Culture Executive Agency which implements programmes and activities on 活動。法律學院亦加入了Jean Monnet Network的 behalf of the European Commission. The Faculty has also joined the Jean Monnet Network’s ‘EUCROSS’ (‘The European Union at the Crossroads EUCROSS，研究歐盟及其主要國際合作夥伴在全球秩 of Global Order’) to investigate the challenges and opportunities that the 序常規及多邊主義備受質疑下，面對的挑戰和機遇。 European Union (‘EU’) and its main international partners face in times when 中大法律學院的研究團隊包括夏竹立教授、許炎教 our conventional understanding of the global order is put into question and 授、李治安教授、Sandra Marco Colino教授、Denis multilateralism is ‘contested’. Edwards先生、錢旭女士、Kehinde Olaoye女士、Flavia CUHK Law Team comprises members including Professor Julien Chaisse, Marisi女士及Dini Sejko先生。 Professor Yan Xu, Professor Jyh-An Lee, Professor Sandra Marco Colino, Mr. Denis Edwards, Ms. Rachel Xu Qian, Ms. Kehinde Olaoye, Ms. Flavia Marisi EUCROSS旨在將國際跨學科專業知識結合，研究歐盟 and Mr. Dini Sejko. 與主要國際合作夥伴之間的關係，特別關注夥伴關係 EUCROSS aims to bring international and interdisciplinary expertise 在越見無序的國際體系中面臨的機遇和挑戰（2017年 together and to conduct research on the inter-relationship of the EU and 外交事務）。 its key international partners with a specific focus on the opportunities and challenges that these partnerships face in the context of an international 因此，EUCROSS的兩個中心主題為：(i)歐盟在全球事 system that is increasingly seen as being ‘out of order’ (Foreign Affairs 2017). 務中的戰略重新定位 - 包括在2016年的全球戰略重新 For these reasons, EUCROSS focuses on two central themes: (i) the EU’s 強調「原則性實用主義」和「復原能力」 - 以及對規 strategic re-orientation in global affairs – including the new emphasis on 則及合作為本的國際秩序的長久支持；及(ii) 促進歐盟 ‘principled pragmatism’ and ‘resilience’ in its 2016 Global Strategy – and 與主要國際夥伴，即美國及巴西、俄羅斯、印度、中 its enduring support for a rules-based and cooperative international 國和南非（金磚五國）雙邊和多邊合作的具體挑戰和 order; and (ii) the specific challenges and opportunities for the EU to foster bilateral and multilateral cooperation with its main international partners, 機遇，同時考慮後者最近的行動和戰略方向變化。具 i.e. the United States and Brazil, Russia, India, China and South Africa 體而言，EUCROSS將通過以下五個政策領域，研究這 (BRICS), while duly taking into account the latter’s recent actions and 兩個主題：貿易、可持續發展、移民、反恐和人權。 changes in strategic direction. More specifically, EUCROSS will investigate these two themes through the lense of the following five policy areas: trade, 即將於2018年6月舉行的會議 sustainable development, migration, counter-terrorism and human rights. 中大法律學院與Leuven Centre for Global Governance Upcoming Conference in June 2018 Studies將於2018年6月14日至15日在香港合辦第一 CUHK Law and the Leuven Centre for Global Governance Studies will co- 屆EUCROSS國際會議，題為「歐盟及其夥伴的全球管 organise the first international conference of EUCROSS entitled “The EU and 治：貿易、投資、稅收和可持續發展」，研究歐盟如 its Partners in Global Governance: Trade, Investment, Tax and Sustainable 何尋求新的伙伴關係來實現這些關鍵目標。詳情請瀏 Development” in Hong Kong on 14-15 June 2018 to investigate how the EU can seek new partnerships to implement these critical objectives. Details 覽中大法律學院網站（www.law.cuhk.edu.hk）。 will be announced on the CUHK Law website (www.law.cuhk.edu.hk).

78 www.hk-lawyer.org April 2018 • CAMPUS VOICES 法 學 院 新 聞

Article by CUHK JD Student Benny Chung 中大法律學生著作獲牛津大學出版社期刊刊登 Published in Trusts & Trustees, Oxford University 中大學法學博士生Chung Cheuk Kwan Benny的著作《防止欺詐： Press 為何秘密信託被強制執行？》獲《Trusts & Trustees》期刊（第 CUHK Law JD student, Chung Cheuk Kwan Benny, has an article 24卷，第2期，牛津大學出版社）刊登。《Trusts & Trustees》是 “Fraud Prevention? Dehors? Or What?: why secret trusts are 信託法的主要國際期刊，是專門從事信託、司法和監管機構及機 enforced?” published in the journal Trusts & Trustees (Volume 24, 構圖書館的學者和從業人員的重要參考來源。 Issues 2, Oxford University Press). Trusts & Trustees is a leading international journal on trust law and practice and is an essential 他在文中討論欺詐理論及外在理論，並以道德良心－禁反言理論 source of reference for academics and practitioners specialising 解釋秘密信託的執行，前者建立於兩個既定的公平原則基礎。他 in trusts, members of the judiciary and regulatory bodies, and 在文中引用了中大法律學院Steven Gallagher教授和何世勳教授的 institutional libraries. 出版，全文可瀏覽https://doi.org/10.1093/tandt/ttx205。 In his article, Benny seeks to discuss the flaws of the fraud theory and the dehors the will theory, and justify the enforcement of secret trusts with the conscience- estoppel theory, a theory that is built upon two established equity principles. He has cited the publications of CUHK Law Professors Steven Gallagher and Stephen Hall in his article, the full text of which can be viewed at https://doi. org/10.1093/tandt/ttx205.

Hong Kong Student Law Gazette Issue 11 (Fall 2017) 《香港學生法律報》第11期(2017 Founded in 2011 as the GLSA Gazette*, the Hong Kong Student Law Gazette (‘the 年秋季) Gazette’) is Hong Kong’s leading law student publication entirely run by students. 《香港學生法律報》於2011年創刊（當時名 It was initially written, edited and managed exclusively by CUHK postgraduate 為《GLSA報》），是完全由學生編製的領先 law students and subsequently began inviting participation from the CUHK 法律學生刊物，最初由中大法律研究生撰寫、 undergraduate community, as well as students from all three universities with law programmes in Hong Kong. In fall 2012, the Gazette became an independent 編輯和管理，隨後開始邀請中大本科生及三所 society of GLSA and was rebranded the Hong Kong Student Law Gazette. It is 大學的法律學生參與。2012年秋季，《香港 published twice per academic year with an aim to encourage students to engage 學生法律報》成為GLSA的一個獨立學會，改 in key legal and social issues, contribute to legal scholarship, and build closer ties 名為《香港學生法律報》，每學年出版兩次， between law students and the wider legal community. 旨在鼓勵學生參與關鍵的法律和社會問題，為 The Gazette has interviewed members 法律學術貢獻力量，並加強法律學生與法律界 from the judiciary and the legal 的聯繫。 professions in the past issues. In the 《香港學生法律報》曾採訪多位司法界和法律 latest issue of Fall 2017, the Gazette 界成員。最新一期（2017年秋季）刊登了對 features an interview with The Honourable Rimsky Yuen Kwok-keung 香港特區前任律政司司長袁國強先生的專訪， SC, former Secretary for Justice of the 並有學生撰寫的有趣文章，內容涉及香港及國 HKSAR, and contains interesting articles 際社會的法律和社會問題。該報的電子版可瀏 contributed by students covering legal 覽https://hongkongstudentlawgazette.com/ and social issues in Hong Kong and the fall-2017/。 international communities. An electronic * copy of the Gazette is available at https:// GLSA指「中大法律學生協會」。 hongkongstudentlawgazette.com/fall- 2017/.

*GLSA refers to ‘Graduate Law Students Association’, which is a student society of CUHK Law.

www.hk-lawyer.org 79 • April 2018

Greater China Legal History Seminar on “The History 大中華法律史研討會「香港消費者法的歷 of Consumer Law in Hong Kong: Just a Series of Failed 史」(2018年4月13日) Endeavours?” (13 April 2018) 本CPD研討會由Geraint Howells教授主講，將回顧改 This CPD seminar to be delivered by Professor Geraint Howell will review 革香港消費者保護制度的失敗建議，探討為何需要 the history of failed proposals to reform Hong Kong’s consumer protection 一致的消費者政策以滿足香港市民的期望，支持香港 system, explore why a coherent consumer policy is needed to meet the 的購物旅遊及可如何實施此等政策。符合條件的參加 expectations of Hong Kong’s citizens and to underpin shopping tourism 者將獲得香港律師 in Hong Kong and how such a policy can be implemented. Eligible participants will receive 會1.5個CPD積分。 1.5 CPD points from the Law Society of Hong 詳情請瀏覽http:// Kong. For details, please visit http://www.law. www.law.cuhk. cuhk.edu.hk/en/event-page/20180413.php. edu.hk/en/event- page/20180413. php。

Scholarships and Prizes Presentation Ceremony 2018 2018年獎學金和獎項頒發典禮 CUHK Law held a Scholarships and Prizes Presentation Ceremony on 2 中大法律學院於2018年3月2日舉行了獎學金及獎 March 2018 to present more than 70 scholarships and prizes to its LLB, 項頒發典禮，向法學學士、法學博士、法學碩士及 JD, LLM and PCLL students and graduates. Donors, Faculty members, PCLL學生及畢業生頒發70多個獎學金及獎項。捐助 families and friends of the recipients attended to share the joy of the 者、教職員、家屬和朋友出席典禮，與獲獎者分享 recipients’ academic achievements. At the ceremony, CUHK Law thanked the following scholarship and prize donors for their continued support: 喜悅。中大法律學院感謝以下獎學金和獎項捐贈者 Boase Cohen & Collins, Davis Polk & Wardwell LLP, Freshfields Bruckhaus 的長期支持：布高江律師行、Davis Polk & Wardwell Deringer, Gallant Ho Charities & Public Well-Being Services (H.K., P.R.C.) LLP、富而德律師事務所、中國香港何耀棣慈善 Ltd, Hong Kong Bar Association, Jarvis & Kensington, LexisNexis, Mayer 及公益事業有限公司、香港大律師公會、Jarvis & Brown JSM, Robertsons, Sir Oswald Cheung Memorial Fund Limited, Kensington、LexisNexis、孖士打律師行、羅拔臣律 The Association of China-Appointed Attesting Officers, The Hong Kong 師事務所、張奧偉爵士紀念基金有限公司、中國委託 Institute of Trade Mark Practitioners, and The Law Society of Hong Kong. 公証人協會有限公司、香港商標師公會有限公司及香 港律師會。

Dr. Gallant Ho (front row on the left), donor of Gallant Ho Prizes in Law, Betty Ho Prizes in Law and Betty Ho Prize in Law for Summer Study Abroad, with the prize recipients, Faculty Dean and programme directors. 何耀棣法學成績優異獎、何美歡法學成績優異獎及何美歡法學暑期海外研習獎捐助人何耀棣博士（前排左）與得獎學生、院長及課程主任 合 照。

80 www.hk-lawyer.org April 2018 • CAMPUS VOICES 法 學 院 新 聞

Mr. Philip Dykes SC of the Hong Kong Bar Association (first from left), Ms. Fiona Chan of Boase Cohen & Collins (first from right), Mr. Nelson Miu of Sir Oswald Cheung Memorial Fund Limited (second from right), with recipients of the PCLL subject prizes, Faculty Dean and programme director. 香港大律師公會主席戴啟思資深大師律（左一）、 布高江律師行陳展樑律師（右一）、張奧偉爵士紀 念基金有限公司Nelson Miu先生（右二）與PCLL 學 科 獎 得 獎 者、院 長 及 課 程 主 任 合 照。

Mr. Benjamin Lee of LexisNexis (first from left), Ms. Priscilla Kam of Freshfields Bruckhaus Deringer (second from left) with recipients of the JD and LLB subject prizes, Faculty Dean and programme directors. LexisNexis 的Benjamin Lee 先生(左一)、富而德 律師事務所Priscilla Kam女士 (左二)與 JD 及 LLB 學 科 獎 的 得 獎 者、院 長 及 課 程 主 任 合 照。

Inauguration Ceremony of the Undergraduate Law 2018-2019中大學生會法律本科生學會就職 Society of the Student Union of CUHK, 2018-2019 典禮 This ceremony held on 1 March 2018 marked the introduction of 2018-2019中大學生會法律本科生學會就職儀式於2018年 the new Executive Committee of the Undergraduate Law Society 3月1日舉行，標誌著中大本科法律學生代表Incendo執行委 “Incendo”, the official student representative body of undergraduate law 員會的成立。Incendo為拉丁語，意指「激發」和「照亮」 students at CUHK. In Latin, “Incendo” carries the meanings including ，象徵新任委員服務和帶領會員的熱誠，及為本科生提供 “to inflame”, “to excite” and “to illuminate”. It symbolises the new 領導和引導的責任。 Executive’s fiery passion to serve and guide the members of the Society, and its responsibilities to provide leadership and illumination to the 中大法律學院院長Christopher Gane教授在典禮上致歡迎 undergraduate community. 辭，終審法院常任法官鄧楨法官SBS、梁家傑資深大律師 Welcomed by Professor Christopher Gane, Dean of CUHK Law, the 和Squire Patton Boggs合夥人陳曉峰律師在典禮上致辭。 ceremony was addressed by The Honourable Mr. Justice Robert Tang, 法律界人士和中大法律學院的代表亦有到場支持。 SBS, Permanent Judge of the Court of Final Appeal; Mr. Alan Leong SC; and Mr. Nicholas Chan, Partner of Squire Patton Boggs. Representatives from the legal professions and members of CUHK Law were also present to give their support to the Society. (Third from left) Mr. Nicholas Chan, Partner of Squire Patton Members of “Incendo”, the new Executive Committee of the Undergraduate Boggs; The Honourable Mr. Justice Robert Tang, SBS, Permanent Law Society for 2018-2019. Judge of the Court of Final Appeal; and Mr. Alan Leong SC. 2018-2019中大學生會法律本科生學會新一屆執行委員會Incendo的成員。 Squire Patton Boggs合夥人陳曉峰律師（左三）、終審法院常任法官 鄧 楨 法官 S B S及 梁 家傑 資 深 大 律 師。

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第二十二屆戈夫仲裁講座： The 22nd Goff Arbitration Lecture: Making the Best of 國際仲裁學者闡釋「仲裁法應用」 Arbitration 2018 年 2 月 12 日，由法律學院舉辦的第二 The 22nd Goff Arbitration Lecture was held on 12 February 2018 at the Connie Fan 十二屆戈夫仲裁講座於香港城市大學范彭綺雯 Multi-media Conference Room, City University of Hong Kong. This year, we were 多媒體 much honoured to have the Rt Hon. The Lord Hope of Craighead KT, as the speaker 會議廳舉行。今年，學院很榮幸邀請到霍普勳 to give a lecture titled “Making the Best of Arbitration”. 爵作演講嘉賓，霍普勳爵為英國倫敦的大律師 In the beginning of the lecture, Lord Hope introduced arbitration and define it as 事務所Brick Court Chambers仲裁員，並有 24 a means to resolve disputes outside the court system. He emphasized the privacy 年擔當上訴法院法官的經驗。霍普勳爵以「仲 and confidentiality of arbitration since it is opted-out the court system which highly 裁法應用」作題，為學院帶來一場發人深思的 depends on the contracts of agreement. 講座。 Then, he shared various aspects of the arbitration process based on his experience. 在講座開始時，霍普勳爵入題定義仲裁是在審 He reminded the audience to be careful on drafting the arbitration clause and choose the appropriate law to govern the procedure. He also highlighted the 判以外的糾紛解決機制，並強調仲裁不同於著 importance of judge in supporting the arbitration process in a fast growing global 重協議合同的法院體系，具備高私隱度和保密 market. He adopted the Fiona Trust case as one of the best known decisions in 性。 English arbitration case law, setting out a “fresh start” in English jurisprudence 霍普勳爵接著回顧在職業生涯中不同的仲裁經 with the strong presumption that commercial parties intend all disputes to be 驗。他提醒聽眾起草仲裁條款時，小心選擇合 determined in a single forum. 適的法律來管轄仲裁。他強調在快速增長的全 As an alternative means of dispute resolution involving foreign trade activities, 球市場中，法官支持仲裁過程的重要性。他說 international arbitration institution has started to play a notable role. For example, 明英國著名仲裁案例 Fiona Trust and Holding as a home grown institution, the Hong Kong International Arbitration Centre sets up rules to supplement the local law system; while the International Chamber of Corporation v. Privalov (2008) 2 Lloyds Commerce (ICC) as a world business organization based in Paris, helps businesses Reports 為英國判例法開創新一頁，引證仲裁 of all sizes and in all countries to operate internationally and responsibly. Lord 協議是獨立於主合約和可被分割的。 Hope provided a critical analysis of the ICC and reminded the audience to evaluate 霍普勳爵提到愈來愈多業者選用國際仲裁機構 the value of the choice of institution. 來解決國際商業糾紛。他分享他對現時重要仲 On the other hand, third party funding becomes a growing phenomenon. Lord 裁機構的見解。作為本地的代表，香港國際仲 Hope believed that it enhances the access to justice and is a good thing for the 裁中心不但提升香港作為亞太區主要國際仲裁 equality of arms and for the overreaching principles of procedural fairness and 中心的地位，亦有助完善法律制度，補充制度 justice. However, he stated the risks of aggravating an already exploding caseload 的不足。霍普勳爵亦對總部設於巴黎的國際商 and the arrival of third-party funders may alter the entire landscape by significantly increasing the number of claims. 會(ICC)進行了批判性分析，並提醒聽眾應先 對機構的價值進行評估，才選擇採用國際仲裁 In conclusion, Lord Hope asserted that arbitration, as a means to resolve disputes, 機構。 is an inexpensive and impartial alternative to the public courts. He encouraged arbitrator, as peace maker, to be open and frank at discussion in striking the 霍普勳爵亦指出第三方資助在多個司法管轄區 balance of interests. Lord Hope illustrated many of the points made in the lecture 日益普遍。他相信第三方資助符合公眾利益， with practical examples drawn from his extensive experience as an advocate, 助有財政需要的當事人尋求公義，也有利於彰 arbitrator and judge. 顯司法正義。不過，他承認機制有潛在風險， After the lecture, the participants raised interesting points for discussion with Lord 或會鼓勵不必要仲裁程序、存在利益衝突、洗 Hope in a question and answer session led by Mr David Holloway from the School 黑錢風險等。 of Law, who proposed a formal vote of thanks to Lord Hope. Finally Dean Professor Geraint Howells presented a gift to Lord Hope and brought an end to the lecture. 總括而言，霍普勳爵重申仲裁作為解決糾紛的 渠道，令爭議能於嚴謹的法庭外，以較簡便方 式解決，從而節省大量時間和金錢 。他鼓勵 仲裁員在平衡利益時，坦率地表達意見和進行 討論。講座以熱烈的討論作結，討論由法律學 院助理教授Mr David Holloway主持，參加者提 出多個問題如仲裁的未來發展， 國際仲裁機 構的效益和限制等，而霍普勳爵亦與大家分享 他的意見。最後，院長賀嘉倫教授致送紀念品 予霍普勳爵，藉此感謝他為大家帶來一場富有 啟發性而精彩的講座。

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HKU Law Receives the First Gift for its Golden Jubilee and Gives a Preview of its Celebration The Eleventh Inauguration of Endowed Professorship sees the establishment of The Warren Chan Professorship in Human Rights and Responsibilities, as well as the successive appointment of The Kerry Holdings Professor in Law. We congratulate Professor Fu Hualing and Mr Warren Chan SC (left) and Professor Professor Michael Hor (left) and Professor Professor Douglas Arner for their respective appointments. The Faculty Fu Hualing (right). Douglas Arner (right). of Law is very grateful to its donors for their support to Hong Kong’s 資深大律師陳志海 (左) 及傅華伶教授(右) 法律學院院長何耀明教授(左) 及安納德教授(右) legal education and Rule of Law. 香港大學法律學院邁向金禧 喜迎首份賀禮 The Faculty of Law’s Endowed Professorships encompass a wide range of specialisations (Notes). The Warren Chan Professorship in Human 於日前舉行的香港大學第十一屆「明德教授席」就職典 Rights and Responsibilities underscores the importance of human rights 禮中，法律學院的傅華伶教授及安納德教授分別就任新 and responsibilities. Professor Fu Hualing, the inaugural appointee, is an 成立的陳志海基金教授席(人權與責任)、及繼任嘉里基 internationally renowned scholar in constitutional law, legal institutions, 金教授席 (法學)。法律學院恭賀兩位教授，同時感謝各 and human rights with a focus on China, and cross-border legal relations 捐贈者對香港法律教育及法治的支持。 in the Greater China region. His work has been important in building the University’s reputation for research and scholarship in relation to China’s law 法律學院的明德教授席涵蓋各主要法律範疇 (備註)，尤 reforms, legal institutions, and civil society. 以陳志海基金教授席(人權與責任) 強調人權與責任的重 Mr Warren Chan SC believes that the human rights of everyone should be 要性。傅華伶教授乃國際知名的憲法及法制學者，專研 equally protected, “Human rights are important, and human responsibilities 中國人權及大中華地區跨境法律關係。傅教授的研究工 are equally important. Ask not just what your rights are, but also what your 作，對大學成為中國法律改革、法制及公民社會的研究 responsibilities are, to yourself, to others and to the environment. Every 中心尤其重要。 society will have to strike its own balance of such rights and responsibilities.” 資深大律師陳志海相信，每個人的人權都應得到相同保 He is confident that the University is in a good position to continue to play a constructive role in promoting the development of human rights. As an 障：「人的權利與責任同等重要。我們在自問權力為何 alumnus and close friend of the Faculty, he also wishes that others will join 之時，更要明白責任為何，這責任不僅是對自己，更是 him in supporting the Faculty, especially at this time when Hong Kong’s first 對他人、對社會。每一個社會都必須在權利與責任之間 law school celebrates its 50th Anniversary. 找到平衡。」他有信心大學會對人權發展起積極作用。 The Faculty is thankful to Mr Chan and is excited that it is the first gift to the 作為學院的校友及長期支持者，他期望更多人加入他的 Faculty in conjunction with its Golden Jubilee. “One of the Law Faculty’s 行列，支持快將慶祝成立五十周年的法律學院。 greatest assets is its outstandingly loyal alumni. Mr Warren Chan SC’s 學院感謝陳志海先生這份金禧 賀禮，院長何耀明教授表 munificence caps a long and continuing history of support in many shapes 示：「學院的成功，有賴一眾像陳先生般熱心校友的鼎 and forms. The Faculty undertakes to ensure that every cent will be spent for the betterment of human rights and responsibilities in Hong Kong, and 力支持。多年來陳先生以不同形式，支持學院的工作， everywhere else in the world,”, said Professor Michael Hor, Dean of Law, who 日後學院將力求每分每毫用得其所，致力推動香港、以 also looks forward to celebrating this happy occasion with donors, alumni, 及世界各地的人權與責任的發展。」他又期待與各捐贈 members of the legal profession and the Hong Kong community. 者、校友、法律界人士及社會各界，一同慶祝金禧這個 Established in 1969, The Faculty of Law of The University of Hong Kong is the 珍貴時刻。 first law school in Hong Kong and one of the most prestigious law schools 香港大學法律學院於1969年成立，為本地首間法律學 internationally. The year of 2019 marks the 50th Anniversary of the Faculty. 院，時至今日，已發展成國際知名學府。2019年為學 The year-long celebration with the theme “Law, Justice and Humanity: 50 院成立五十周年紀念，學院將以「法律、公義和人文 years and beyond” will begin with the largest conference ever organized by the Faculty - the Annual Conference of The International Society of Public 精神：跨越五十載」為主題，展開為期超過一年的慶祝 Law (ICON-S 2018) in late June 2018. Please visit 50.law.hku.hk, a website 活動，首項為六月的國際公法學學會周年會議(Annual which will be officially launched in late June 2018, for the latest information Conference of The International Society of Public Law of the activities. (ICON-S 2018))。有關學院五十周年活動的最新資料， Notes: Named professorships in the Faculty of Law are (in chronological order): 請瀏覽於六月下旬啟用的網站50.law.hku.hk。

• Sir Y.K. Pao Chair in Public Law 備註：法律學院冠名教授席包括 (按成立時序): • Harold Hsiao-Wo Lee Professorship in Trust and Equity • 包玉剛公法學講座教授席 • Kerry Holdings Professorship in Law • 利孝和基金教授席 (信託法及衡平法) • Paul K C Chung Professorship in Jurisprudence • 嘉里基金教授席 (法學) • Cheng Chan Lan Yue Professorship in Constitutional Law • 鍾國昌基金教授席 (法理學) • Warren Chan Professorship in Human Rights and Responsibilities • 鄭陳蘭如基金教授席 (憲法) • 陳志海基金教授席 (人權與責任) www.hk-lawyer.org 83 • April 2018

Rowan Varty’s Careers in Rugby and the Law

By Rowan Varty, Solicitor Tanner De Witt

owan Varty first began playing a variety of teams. Throughout that fortune of representing Hong Kong rugby at the age of nine and it time, he has represented Hong Kong over forty times in the 15-a-side game, Rwas the draw of playing in the internationally. Both of Rowan’s parents training with London Irish at a time Hong Kong Sevens which introduced him grew up in Hong Kong and raised him when 2003 World Cup winner Mike to the game at an early age. His parents and his sister here, so representing Hong Catt was player-coach, representing the took him to the Hong Kong Sevens each Kong has always been the biggest source Penguins RFC (a touring team made up year and after watching the exhibition of pride for him in his rugby career. of international players from around the matches with children his own age world), and being the only Hong Kong Varty has represented Hong Kong at the playing, he and a friend decided they person to represent the Barbarians RFC Hong Kong Sevens twelve times, winning would rather be playing than watching. against England at Twickenham. He the inaugural shield competition in 2010. Varty began his rugby career by joining also spent a year playing in Japan for the He also captained Hong Kong to their what was then the Kai Tak Tigers. Twenty- Toyota Industries team based in Nagoya. first ever Asian Sevens Series victory in three years later, he is happy to say that 2012, represented Hong Kong at three he was able to fulfil his dream of playing Balancing rugby with the law Rugby 7s World Cups, three Asian Games at the Hong Kong Sevens (for the Kai Tak (winning two silver medals), and the Varty has been fortunate enough to enjoy Tigers under 10s team) and then later for National Games of the PRC, where Hong a successful rugby career alongside his Hong Kong. Kong also won a silver medal. career in law. This has involved some flexibility from both ends at times; he sat Touring the world with rugby His rugby career was built upon and his final PCLL (Postgraduate Certificate Playing rugby has taken Rowan around motivated by playing for Hong Kong at in Laws) exam and immediately got on a the world, both on tour and to play for the Sevens. He has also had the great flight to Japan to play in a test for Hong

84 www.hk-lawyer.org April 2018 • LAWYERS AT LEISURE 律 師 閒 情

Kong. During his training contract, he career in law with his career in rugby. is that it can be played by those of all shapes would train with the Hong Kong team Without the support of the firm he and sizes, and a brief glance at the teams before and after work. Needless to say it would be a rugby player, or a lawyer, competing each weekend in Hong Kong will was a busy time in his life! but not both. He is truly indebted to confirm this. As one of the smaller, faster them for their support and foresight players, Varty has spent his career running On more than a few occasions, the and would like to take this opportunity away from the bigger and (hopefully) slower two careers have coincided. One such to thank them. ones. occasion was in preparing for the 2010 Asian Games, the eligibility requirements Rugby in Hong Kong Getting Involved for the Hong Kong rugby team to compete changed, and the players were Hong Kong has a small rugby playing Professional rugby players make up a very required to hold a Hong Kong SAR population but it is unusual in the small percentage of the rugby community in passport. Rowan was able to work on sense that this small population is Hong Kong. There is a strong rugby culture the naturalisation applications of his made up of professional players at here, which whilst originally built within the teammates which ultimately allowed for one end, and very social players (who expat community, has grown more recently those players to compete in the Asian may not even play that much) at in the local community. If you are interested Games. Hong Kong won a silver medal. the other. Rowan is currently at the in playing rugby, helping as a coach, offering professional end of that scale, but a helping hand in any way, or simply joining The greatest thing about rugby has been looks forward to joining the opposite a rugby club purely for the social aspect, the people he has met through the sport. end in the future. Rowan encourages you to do so. The Hong These include the partners at Tanner De Kong Rugby Union website has plenty of Rugby is a physical sport. Certainly at Witt, who were brave enough to offer information on the various clubs which the elite level, the size of the players a rugby player a training contract, and are spread all over Hong Kong and clubs and physicality of the game have then support him as he has balanced his are always ready to welcome new players, both grown in the last few years. But coaches, and those that can simply offer ultimately, rugby is a game of skill. a helping hand even if they have no rugby Perhaps the biggest draw of the game experience whatsoever. n

www.hk-lawyer.org 85 • April 2018 華路雲的欖球和 法律生涯

作者 華路雲 律師 泰德威律師事務所

路雲(Rowan Varty)9歲開 始打欖球，正是因為香港 華 七人欖球賽，令他自幼對 欖球產生興趣。他的父母每年都會帶他 去看香港七人欖球賽，看過同齡的小朋 友比賽後，他覺得真正在球埸打球比 母和妹妹都在香港長大，能夠代表香港 年與London Irish隊一同習訓，當時世界 做觀眾更為有趣，於是華路雲加入了 出戰欖球賽，令他最引以自豪。 盃冠軍Mike Catt擔任球員兼教練，代表 Penguins RFC(由來自世界各地球員組成 當時的啟德老虎隊，開始了他的欖球生 華路雲曾12次代表香港出戰七人欖球 的巡迴賽隊)，華路雲 是Barbarians RFC 涯。23年後，他很高興能夠實現參加香 賽，並於2010年贏得首屆銀盾賽冠軍。 對英格蘭在Twickenham的比賽中唯一的 港七人欖球隊的夢想(先後代表啟德老 他亦曾率領港隊在2012首次亮相亞洲 香港人。他還在日本為名古屋的豐田工 虎隊10歲以下組別和香港)。 七人欖球賽、參加過3屆欖球七人世界 業隊效力了一年。 隨欖球踏遍世界 盃、3屆亞運會(獲得兩枚銀牌)和全國運 動會(香港隊獲得銀牌)。 華路雲因打欖球走遍世界各地，參加各 欖球與法律事業的平衡 項巡迴賽和各種球隊。那時他代表香港 他的欖球生涯由七人賽起步，先後超過 華路雲在欖球生涯 外，亦要兼顧法律 曾出戰不同的國際性賽事。華路雲的父 40次代表香港出戰15人賽，並於2003 事業，需要有一定的靈活性。他考畢

86 www.hk-lawyer.org April 2018 • LAWYERS AT LEISURE 律 師 閒 情

PCLL(法律研究生證書)當天，便立即 飛往日本參加比賽。在實習合約期間， 他會在上班前和下班後與香港隊一起 訓練。那時的生活，欖球與法律事務交 縱，十分繁忙！

兩方面的事業有時正好互相輔相成。其 中一次是為2010年亞運會做準備時， 香港欖球隊的參賽資格要求更改，球員 必須持有香港特區護照。華路雲為隊友 申請入籍，最終這些球員獲准參加亞運 會，為香港贏得銀牌。

欖球最棒之處是他通過這項運動認識了 很多人，包括Tanner De Witt律師行的合 夥人，他勇於為一位欖球運動員提供實 Ike Li - www.ikeimages.com 習律師合同，支持他在欖球和律師事業 之間取得平衡。如果沒有Tanner De Witt 屬於專業球員，同時也期待未來打球以 歡迎你的加入 律師行的支持，華路雲不能同時兼顧欖 社交為主！ 專業欖球運動員只 佔香港欖球圈 很少 球和律師的生涯。因此，華路雲非常感 欖球是一項對體能要求甚高的運動。當 數。香港濃厚的欖球文化最初在外籍人 激律師行的支持和遠見，並希望藉此機 然，在精英級別，對球員的體型和比賽 士社群建立，近年伸延至本地人社群。 會感謝他們。 實力在過去幾年中均有提高，但畢竟欖 華路雲積極鼓勵各位加入欖球俱樂部， 球亦是技巧性運動，其最吸引之處在於 參與欖球比賽、擔任教練、又或提供任 香港的欖球圈 各種體型的球員均可參加，且看每個週 何協助甚至結識朋友。香港欖球總會的 在香港，打欖球的人為數不多，特別在 末的香港球隊，就能看出這一點！華路 網站有很多關於香港各欖球俱樂部的信 這一小撮人要不是職業球員，要不是社 雲體型較小、速度較快，長處是能更快 息，隨時歡迎新球員、教練或完全沒有 交為主(甚至可能很少打球)。華路雲現時 跑離體型較大、速度較慢的對手。 欖球經驗的人士加入。 n

www.hk-lawyer.org 87 • April 2018 LEGAL TRIVIA #47

This month, our questions concern perhaps the most famous fictional lawyer of the common law world, Horace Rumpole. The questions have been prepared by Douglas Clark, Barrister-at-Law. Suggestions for questions to appear in next month’s journal are most welcome.

1. Rumpole is also known as Rumpole of the ….? 6. Claude Erskine-Brown, Rumpole’s chambermate, attended which A. Uxbridge Magistrates Court public school? B. Bailey A. Eton C. Chancery Division B. Harrow D. Privy Council C. Winchester D. Charterhouse 2. Rumpole refers to his wife Hilda as She Who Must….? 7. What is the nickname of older barrister who never has any briefs A. Tremble and Obey who spends much of his time in the clerks’ room of chambers? B. Not Be Allowed to Shop A. Uncle Paul C. Never Study Law B. Uncle Pete D. Be Obeyed C. Uncle Ted D. Uncle Tom 3. Rumpole famously (in his mind at least) single-handedly, without a leader, secured an 8. What is the surname of the East London crime family for whom aquittal in which case: Rumpole regularly acts? A. The Penge Bungalow Murders A. The Molloys B. The Hello Kitty Murder B. The Timsons C. The Charing Cross Murders C. The Mollards D. The Murder on the Orient Express D. The Simpsons 4. What is the name of the wine bar Rumpole 9. Actor Leo McKern who played Rumpole in the TV series was from frequents? which country? A. The Chancery A. South Africa B. The Embankment B. New Zealand C. Pomeroys C. Australia D. Temple Inn D. England 5. Rumpole frequently quotes which poet? 10. To Rumpole the initials QC stand for what? A. T.S. Eliot A. Queen’s Counsel B. Wordsworth B. Queer Customer C. Shakespeare C. Quaint Customs D. Browning D. Quite Childlike

Answers to Legal Trivia Quiz #46 Contest Rules: 1. A. A. Sir Geoffrey Briggs had a fascination with frogs and his chambers and home were covered To be eligible to win a bottle of Ch. Roquettes 2010 (Grand Cru) or Ch. Tour with frog collectibles of all shapes and sizes. Baladoz 2006 (Grand Cru) from Global Vintage Wines Centre, please send your quiz question answers to [email protected]. The first reader to 2. B. Denys Roberts, a prolific author, wrote “I’ll Do Better Next Time”. respond with the most correct answers, with no more than 3 incorrect responses, 3. C. James Findlay started his career as a member of the British South Africa Police in Rhodesia. will be deemed the winner. The decision of Thomson Reuters regarding the winner 4. B. Mohammed Saied, former Chief Justice of Uganda, was forced to flee Uganda by Idi Amin. is final and conclusive. 5. D. John Carrington was Attorney General of British Guiana before becoming Chief Justice of Hong Kong. 6. C. Robert Tang was Chairman of the Hong Kong Bar Association from 1988 to 1990. 7. A. Paul Cressal, was district judge in Palestine before being appointed as puisne judge in Hong Kong. 8. B. Leslie Gibson served with the RAF during WWII. 9. B. Henry Gompertz, puisne judge from 1909 to 1925, spoke Chiuchow, Hokkien and Cantonese. 10. C. Michael Hogan sat on the Anglo-Japanese Commission dealing with claims under the San Francisco Peace Treaty in 1960.

88 www.hk-lawyer.org April 2018 • LEGAL TRIVIA QUIZ 法律知識測驗

法律知識測驗 #47

本月的問題圍繞普通法世界最著名的虛構律師Horace Rumpole。 問題由馬錦德大律師編製。歡迎建議下期問題。

1. Rumpole亦被稱為哪個法庭的Rumpole？ 6. Rumpole的同事Claude Erskine-Brown就讀哪所公立學校？ A. 鄂克斯橋（Uxbridge）治安法庭 A. 伊頓公學 B. 中央刑事法庭 B. 哈羅公學 C. 商事法庭 C. 溫切斯特公學 D. 樞密院 D. 查特豪斯公學

7. 從來未打過官司、大部分時間都花在文員房的老大律師的綽 2. Rumpole說他的妻子Hilda是必須...... 的人。 號叫？ A. 發抖和服從 A. Paul叔叔 B. 不許購物 B. Pete叔叔 C. 永遠不讀法律 C. Ted叔叔 D. 被服從 D. Tom叔叔

3. Rumpole在以下案件中單人匹馬令當事人無罪釋放而聞 8. Rumpole經常代表的東倫敦犯罪家庭姓什麼？ 名（至少在他的想象中）： A. The Molloys A. Penge Bungalow謀殺案 B. The Timsons B. Hello Kitty 謀殺案 C. The Mollards C. 查令十字謀殺案 D. The Simpsons D. 東方快車號謀殺案 9. 在電視連續劇中扮演Rumpole的演員Leo McKern來自哪個 4. Rumpole經常光顧的酒吧叫什麼名字？ 國家？ A. The Chancery A. 南非 B. The Embankment B. 紐西蘭 C. Pomeroys C. 澳洲 D. Temple Inn D. 英國

5. Rumpole經常引用哪個詩人？ 10. 對Rumpole來說，英文字母QC代表什麼？ A. T.S. Eliot（艾略特） A. Queen’s Counsel（御用大律師） B. Wordsworth（華茲華斯） B. Queer Customer（古怪的客戶） C. Shakespeare（莎士比亞） C. Quaint Customs（老派的海關） D. Browning（勃朗寧） D. Quite Childlike（有點孩子氣）

法律知識測驗#46的答案 1. A. 貝里士爵士對青蛙很感興趣，而且他的辦公廳及家裏都堆滿了各種形狀 和大小的青蛙收藏品。 競賽規則： 2. B. 多產作家羅弼時撰寫了："I'll Do Better Next Time"。 讀者如欲贏取一瓶由Global Vintage Wines Centre提供的 3. C. 范達理以作為英國駐南非羅得西亞警察的一成員開始了他的職業生涯。 2007年Ch. Roquettes 2010 (Grand Cru)或Ch. Tour Baladoz 2006 4. B. 烏干達前首席法官沙義德被伊迪阿敏強迫逃離烏干達。 (Grand Cru)葡萄酒，請將問題答案寄交 5. D. 賈靈頓在成為香港首席法官之前是英屬圭亞那的律政司。 [email protected]。 首位能提供最多正確答案(答錯的題 6. C. 鄧國楨於1988年至1990年擔任香港大律師公會主席。 目不得多於三題)的讀者將成為優 7. A. Paul Cressal在被任命為香港陪席法官前，是巴勒斯坦地方法院法官。 勝者。湯森路透就得獎者所作 8. B. 幾卜生於第二次世界大戰期間在皇家空軍服役。 的決定是最終及不可推翻的。 9. B. 1909年至1925年的陪席法官Henry Gompertz會說潮州話、福建話和廣 東話。 10. C. 在1960年，何瑾加入「英日委員會」處理根據《舊金山和平條約》的 申索。

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ReportingReporting to to an an Executive Executive Director, Director, you you will will work work closely closely OurOur client client is is a a fast fast growing growing technology technology company. company. They They AA unique unique opportunity opportunity has has arisen arisen with with our our client client who who has has withwith the the Global Global Markets Markets Division Division on on transactional transactional areare expanding expanding rapidly rapidly globally globally with with operations operations currently currently aa leading leading team team in in Hong Hong Kong Kong covering covering a a wide wide spectrum spectrum mattersmatters with with a a China China focus, focus, as as well well as as to to provide provide support support inin Hong Hong Kong, Kong, Korea Korea and and the the USA. USA. They They are are now now ofof work work including including mergers mergers & & acquisitions, acquisitions, private private equity equity OlgaOlga Yung Yung SerenaSerena Tang Tang onon all all broader broader China China related related deals. deals. You You will will assist assist in in the the lookinglooking for for a a high high calibre calibre lawyer lawyer to to join join the the legal legal team team fundfund formations, formations, capital capital markets markets and and general general corporate corporate RegionalRegional Director, Director, AssociateAssociate Director, Director, negotiationnegotiation and and execution execution of of a a variety variety of of transactions, transactions, atat the the group group level. level. You You will will be be reporting reporting to to the the General General advisoryadvisory work. work. They They are are currently currently seeking seeking a a junior junior to to includingincluding transactions transactions in in the the onshore/offshore onshore/offshore China China CounselCounsel and and work work in in a a team team of of several several lawyers. lawyers. Your Your key key mid-levelmid-level Associate Associate with with experience experience in in both both corporate corporate FinancialFinancial Services Services InIn House House Corporate Corporate spacespace covering covering various various products products across across derivatives, derivatives, responsibilitiesresponsibilities are are to to provide provide legal legal advice advice to to the the core core andand funds funds work, work, being being familiar familiar with with negotiating negotiating and and [email protected]@michaelpage.com.hk [email protected]@michaelpage.com.hk loans,loans, structuring structuring financing financing withwith banksbanks andand assetasset technologytechnology team team as as well well as as marketing marketing and and sales sales teams teams establishingestablishing a a variety variety of of investment investment funds funds as as well well as as +852+852 2848 2848 4791 4791 +852+852 3412 3412 4810 4810 managersmanagers (repo (repo / /TRS), TRS), Yield Yield Enhancement Enhancement products; products; globally.globally. The The successful successful candidate candidate will will have have a a minimum minimum beingbeing highly highly aware aware of of the the regulatory regulatory framework. framework. The The linkedin.com/in/olgayunglinkedin.com/in/olgayung linkedin.com/in/tangserenalinkedin.com/in/tangserena FX,FX, credit, credit, private private financing, financing, securitizationsecuritization business;business; ofof 4 4 years’ years’ PQE PQE with with experience experience from from either either international international idealideal candidate candidate will will have have at at least least 2 2 years’ years’ PQE, PQE, coming coming dealdeal catalyst catalyst business. business. The The ideal ideal candidate candidate will will have have lawlaw firms firms oror tech tech companies.companies. CompleteComplete fluencyfluency in in fromfrom private private practice practice with with strong strong levels levels of of English English and and gainedgained relevant relevant experience experience in in international international law law firms firms oror EnglishEnglish is is essential. essential. Ref: Ref: 3981765 3981765 Chinese.Chinese. As As this this is is a a new new hire, hire, the the firm firm is is looking looking for for otherother global global banks, banks, with with good good exposure exposure on on PRC PRC law law and and ambitiousambitious lawyers lawyers who who are are looking looking to to grow grow their their careers careers aa relevant relevant qualification qualification willwill bebe advantageous,advantageous, though though withwith the the firm. firm. Ref:Ref: 39796943979694 notnot mandatory. mandatory. Excellent Excellent English English and and Chinese Chinese language language skillsskills required. required. Ref: Ref: 3957282 3957282

MartaMarta Verderosa Verderosa TinaTina Wang Wang Manager,Manager, ManagingManaging Consultant, Consultant, InsuranceInsurance Lawyer Lawyer LegalLegal Counsel Counsel TMTTMT M&A M&A – – Senior Senior Associate Associate PrivatePrivate Practice Practice In-HouseIn-House Corporate Corporate › › 8+8+ PQE PQE › › 55 + + PQE PQE › › 5+5+ PQE PQE [email protected]@michaelpage.com.hk [email protected]@michaelpage.com.hk › › LeadingLeading Financial Financial Institution Institution › › ListedListed Energy Energy Group Group › › WellWell established established law law firm firm +852+852 2848 2848 4794 4794 +852+852 2848 2848 9561 9561 AA global global bank bank is is currently currently seeking seeking to to take take on on a a new new OurOur client client is is a a reputable reputable listed listed energy energy group group with with AA new new senior senior associate associate role role has has arisen arisen in in a a reputable reputable linkedin.com/in/martaverderosalinkedin.com/in/martaverderosa linkedin.com/in/tinawangcpalinkedin.com/in/tinawangcpa insuranceinsurance lawyer lawyer to to join join as as their their Senior Senior Counsel, Counsel, working working operationsoperations around around the the globe. globe. Due Due to to business business TMTTMT practice practice group group within within an an international international law law firm firm in in inin a a well-established well-established legal legal team team of of over over 10 10 lawyers. lawyers. expansion,expansion, they they are are now now looking looking for for an an experienced experienced Asia.Asia. As As part part of of the the team, team, you you will will advise advise TMT TMT clients clients YouYou will will report report directly directly to to the the Head Head of of Legal Legal and and be be lawyerlawyer to to join join their their legal legal team. team. Reporting Reporting to to the the Head Head onon commercial commercial and and transactional transactional projects. projects. The The variety variety responsibleresponsible in in advising advising on on all all insurance insurance related related products products ofof Legal, Legal, you you be be handling handling legal legal matters matters relating relating to to ofof work work includes includes M&A, M&A, licensing licensing and and distribution distribution andand agreements. agreements. Working Working closely closely with with the the banking banking and and corporatecorporate M&A M&A transactions transactions in in China, China, Hong Hong Kong Kong listing listing arrangementsarrangements and and general general legal legal advisory. advisory. The The main main focus focus insuranceinsurance businesses, businesses, you you will will develop develop and and distribute distribute rulerule compliance, compliance, management management of of external external counsels counsels ofof the the role role will will be be China China in in and and out-bound out-bound transactions transactions insuranceinsurance products products and and provide provide daily daily support support to to the the andand regulators regulators and and provide provide commercial commercial legal legal advice advice andand you you should should be be able able to to take take the the lead lead and and directly directly relevantrelevant businesses businesses under under retail retail and and commercial commercial bank. bank. toto the the business. business. The The successful successful candidate candidate will will be be a a dealdeal with with clients clients in in the the PRC. PRC. You You will will also also gain gain exposure exposure TheThe successful successful candidate candidate will will possess possess at at least least 8 8 years’ years’ 5+5+ PQE PQE lawyer lawyer with with Hong Hong Kong Kong or or PRC PRC qualification. qualification. inin providing providing advice advice on on data data privacy privacy and and cyber cyber security, security, KamilKamil Butt Butt SabinaSabina Li Li PQEPQE with with experience experience gained gained with with international international law law firm firm InternationalInternational law law firm firm training training withwith somesome in-house in-house advertising,advertising, labelling labelling and and consumer consumer protection protection laws laws and and / /global global insurance insurance player. player. Whilst Whilst banking banking exposure exposure experienceexperience in in listed listed companies companies preferred. preferred. Strong Strong regulations.regulations. The The ideal ideal candidate candidate will will possess possess at at least least 5 5 SeniorSenior Consultant, Consultant, SeniorSenior Consultant, Consultant, isis useful, useful, it it is is not not mandatory. mandatory. Fluency Fluency in in English English and and languagelanguage skills skills in in both both written written and and spoken spoken Mandarin Mandarin years’years’ PQE PQE ideally ideally with with strong strong M&A M&A experience experience in in the the ChineseChinese is is required. required. Ref: Ref: 3710810 3710810 ChineseChinese is is required. required. Ref: Ref: 3983067 3983067 technologytechnology space, space, gained gained in-house in-house or or private private practice. practice. PrivatePrivate Practice Practice LegalLegal Support Support MandarinMandarin language language skills skills is is a a must. must. Ref: Ref: 3791260 3791260 [email protected]@michaelpage.com.hk [email protected]@michaelpage.com.hk +852+852 2848 2848 4798 4798 +852+852 3602 3602 2480 2480 linkedin.com/in/kamilbuttlinkedin.com/in/kamilbutt linkedin.com/in/sabinalilinkedin.com/in/sabinali SeniorSenior Private Private Banking Banking Lawyer Lawyer SeniorSenior Legal Legal Counsel Counsel – – Investment Investment Advisory Advisory RiskRisk & & Compliance Compliance Lawyer Lawyer › › 8+8+ PQE PQE › › 15+15+ PQE PQE › › RegionalRegional Coverage Coverage › › GlobalGlobal Financial Financial Institution Institution › › SizableSizable Hong Hong Kong Kong Group Group › › CommonCommon law law qualified qualified

OurOur client client has has a a well-established well-established legal legal team, team, currently currently ThisThis is is a a Senior Senior Counsel Counsel position position being being part part of of a a large large OurOur client client is is an an international international law law firm firm nownow looking looking to to fillfill a a seekingseeking to to take take on on a a senior senior lawyer lawyer at at Executive Executive Director Director highhigh calibre calibre legal legal team team for for an an established established Hong Hong Kong Kong newlynewly created created senior senior headcount headcount in in its its Risk Risk & & Compliance Compliance levellevel to to join, join, to to support support the the private private banking banking business. business. group.group. Your Your priority priority will will be be in in advising advising investment investment department.department. The The new new joiner joiner will will be be responsible responsible for for the the SorayaSoraya Tennent Tennent ChrystalChrystal Cheung Cheung WorkingWorking closely closely with with the the PB PB business business with with a a direct direct report report decisions,decisions, working working closely closely with with the the finance finance andand effectiveeffective implementation, implementation, management, management, and and oversight oversight of of ofof a a junior junior lawyer, lawyer, you you will will report report to to the the Head Head of of Legal Legal and and treasurytreasury department. department. You You will will provide provide legal legal advice advice on on riskrisk and and compliance compliance systems, systems, procedures procedures for for the the firm firm in in Consultant,Consultant, AssociateAssociate Consultant, Consultant, provideprovide day day to to day day support. support. You You will will provide provide legal legal advice advice investmentsinvestments in in private private equity equity and and hedge hedge funds. funds. You You will will thethe APAC APAC region. region. You You will will also also be be in in charge charge of of introducing introducing LegalLegal Support Support LegalLegal Support Support andand support support front front office office onon projectproject implementation implementation andand activelyactively participate participate in in strategic strategic business business decisions decisions and and andand promoting promoting a a positive positive compliance compliance culture culture within within the the firm firm execution,execution, as as well well as as to to review review and and negotiate negotiate all all related related negotiationsnegotiations for for commercial commercial agreements agreements as as a a business business byby initiating initiating internal internal courses courses and and risk risk management management training training [email protected]@michaelpage.com.hk [email protected]@michaelpage.com.hk documentsdocuments terms terms and and agreements. agreements. The The ideal ideal candidate candidate partner.partner. The The ideal ideal candidate candidate will will have have around around 15 15 years’ years’ sessions.Thesessions.The ideal ideal candidate candidate is is a a common common law law qualified qualified +852+852 2848 2848 4795 4795 +852+852 2848 2848 4792 4792 willwill possess possess at at least least 8 8 years years PQE PQE with with private private banking banking PQEPQE with with experience experience from from sizeable sizeable companies. companies. Written Written solicitorsolicitor ideally ideally with with experience experience in in compliance compliance matters matters and and linkedin.com/in/sorayatennentlinkedin.com/in/sorayatennent linkedin.com/in/chrystal-cheunglinkedin.com/in/chrystal-cheung experience,experience, as as well well as as familiarity familiarity with with related related products products andand spoken spoken English, English, Cantonese Cantonese and and Mandarin Mandarin are are confidenceconfidence in in dealingdealing withwith seniorsenior internal internal stakeholdersstakeholders onon includingincluding OTC OTC derivatives, derivatives, RMB RMB products, products, structured structured required.required. Ref: Ref: 3983889 3983889 riskrisk issues. issues. Ref: Ref: 3975953 3975953 financefinance andand otherother lending lending solutions.solutions. BothBoth EnglishEnglish andand ChineseChinese are are required. required. Ref: Ref: 3974145 3974145

ToTo apply, apply, visit visit www.michaelpage.com.hk www.michaelpage.com.hk quoting quoting the the reference reference number number or or contact contact our our consultants. consultants.

SpecialistsSpecialists in in legal legal recruitment recruitment LegalLegal www.michaelpage.com.hkwww.michaelpage.com.hk

16459_HK_Lawyer_Ad_2018_April16459_HK_Lawyer_Ad_2018_April v3.indd v3.indd All All Pages Pages 22/3/201822/3/2018 10:42:30 10:42:30 AM AM SPECIALISTSSPECIALISTS ININ LEGALLEGAL RECRUITMENTRECRUITMENT

MeetMeet the the team team FINANCIALFINANCIAL SERVICES SERVICES COMMERCIALCOMMERCIAL PRIVATEPRIVATE PRACTICE PRACTICE MichaelMichael Page Page Legal Legal services services major major corporates, corporates, international international and and leading leading local local law law firms, firms, asas wellwell asas financialfinancial servicesservices institutionsinstitutions onon a a global global scale.scale. OurOur consultantsconsultants are are strategicallystrategically specialised specialised in in focusing focusing on on legal legal recruitment recruitment for for different different aspects aspects of of the the job job function function and and industry, industry, diversifying diversifying and and maximising maximising our our recruitment recruitment coverage coverage asas a a team. team. We We have have successfully successfully placed placed candidates candidates across across all all levels levels from from Associates Associates and and Junior Junior Legal Legal Counsels, Counsels, to to Partners Partners and and Heads Heads of of Legal. Legal. VP,VP, Legal Legal Counsel Counsel LegalLegal Counsel Counsel CorporateCorporate & & Funds Funds Associate Associate › › 5+5+ PQE PQE › › 44 + + PQE PQE › › 2+2+ PQE PQE › › GlobalGlobal Investment Investment Bank Bank › › FastFast growing growing tech tech start start up up › › USUS Law Law Firm Firm

ReportingReporting to to an an Executive Executive Director, Director, you you will will work work closely closely OurOur client client is is a a fast fast growing growing technology technology company. company. They They AA unique unique opportunity opportunity has has arisen arisen with with our our client client who who has has withwith the the Global Global Markets Markets Division Division on on transactional transactional areare expanding expanding rapidly rapidly globally globally with with operations operations currently currently aa leading leading team team in in Hong Hong Kong Kong covering covering a a wide wide spectrum spectrum mattersmatters with with a a China China focus, focus, as as well well as as to to provide provide support support inin Hong Hong Kong, Kong, Korea Korea and and the the USA. USA. They They are are now now ofof work work including including mergers mergers & & acquisitions, acquisitions, private private equity equity OlgaOlga Yung Yung SerenaSerena Tang Tang onon all all broader broader China China related related deals. deals. You You will will assist assist in in the the lookinglooking for for a a high high calibre calibre lawyer lawyer to to join join the the legal legal team team fundfund formations, formations, capital capital markets markets and and general general corporate corporate RegionalRegional Director, Director, AssociateAssociate Director, Director, negotiationnegotiation and and execution execution of of a a variety variety of of transactions, transactions, atat the the group group level. level. You You will will be be reporting reporting to to the the General General advisoryadvisory work. work. They They are are currently currently seeking seeking a a junior junior to to includingincluding transactions transactions in in the the onshore/offshore onshore/offshore China China CounselCounsel and and work work in in a a team team of of several several lawyers. lawyers. Your Your key key mid-levelmid-level Associate Associate with with experience experience in in both both corporate corporate FinancialFinancial Services Services InIn House House Corporate Corporate spacespace covering covering various various products products across across derivatives, derivatives, responsibilitiesresponsibilities are are to to provide provide legal legal advice advice to to the the core core andand funds funds work, work, being being familiar familiar with with negotiating negotiating and and [email protected]@michaelpage.com.hk [email protected]@michaelpage.com.hk loans,loans, structuring structuring financing financing withwith banksbanks andand assetasset technologytechnology team team as as well well as as marketing marketing and and sales sales teams teams establishingestablishing a a variety variety of of investment investment funds funds as as well well as as +852+852 2848 2848 4791 4791 +852+852 3412 3412 4810 4810 managersmanagers (repo (repo / /TRS), TRS), Yield Yield Enhancement Enhancement products; products; globally.globally. The The successful successful candidate candidate will will have have a a minimum minimum beingbeing highly highly aware aware of of the the regulatory regulatory framework. framework. The The linkedin.com/in/olgayunglinkedin.com/in/olgayung linkedin.com/in/tangserenalinkedin.com/in/tangserena FX,FX, credit, credit, private private financing, financing, securitizationsecuritization business;business; ofof 4 4 years’ years’ PQE PQE with with experience experience from from either either international international idealideal candidate candidate will will have have at at least least 2 2 years’ years’ PQE, PQE, coming coming dealdeal catalyst catalyst business. business. The The ideal ideal candidate candidate will will have have lawlaw firms firms oror tech tech companies.companies. CompleteComplete fluencyfluency in in fromfrom private private practice practice with with strong strong levels levels of of English English and and gainedgained relevant relevant experience experience in in international international law law firms firms oror EnglishEnglish is is essential. essential. Ref: Ref: 3981765 3981765 Chinese.Chinese. As As this this is is a a new new hire, hire, the the firm firm is is looking looking for for otherother global global banks, banks, with with good good exposure exposure on on PRC PRC law law and and ambitiousambitious lawyers lawyers who who are are looking looking to to grow grow their their careers careers aa relevant relevant qualification qualification willwill bebe advantageous,advantageous, though though withwith the the firm. firm. Ref:Ref: 39796943979694 notnot mandatory. mandatory. Excellent Excellent English English and and Chinese Chinese language language skillsskills required. required. Ref: Ref: 3957282 3957282

MartaMarta Verderosa Verderosa TinaTina Wang Wang Manager,Manager, ManagingManaging Consultant, Consultant, InsuranceInsurance Lawyer Lawyer LegalLegal Counsel Counsel TMTTMT M&A M&A – – Senior Senior Associate Associate PrivatePrivate Practice Practice In-HouseIn-House Corporate Corporate › › 8+8+ PQE PQE › › 55 + + PQE PQE › › 5+5+ PQE PQE [email protected]@michaelpage.com.hk [email protected]@michaelpage.com.hk › › LeadingLeading Financial Financial Institution Institution › › ListedListed Energy Energy Group Group › › WellWell established established law law firm firm +852+852 2848 2848 4794 4794 +852+852 2848 2848 9561 9561 AA global global bank bank is is currently currently seeking seeking to to take take on on a a new new OurOur client client is is a a reputable reputable listed listed energy energy group group with with AA new new senior senior associate associate role role has has arisen arisen in in a a reputable reputable linkedin.com/in/martaverderosalinkedin.com/in/martaverderosa linkedin.com/in/tinawangcpalinkedin.com/in/tinawangcpa insuranceinsurance lawyer lawyer to to join join as as their their Senior Senior Counsel, Counsel, working working operationsoperations around around the the globe. globe. Due Due to to business business TMTTMT practice practice group group within within an an international international law law firm firm in in inin a a well-established well-established legal legal team team of of over over 10 10 lawyers. lawyers. expansion,expansion, they they are are now now looking looking for for an an experienced experienced Asia.Asia. As As part part of of the the team, team, you you will will advise advise TMT TMT clients clients YouYou will will report report directly directly to to the the Head Head of of Legal Legal and and be be lawyerlawyer to to join join their their legal legal team. team. Reporting Reporting to to the the Head Head onon commercial commercial and and transactional transactional projects. projects. The The variety variety responsibleresponsible in in advising advising on on all all insurance insurance related related products products ofof Legal, Legal, you you be be handling handling legal legal matters matters relating relating to to ofof work work includes includes M&A, M&A, licensing licensing and and distribution distribution andand agreements. agreements. Working Working closely closely with with the the banking banking and and corporatecorporate M&A M&A transactions transactions in in China, China, Hong Hong Kong Kong listing listing arrangementsarrangements and and general general legal legal advisory. advisory. The The main main focus focus insuranceinsurance businesses, businesses, you you will will develop develop and and distribute distribute rulerule compliance, compliance, management management of of external external counsels counsels ofof the the role role will will be be China China in in and and out-bound out-bound transactions transactions insuranceinsurance products products and and provide provide daily daily support support to to the the andand regulators regulators and and provide provide commercial commercial legal legal advice advice andand you you should should be be able able to to take take the the lead lead and and directly directly relevantrelevant businesses businesses under under retail retail and and commercial commercial bank. bank. toto the the business. business. The The successful successful candidate candidate will will be be a a dealdeal with with clients clients in in the the PRC. PRC. You You will will also also gain gain exposure exposure TheThe successful successful candidate candidate will will possess possess at at least least 8 8 years’ years’ 5+5+ PQE PQE lawyer lawyer with with Hong Hong Kong Kong or or PRC PRC qualification. qualification. inin providing providing advice advice on on data data privacy privacy and and cyber cyber security, security, KamilKamil Butt Butt SabinaSabina Li Li PQEPQE with with experience experience gained gained with with international international law law firm firm InternationalInternational law law firm firm training training withwith somesome in-house in-house advertising,advertising, labelling labelling and and consumer consumer protection protection laws laws and and / /global global insurance insurance player. player. Whilst Whilst banking banking exposure exposure experienceexperience in in listed listed companies companies preferred. preferred. Strong Strong regulations.regulations. The The ideal ideal candidate candidate will will possess possess at at least least 5 5 SeniorSenior Consultant, Consultant, SeniorSenior Consultant, Consultant, isis useful, useful, it it is is not not mandatory. mandatory. Fluency Fluency in in English English and and languagelanguage skills skills in in both both written written and and spoken spoken Mandarin Mandarin years’years’ PQE PQE ideally ideally with with strong strong M&A M&A experience experience in in the the ChineseChinese is is required. required. Ref: Ref: 3710810 3710810 ChineseChinese is is required. required. Ref: Ref: 3983067 3983067 technologytechnology space, space, gained gained in-house in-house or or private private practice. practice. PrivatePrivate Practice Practice LegalLegal Support Support MandarinMandarin language language skills skills is is a a must. must. Ref: Ref: 3791260 3791260 [email protected]@michaelpage.com.hk [email protected]@michaelpage.com.hk +852+852 2848 2848 4798 4798 +852+852 3602 3602 2480 2480 linkedin.com/in/kamilbuttlinkedin.com/in/kamilbutt linkedin.com/in/sabinalilinkedin.com/in/sabinali SeniorSenior Private Private Banking Banking Lawyer Lawyer SeniorSenior Legal Legal Counsel Counsel – – Investment Investment Advisory Advisory RiskRisk & & Compliance Compliance Lawyer Lawyer › › 8+8+ PQE PQE › › 15+15+ PQE PQE › › RegionalRegional Coverage Coverage › › GlobalGlobal Financial Financial Institution Institution › › SizableSizable Hong Hong Kong Kong Group Group › › CommonCommon law law qualified qualified

OurOur client client has has a a well-established well-established legal legal team, team, currently currently ThisThis is is a a Senior Senior Counsel Counsel position position being being part part of of a a large large OurOur client client is is an an international international law law firm firm nownow looking looking to to fillfill a a seekingseeking to to take take on on a a senior senior lawyer lawyer at at Executive Executive Director Director highhigh calibre calibre legal legal team team for for an an established established Hong Hong Kong Kong newlynewly created created senior senior headcount headcount in in its its Risk Risk & & Compliance Compliance levellevel to to join, join, to to support support the the private private banking banking business. business. group.group. Your Your priority priority will will be be in in advising advising investment investment department.department. The The new new joiner joiner will will be be responsible responsible for for the the SorayaSoraya Tennent Tennent ChrystalChrystal Cheung Cheung WorkingWorking closely closely with with the the PB PB business business with with a a direct direct report report decisions,decisions, working working closely closely with with the the finance finance andand effectiveeffective implementation, implementation, management, management, and and oversight oversight of of ofof a a junior junior lawyer, lawyer, you you will will report report to to the the Head Head of of Legal Legal and and treasurytreasury department. department. You You will will provide provide legal legal advice advice on on riskrisk and and compliance compliance systems, systems, procedures procedures for for the the firm firm in in Consultant,Consultant, AssociateAssociate Consultant, Consultant, provideprovide day day to to day day support. support. You You will will provide provide legal legal advice advice investmentsinvestments in in private private equity equity and and hedge hedge funds. funds. You You will will thethe APAC APAC region. region. You You will will also also be be in in charge charge of of introducing introducing LegalLegal Support Support LegalLegal Support Support andand support support front front office office onon projectproject implementation implementation andand activelyactively participate participate in in strategic strategic business business decisions decisions and and andand promoting promoting a a positive positive compliance compliance culture culture within within the the firm firm execution,execution, as as well well as as to to review review and and negotiate negotiate all all related related negotiationsnegotiations for for commercial commercial agreements agreements as as a a business business byby initiating initiating internal internal courses courses and and risk risk management management training training [email protected]@michaelpage.com.hk [email protected]@michaelpage.com.hk documentsdocuments terms terms and and agreements. agreements. The The ideal ideal candidate candidate partner.partner. The The ideal ideal candidate candidate will will have have around around 15 15 years’ years’ sessions.Thesessions.The ideal ideal candidate candidate is is a a common common law law qualified qualified +852+852 2848 2848 4795 4795 +852+852 2848 2848 4792 4792 willwill possess possess at at least least 8 8 years years PQE PQE with with private private banking banking PQEPQE with with experience experience from from sizeable sizeable companies. companies. Written Written solicitorsolicitor ideally ideally with with experience experience in in compliance compliance matters matters and and linkedin.com/in/sorayatennentlinkedin.com/in/sorayatennent linkedin.com/in/chrystal-cheunglinkedin.com/in/chrystal-cheung experience,experience, as as well well as as familiarity familiarity with with related related products products andand spoken spoken English, English, Cantonese Cantonese and and Mandarin Mandarin are are confidenceconfidence in in dealingdealing withwith seniorsenior internal internal stakeholdersstakeholders onon includingincluding OTC OTC derivatives, derivatives, RMB RMB products, products, structured structured required.required. Ref: Ref: 3983889 3983889 riskrisk issues. issues. Ref: Ref: 3975953 3975953 financefinance andand otherother lending lending solutions.solutions. BothBoth EnglishEnglish andand ChineseChinese are are required. required. Ref: Ref: 3974145 3974145

ToTo apply, apply, visit visit www.michaelpage.com.hk www.michaelpage.com.hk quoting quoting the the reference reference number number or or contact contact our our consultants. consultants.

SpecialistsSpecialists in in legal legal recruitment recruitment LegalLegal www.michaelpage.com.hkwww.michaelpage.com.hk

16459_HK_Lawyer_Ad_2018_April16459_HK_Lawyer_Ad_2018_April v3.indd v3.indd All All Pages Pages 22/3/201822/3/2018 10:42:30 10:42:30 AM AM Private Practice In-house

Real Estate Hong Kong Partner Legal Counsel Hong Kong 1-3 PQE Leading real estate practice is expanding its already thriving practice and seeks a Well known investment bank seeks a junior lawyer with excellent knowledge of property partner or senior lawyer with ambition and drive. There is no requirement derivatives and master agreement documentation. This is a great opportunity for a for a book of business given the reputation of the firm’s current practice. (HKL 16407) lawyer in private practice or in-house to join a dynamic and collegiate team. (HKL 16394)

M&A Hong Kong Partner MNC Regional General Counsel Hong Kong 12+ PQE This well-known international firm is expanding its highly rated M&A practice and seeks This well-known MNC has a vacancy for a senior in-house commercial lawyer with a senior lawyer from a top tier firm to take on a leadership role. Great opportunity for good China and regional experience. Work will involve advising senior management on senior lawyers frustrated by lack of career prospects at their current firm. (HKL 16288) an interesting mix of contract, general commercial, employment and some compliance. Fluency in Mandarin will be very useful. Opportunity to manage a small legal team. (HKL 15097)

Dispute Resolution Hong Kong NQ-3 PQE In-House Paralegal Hong Kong 0-3 PQE US law firm seeks young and ambitious litigators to join their disputes practice to work A global aviation company seeks a junior finance paralegal to provide legal support to the on a broad range of international commercial disputes, arbitration and regulatory regional business. Excellent opportunity to develop into aviation asset finance. Fluency in investigation work. Strong academics and Mandarin required. (HKL 16304) both Mandarin and English required. (HKL 16320)

Associate – Insolvency Restructuring Hong Kong 2-5 PQE Legal Counsel Hong Kong 5-8 PQE City law firm seeks to expand its tier 1 insolvency restructuring practice. Agreat A global provider of clean energy seeks a mid-senior corporate/commercial lawyer to opportunity for a lawyer with corporate or finance background to work with special provide legal support to the regional business. Experience gained at a multinational situations group and distressed debt acquisitions. (HKL 16193) corporate or an international law firm preferred. Fluency in both Mandarin and English required. (HKL 16386)

Competition Hong Kong 2 - 4 PQE Senior Legal Counsel Hong Kong 10-15 PQE City firm seeks an experienced antitrust/competition lawyer to join their tier 1 practice. A conglomerate with a growing APAC business seeks to hire a legal counsel with solid Lawyers with experience or keen interest in Asia related competition law, merger in-house experience. You will focus on their HK and growing SEA regional business. control, regulatory investigations preferred. Mandarin language required. (HKL 16297) Experience from consumer goods or F&B industry is an advantage. Chinese language required. (HKL 16332)

M&A Hong Kong 6+ PQE Senior Legal Manager Hong Kong 5 PQE+ Global law firm seeks a lawyer to join their growing corporate team. You will have A well-known real estate development group seeks a mid-senior level lawyer with exposure to sizeable transactions, solid transactional experience in M&A and private corporate experience. You will provide legal advice on general corporate, M&A, joint equity matters. Chinese language not essential. (HKL 16384) venture, finance, commercial and fund transaction. Experience from international law firms / real estate industry is an advantage. Chinese language required. (HKL 16008)

Banking Associate Hong Kong 1-4 PQE Senior Legal Manager Hong Kong 6-8 PQE+ International law firm with well-established banking practice seeks a junior tomid- A leading property developer seeks a mid-senior level real estate lawyer to support level banking associate. You will have enjoyed training at an international law firm or their business in Hong Kong. You will handle property transactions, sale agreements, reputable local law firm. Excellent English and Chinese required. (HKL 16341) commercial contracts and provide general legal advice on commercial matters. Fluency in English and Chinese required. (HKL 16182)

In-House Private Practice

REAL ESTATE/COMMERCIAL HONG KONG 8-15 YEARS BANKING & FINANCE PSL HONG KONG 4-10 YEARS

Global luxury retailer seeks a senior lawyer to join its team in Hong Kong. Excellent opportunity to join a global law firm as a professional support You will have extensive real estate experience from another in-house lawyer in the banking & finance team. You will have strong banking & position ideally in the retail, supply chain or luxury brand sector. Chinese finance experience, however prior PSL experience is not required. Excellent language skills not needed and French would be helpful. HKL6976 spoken & written English and Chinese skills are essential. HKL6954

RETAIL/CORP/COMMERCIAL HONG KONG 10+ YEARS DISPUTE RESOLUTION HONG KONG 6-8 YEARS

Global retail conglomerate is seeking an Associate General Counsel to An international firm in Hong Kong is looking for a senior associate to join join its legal team in Hong Kong. You should have at least 10 years of its top tier litigation practice. You should have between 6-8 PQE and be commercial legal experience with exposure to M&A. Chinese language HK qualified with excellent Chinese language skills. Financial services skills are essential. HKL6766 regulatory experience is highly preferred. HKL6965

FUNDS HONG KONG 8-10 YEARS CORPORATE FINANCE HONG KONG 5-8 YEARS

Asset manager seeks a Head of Legal for its Hong Kong office. You will Leading offshore firm is looking for a corporate finance associate to join have non-contentious regulatory experience & Mandarin language skills. its busy team. You should have at least 5 years’ relevant experience and You will advise on fund related matters & regional regulatory issues. be Commonwealth qualified. Fluent Chinese language skills are required. Excellent opportunity for a lawyer looking to move in-house. HKL6956 Attractive remuneration on offer. HKL6972

ETHICS & COMPLIANCE HONG KONG 7+ YEARS FUNDS HK/CHINA 5+ YEARS

Global fashion brand seeks a senior lawyer to join its legal team in Hong Magic circle firm seeks a US qualified funds lawyer to join its team in Hong Kong. You will be responsible for managing and delivering the Ethics and Kong, Shanghai or Beijing. You should have excellent academics and at Compliance Program for the APAC region, including identifying critical least 5 years of fund formation experience from a top tier firm. Fluency in issues and risks. Chinese language skills are essential. HKL6949 Mandarin and English required. HKL6975

DCM HONG KONG 5-8 YEARS IP LITIGATION HONG KONG 3+ YEARS

Well-known US investment bank is looking for its first legal counsel in Hong International firm seeks an IP litigator to join its HK office. You will have at Kong. Reporting to the Head of Legal in London, you will be involved in a least 3 years PQE with a sound knowledge of IP litigation and fluent English mix of equity & debt markets work. The Hong Kong office offers a friendly & & Chinese language skills. You will be part of the Dispute Resolution team collegiate atmosphere. Chinese skills are not essential. HKL6964 with a focus on TMT regulatory and IP matters. HKL6973

IP/TECHNOLOGY HONG KONG 4-8 YEARS BANKING X 2 HONG KONG 1-8 YEARS

Global financial institution seeks an intellectual property and technology A top US firm is looking for banking associates to join its expanding team. counsel. You will support management & business units in APAC in relation Associates with between 1-8 PQE with specialist experience in the banking to IT. You will have at least 4 years PQE in the tech space from a law firm/ field, particularly in the restructuring area, may apply. You must be fluent in in-house environment. Fluency in English required. HKL6969 Mandarin. Great career track and strong platform on offer. HKL6946

PRIVATE ASSET MANAGER HONG KONG 1-5 YEARS PARALEGAL (REAL ESTATE) HONG KONG 1-3 YEARS

Asset manager for high net worth individuals is currently looking for a A sizable international law firm is looking for a junior paralegal to support junior to mid-level lawyer to join its existing legal team, advising on general its real estate team. You will be working very closely with the partners commercial & compliance matters. Prior compliance experience would be and associates on drafting legal documents, preparing legal opinions and an advantage. Chinese language skills are not required. HKL6994 advice. Excellent $ and track provided. HKL6977

This is a small selection of our current vacancies. Please refer to our website for a more comprehensive list of openings. Please contact Lindsey Sanders, [email protected] +852 2537 7409, Karishma Khemaney, [email protected] +852 2537 0895 or Camilla Worthington, [email protected] +852 2537 7413 or email [email protected]

www.lewissanders.com trust | honesty | integrity | partnership

FCPA Banking & Finance Derivatives 3-5 PQE Hong Kong 1-5 PQE Hong Kong NQ+ Hong Kong This notable UK law firm is looking for an This eminent firm seeks a lawyer to join their This top tier practice seeks a lawyer to join their individual with solid experience to join its elite practice, assisting renowned partners and high market leading international practice. You will team in a collegiate environment. Experience in profile clients. You will work on big ticket deals, work with highly regarded partners and be anti-bribery, regulatory investigations and including corporate lending, trade finance, ECA exposed to a wide range of structured finance criminal/civil litigation in highly valuable. US finance, acquisition finance, syndicated lending. and derivatives transactions, including qualification essential, Mandarin language Common law qualification required, Chinese repackagings, total return swaps, CLOs, CDOs preferred. HKL4910 required, Mandarin an added bonus. HKL4899 and also OTC derivatives. HKL4916

Private Equity Project Finance Corporate M&A 1-3 PQE Hong Kong 1-3 PQE Hong Kong 1+ PQE Hong Kong This truly top tier international firm is seeking a Our client is an eminent international law firm A superb opportunity for a US qualified lawyer to junior funds associate to join their growing with blue chip clients based globally. Their support a US M&A practice and also undertake practice. You will work for high profile clients on projects team are known for their expertise on capital markets work. You will advise blue-chip a variety of private investment funds. Prior complex and large scale projects. This is an corporate clients and leading investment banks exposure to fund formation including excellent opportunity to join this highly on a variety of work including corporate M&A, structuring, restructuring as well as alternative regarded projects practice, working with joint ventures and capital markets across investment products including private equity recognised partners on a range of infrastructure Southeast Asia. Their ideal candidate will have a funds and venture capital funds is highly and PFI/PPP matters. You will be common law mix of M&A and capital markets experience. beneficial. You will be admitted to a US qualified, ideally with experience gained from an Fluency in Chinese is preferred but not essential. jurisdiction. HKL4917 international firm. HKL4911 HKL4920

Capital Markets Corporate M&A Banking & Finance 4-6 PQE Hong Kong 4-6 PQE Hong Kong 4+ PQE Hong Kong This is a fantastic opportunity for a mid-senior A top-tier International law firm with a This is an excellent opportunity for an lawyer, looking for a new challenge, to join this prestigious corporate practice seeks an experienced lawyer looking for a step up into a exceptional US law firm. You will be admitted in experienced corporate lawyer. You will have supervisory role. You will join this collegiate a common law jurisdiction with significant Hong solid exposure to regional public and private banking practice, working alongside reputable Kong IPO experience and be able to work M&A and private equity transactions, including partners and a supportive environment. The independently. The ideal candidate will have Hong Kong takeovers, PIPEs, growth, pre-IPO ideal candidate will have strong experience in fluent Mandarin language skills. This is an and buyout transactions. Candidates without regulatory matters and exposure to general excellent opportunity to take on an integral Hong Kong experience will be considered. banking & finance matters; Chinese language position in a well-established office. HKL4918 HKL4909 skills a plus. HKL4906

Capital Markets Project Finance Capital Markets 3-6 PQE Tokyo 2-4 PQE Singapore 2+ PQE Singapore A truly excellent opportunity for a lawyer with This is an excellent opportunity to join this This truly top tier US firm is seeking a junior solid capital markets experience gained at an highly regarded projects practice, working with lawyer to join their Singapore office. You will international law firm to work on sizeable IPO recognised partners on a range of infrastructure work with an extremely well regarded partner transactions and equity offerings. Experience in and PFI/PPP matters. You will be common law and be afforded excellent training within a very general corporate M&A work would be highly qualified, ideally with experience gained from an collegiate team. The ideal candidate will have advantageous; US bar qualification required. international firm. Mandarin language skills solid experience in capital markets; experience Japanese skills a valuable addition. HKL4921 would be preferable but not essential. HKL4908 within the Asia region is beneficial. HKL4922

This is a selection of our current vacancies; for more information in complete confidence, please call the Hong Kong office on +852 2503 2500 or email us at

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