2014 A pril

h k - l a w y e r . org REFORM REFORM 附表3所列的例外罪行報告書 《刑事訴訟程序條例》 Ordinance (Cap221) Schedule 3oftheCriminalProcedure Report onExceptedOffences under 改 革 革 改 丘博保險集團大中華區區域理賠經理 助理副總裁， 湯文龍律師 Chubb Group of Insurance Companies Regional Claims Manager, Specialty Greater China AssistantPresident, Vice Roden Tong (第221章) Cover Story COMPANIES (第二部分–公司註冊處系列) 新公司條例 –主要改變概要 (Part 2 -aCompaniesRegistryseries) Highlights ofSomeMajorChanges The NewCompaniesOrdinance – Face to Face With 公司

封面專題 歐華律師事務所香港區合夥人兼上海市政協委員 歐華律師事務所香港區合夥人兼上海市政協委員 楊大明律師 the Chinese People’sthe Chinese Political Consultative Conference Partner, HongKong Piper DLA of andShanghaiMember YangErnest 專 訪 ON CHINA 中國環境公害集體訴訟接著該如何﹖ 權力歸與民眾﹖ action litigationinChina? What’s nextforenvironmentalclass- Power tothepeople? A pril

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www.sweetandmaxwell.com.hk +852 2847 2000 [email protected] 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 Charles CC Chau 周致聰 Heidi KP Chu 朱潔冰 Steven B Gallagher Julienne Jen 任文慧 Dave Lau 劉子勁 George YC Mok 莫玄熾 Anne Scully-Hill Michele Tsang 曾憲薇 Adamas KS Wong 黃嘉晟 Cecilia KW Wong 黃吳潔華 Tony Yen 嚴元浩

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

Vice-Presidents 副會長 Stephen WS Hung 熊運信 14 COVER STORY Thomas ST So 蘇紹聰 Council Members 理事會成員 Denis Brock 白樂德 Charles CC Chau 周致聰 Brian Gilchrist 喬柏仁 Junius KY Ho 何君堯 Angela WY Lee 李慧賢 Joseph CW Li 李超華 Michael J Lintern-Smith 史密夫 Peter CL Lo 羅志力 Billy WY Ma 馬華潤 Amirali B Nasir 黎雅明 Gavin P Nesbitt 倪廣恒 Kenneth SY Ng 伍成業 Melissa K Pang 彭韻僖 Sylvia WY Siu 蕭詠儀 34 REFORM Cecilia KW Wong 黃吳潔華 Huen Wong 王桂壎 4 EDITOR’S NOTE [PDF] [HKL online] 編者的話 [PDF] [HKL online] Dieter LT Yih 葉禮德 6 PRESIDENT’S MESSAGE [PDF] [HKL online] 會長的話 [PDF] [HKL online] Secretary-General 秘書長 Heidi KP Chu 朱潔冰 8 CONTRIBUTORS [PDF] [HKL online] 投 稿 者 [PDF] [HKL online] Law Society’s Contact: www.hklawsoc.org.hk 紀律裁決 與律師會聯繫 Tel: +852 2846 0500 10 DISCIPLINARY DECISIONS [PDF] [HKL online] 11 FROM THE COUNCIL TABLE [PDF] [HKL online] 理事會議題 [PDF] [HKL online] Annual Subscription 全年訂閱: HK$3,360 12 FROM THE SECRETARIAT [PDF] [HKL online] 律師會秘書處資訊 [PDF] [HKL online] Thomson Reuters 10/F, Cityplaza 3, Taikoo Shing, Hong Kong 14 COVER STORY [PDF] [HKL online] 封面專題 [PDF] [HKL online] Tel: +852 3762 3200 Face to Face With 專 訪 www.thomsonreuters.com ERNEST YANG 楊大明律師 ISSN 1025-9554 Partner, DLA Piper Hong Kong and Shanghai member of 歐華律師事務所香港區合夥人兼 the Chinese People’s Political Consultative Conference 上海市政協委員 © Copyright is reserved throughout. No part of 湯文龍律師 this publication can be reproduced in whole or RODEN TONG 助 理 副 總 裁， part without the express permission of the editor. Regional Specialty Claims Manager, Greater China Chubb Group of Insurance Companies 丘博保險集團大中華區區域理賠經理 Contributions are invited, but copies of work should be kept, as Hong Kong Lawyer can accept no 26 LAW SOCIETY NEWS [PDF] [HKL online] 律師會新聞 [PDF] [HKL online] responsibility for loss. 34 REFORM DF] [HKL online] 改 革 [PDF] [HKL online] Report on Excepted Offences under Schedule 3 《刑事訴訟程序條例》（第221章） of the Criminal Procedure Ordinance (Cap 221) 附表3所列的例外罪行報告書 April 2014 二零一四年四月 HK$280

Managing Editor 執行主編 44 CAMPANIES [PDF] [HKL online] 公 司 [PDF] [HKL online] Vince Chong 張哲寧 The New Companies Ordinance – 新《 公 司 條 例 》— 主要改變概要 Chinese Editors 中文編輯 Highlights of Some Major Changes (Part 2 - a Companies Registry series) (第二部分 – 公司註冊處系列) Natalie Lee 李頴琳 [PDF] [HKL online] 中國實務 [PDF] [HKL online] Design and Production 設計及制作 50 ON CHINA 權 力 歸 與 民 眾﹖ Samson Pang 彭振生 Power to the people? What’s next for environmental class-action litigation in China? 中國環境公害集體訴訟接著該如何﹖ Sales and Marketing Director 銷售總監 Jane Lewis 劉真美 56 INDUSTRY INSIGHTS [PDF] [HKL online] 業界透視 [PDF] [HKL online]

Translation team 翻譯組: 66 CASES IN BRIEF [PDF] [HKL online] 案例撮要 [PDF] [HKL online] Info Power 75 PROFESSIONAL MOVES [PDF] [HKL online] 會員動向 [PDF] [HKL online] Staff contributors 內部貢獻: 78 ASIDEPDF] [HKL online] 隨 筆 [PDF] [HKL online] Carmen Chu 朱慧敏 內 地 人 取 道 非 洲 移民 香 港， Vivian Leung 梁靜妍 As “African” Chinese Park Money in Hong Kong, Rocky So 蘇衍成 Beijing Targets “Naked” Officials 中 央 積 極 打 擊「裸 官」

Special thanks to 83 CAMPUS VOICES [PDF] [HKL online] 法學院新聞 [PDF] [HKL online] Hong Kong Law Reports & Digest and 84 THE LAST WORD [PDF] [HKL online] 趣 聞 [PDF] [HKL online] Reuters News 特別感謝 香港法律彙報與摘錄 及 85 TOME RAIDER - A BOOK REVIEW 新 書 速 遞 路透社新聞 Reforming Law Reform – Perspectives from Hong Kong and Beyond For marketing/promotion opportunities please contact: Gordon Ng 吳子鵬 [email protected] Tel: +852 3762 3223

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44 COMPANIES

All information and views expressed by contributors and advertisements in Hong Kong Lawyer do not necessarily reflect the official opinion of The Law 50 ON CHINA Society of Hong Kong. Whilst every effort is made to ensure editorial and commercial integrity, no responsibility is accepted by the Publisher or The Law Society of Hong Kong for the accuracy of material appearing in this journal. Members are encouraged to contribute but the Editorial Board of The Law Society of Hong Kong reserves the right to publish only 78 ASIDE material it deems appropriate. Stay on top of the new Companies Ordinance (Cap. 622)! Additional resources on Companies Ordinance from Thomson Reuters COMPANY LAW COLLECTION An extensive collection of company law titles covering the regime under the new Companies Ordinance (Cap. 622)

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www.sweetandmaxwell.com.hk +852 2847 2000 [email protected] • April 2014

EDITOR’S NOTE 編者的話

As China’s late patriarch Deng Xiaoping famously said 30 30多年前，中國已故元老鄧小平曾就其經濟政策表 years ago about its economic policy, “if you open the window, 示，「打開窗戶，難免會有蒼蠅飛進來」。毫無疑 some flies naturally get in.” There is little doubt now that 問，如今其中一隻「蒼蠅」正對國家的環境造成影 one of these “flies” is the unnerving impact on the country’s 響，情況令人擔憂。隨着中國由世界工廠發展成超級 environment. As it grew from the world’s manufacturing hub to a global superpower, it also saw pollution rear its ugly head 大國，污染問題亦四處冒起。 within and without. 3月10日，全國人民代表大會常務委員會重新討論如 On 10 March, the Standing Committee of China’s National 何修改國家的《環境保護法》，而今期其中一篇專題 People’s Congress renewed discussions about how to amend 正是就中國在環境集體訴訟方面的發展進行分析。令 China’s Environmental Protection Law, and in this issue, we 人意外的是，中國很早已引入集體訴訟機制，而且架 feature an analysis of where the country lies with regard to environmental class-action litigation. In what may be a 構(至少在字面上)與美國採用的模式相似，但卻極少 surprise to many, China is an early adopter of class-action 予以執行。詳情可參閱內文。(詳見第53頁) litigation, the structure of which, on paper at least, is similar in parts to the US model. This has however, been rarely put in 此外，今期我們亦載有新《公司條例》系列的第二部 practice. Read on to find out (pg. 50). 分(詳見第48頁)，以及《刑事訴訟程序條例》例外罪

Elsewhere in these pages, we also have the second of a series of 行報告(詳見第40頁)。這兩篇文章分別由公司註冊處 articles on the new Companies Ordinance (pg. 44), and a report 處長及法律改革委員會秘書長執筆，絕對可靠。另 on excepted offences within the Criminal Procedure Ordinance 外，今期亦有一篇有趣的文章講述人們如何將資產從 (pg. 34). Authored respectively by the Registrar of Companies 內地轉移到港(詳見第81頁)。 and Secretary of the Law Reform Commission, these features highlight information that comes literally from the horse’s 就個人而言，今期是筆者最後一次為《香港律師》擔 mouth. There is also an interesting piece on the extent people 任編輯。我謹此鳴謝廣大讀者的支持和貢獻，亦非常 would reach to shift assets from the mainland to Hong Kong 感謝律師會和湯森路透，讓我有機會為這部深受尊崇 (pg. 78). 的刊物擔任主編。 On a personal note, this month’s Hong Kong Lawyer is my last as its editor, at least for the foreseeable future. I would like to thank its readers for their immense support and contributions, as well as the Law Society and Thomson Reuters, for having given me the opportunity to head a most esteemed title.

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

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www.sweetandmaxwell.com.hk (+852) 2847 2000 [email protected] • April 2014

PRESIDENT’S MESSAGE 會長的話

ong Kong prides itself as an open “a person who offers his services foreign lawyers with the Hand free market in every way. It has to the public as a practitioner of Law Society. To protect permitted foreign lawyers and foreign foreign law commits an offence public interest, there law firms to operate in the territory to unless he is a solicitor who satisfies are specific provisions in advise on foreign law since as early as all the requirements set forth in the Legal Practitioners the 1970s. To better regulate the foreign section 7, a barrister or a foreign Ordinance and its legal services, a statutory scheme of lawyer.” Accordingly, only a Hong subsidiary legislation admission and regulation of foreign law Kong practising solicitor or barrister or governing how a local firms and foreign lawyers in Hong Kong an overseas lawyer properly registered or foreign law firm was introduced in July 1994. with the Law Society as a foreign operates. Under the scheme, foreign law firms can lawyer in accordance with the relevant Again, I have come offer foreign legal services to the public, requirements can offer services as a across entities holding form associations and share office foreign lawyer to the public. The law is themselves out as “law space, personnel and fees with local very clear - any person falling outside firms”, but they do not law firms and even to convert to local these three categories will breach the qualify to operate as law firms nor practices as long as they comply with provision if he offers his services to the are they complying with the statutory the relevant statutory requirements. public as a foreign lawyer. requirements that govern law firms.

Since the foreign law firms and Despite the clarity of the legal position, These are very serious offences as the foreign lawyers will be providing legal it has been drawn to my attention public interest is put at risk by providers services to the public as qualified legal that overseas lawyers are working as disguising themselves as “law firms” practitioners, it is important that they paralegals in law firms but advising defrauding the public into a false be regularised for the protection of the clients on foreign law as qualified sense of security and trust that they public. overseas lawyers without being are receiving services from properly regulated and qualified legal service There are currently 1,455 foreign registered as foreign lawyers with the providers. lawyers from 31 jurisdictions and 73 Law Society. foreign law firms offering legal services Further, I have also been made aware People appear to be taking advantage of 20 jurisdictions in Hong Kong. Since that some providers are testing the of Hong Kong’s open policy in legal the introduction of the foreign lawyer waters and offering legal services from services to the detriment of the interests registration regime in 1994, the number lawyers overseas who are not registered of the public and the legal profession. of foreign lawyers registered under with the Law Society as foreign lawyers Perhaps it is time for a review of the the system has been increasing on an to the public in Hong Kong. policy. average of 8.2% over the last 19 years. Needless to say, not any company However, it has come to our attention can call itself a law firm. To carry on that some service providers are business as a law firm in Hong Kong, operating in a way that falls foul of the legislation prescribes specific the statutory requirements under the requirements. For a Hong Kong law Ambrose Lam, President pretext of innovation. firm, all partners must be practising Section 50B of the Legal Practitioners solicitors whereas for a foreign law Ordinance sets out very clearly that firm, all partners must be registered

6 www.hk-lawyer.org April 2014 • PRESIDENT’S MESSAGE 會 長 的 話

儘管法律立場相當清晰，本人注意到 有海外律師在律師行以法律輔助人員 的身份工作，卻在沒有向律師會註冊 為外地律師的情況下，以合資格海外 律師的身份向客戶就外地法律提供意 見。

此外，我亦得悉有些供應者正在投石 問路，由身處海外但未向律師會註冊 為外地律師的律師，向香港公眾提供 法律服務。

不用多說，不是任何公司均可自稱為 律師行。要在本港以律師行名義經營 業務，必須遵守法例的特定要求。就 香港律師行而言，所有合夥人必須為 執業律師；而就外地律師行而言，所 有合夥人必須為律師會的註冊外地律 師。為保障公眾利益，《法律執業者 條例》及其附屬法例載有特定條文規 管本地及外地律師行的營運方式。

再者，我知道有公司自稱為「律師 港擁有開放和自由的市場，令 務。自1994年實施外地律師註冊制 行」，但它們既不符合資格以律師行 香我們引以自豪。早在上世紀 度以來，根據該制度註冊的外地律師 身份經營，亦沒有遵從規管律師行的 70年代，香港已允許外地律師和外地 人數在過去19年間持續上升，平均達 相關法定要求。 律師行進駐經營，就外地法律提供意 8.2%。 見。為加強規管外地法律服務，香港 這些供應者偽裝為「律師行」，予人 然而，我們注意到有些服務供應者 在1994年7月引入認許及監管外地律 虛假的安全感和信任，令公眾誤以為 藉創新為名以不符合法定要求的方 師和外地律師行的法定制度。 提供服務的機構是受到適當監管的合 式營運。 資格法律服務提供者，此舉危及公眾 在該制度下，外地律師行可以向公眾 《法律執業者條例》第50B條清楚訂 利益，屬於非常嚴重的罪行。 提供外地法律服務、與本地律師行合 明，「任何人作為外地法律的執業者 組聯營組織、共用辦公室和職員及攤 似乎有人正藉香港法律服務的開放政 而向公眾人士提供服務，除非他是 分費用，而且只要符合相關法定要 策圖利，導致公眾和法律業界的利益 一名符合第7條列出的所有規定的律 求，外地律師行甚至可轉為本地律師 受損。現在也許是適當時候檢討有關 師、一名大律師或一名外地律師，否 行。 政策。 則即屬犯罪」。因此，只有香港的執 由於外地律師行和外地律師會以合資 業律師或大律師，或者已按照相關規 格法律執業者的身份向公眾提供法律 定妥為向律師會註冊為外地律師的海 服務，因此對他們作出規管以保障公 外律師，才能夠以外地律師的身份向 眾這一點非常重要。 公眾提供服務。有關法律非常明確， 就是任何人以外地律師的身份向公眾 香港目前有1,455名外地律師，分別 提供服務，但不屬於這三個類別者， 林新強會長 來自31個司法管轄區及73間外地律 即屬違反規定。 師行，提供20個司法管轄區的法律服

www.hk-lawyer.org 7 • April 2014

CONTRIBUTORS 投 稿 者

Stephen Kai-yi Wong 黃繼兒 Law Reform Commission of Hong Kong, 香港法律改革委員會秘書長 Secretary 黃律師是一名公法律師，任職政府逾 Stephen Wong is a public law counsel and has served in 30年，前為助理刑事檢控專員及副法 the government for over 30 years, formerly as Assistant 律政策專員。工餘時，他喜歡欣賞當 Director of Prosecutions and Deputy Solicitor General. In 代舞蹈和音樂表演，亦是利物浦的球 his spare time, he attends contemporary dance and music 迷。他熱愛打高爾夫球，最高差點為 performances, supports Liverpool FC and plays golf with 36。 a maximum handicap of 36.

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

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

8 www.hk-lawyer.org April 2014 • CONTRIBUTORS 投 稿 者

Li Li 李麗 King and Wood Mallesons, Associate 金杜律師事務所律師 Li Li is a member of KWM’s international dispute 李律師是金杜國際爭議解決團隊的一 resolution team. She is particularly interested in 員。她對國際仲裁尤感興趣，並就此題 international arbitration, and has published widely 目廣為撰文。加入金杜前，她於上海某 on the subject. Prior to joining KWM she clerked at 地方法院任職書記員，並取得人民大學 a district court in Shanghai, and obtained a Ph.D on 法學院博士學位，課題為司法改革。 judicial reform from Renmin Law School.

Diyu Wu 吳頔宇 Arthur Cox, Associate Arthur Cox 律師 Diyu Wu practises in the field of tax with a particular 吳律師的執業領域為稅務，而且對中國 interest in Sino-Irish opportunities. At Arthur Cox he sits 和愛爾蘭的合作機會特別感興趣。他是 on the Asia Pacific Working Group which coordinates the Arthur Cox亞太部工作小組的成員，該小 firm’s Asia Pacific strategy. Previously, he completed a 組專責協調事務所的亞太區策略。此前， secondment in KWM’s Beijing office to better understand 他曾借調到金杜律師事務所的北京辦事 the Chinese legal system on the ground. 處，以實地深入了解中國的法律制度。

Zhu Meng 朱萌 King and Wood Mallesons, 金杜律師事務所知識管理律師 Knowledge Management Associate 朱律師是金杜知識管理團隊的一員， Zhu Meng is a member of KWM’s knowledge 專門負責有關電訊、媒體及科技(TMT) management team, specialising in 的交易和案件。工餘時，她喜歡旅遊及 telecommunications, media and technology (TMT) 製作芝士蛋糕，並相信假如沒有獲法學 transactions and cases. In her spare time, she 院取錄，她大有可能會投身麵包師的行 enjoys travelling as well as making cheesecakes and believes that but for being admitted to law school, 列！ she would probably have tried her hand at being a master baker!

Tom McGinn Tom McGinn Osborne Clarke, Trainee Osborne Clarke實習律師 As a trainee solicitor with Osborne Clarke, Tom McGinn is Tom McGinn 是 Osborne Clarke 的實習 a member of the London banking team. While much of 律師，亦是倫敦辦事處的銀行團隊成 his work is transactional, he is interested in commercial 員。雖然他大部分的工作均屬事務性 dispute resolution, particularly in an IP context. Tom 質，不過他對商業爭議解決同感興趣， holds degrees in English and German law. 尤其知識產權方面。他擁有英國法和德 國法的學位。

www.hk-lawyer.org 9 • April 2014

DISCIPLINARY DECISIONS 紀 律 裁 決

Sun Lup Chung his conduct in failing to pay the fine 此違反《香港律師專業操守指引》 (the “Respondent”) of HK$10,000 as ordered by the （下稱「《指引》」）第二版第一冊 Solicitors Disciplinary Tribunal on 31 • Principles 1.02 and 6.04 of the Hong 第1.02條原則。答辯人未能及/或拒 May 2011. Kong Solicitors’ Guide to Professional 絕繳納有關罰款的行為，未能符合第 Conduct, Vol. 1, 2nd Edition On 10 February 2014, the Tribunal 1.02條原則下律師或法院人員須持有 ordered that the Respondent: Hearing date: 的應有操守標準。 23 September 2013 and 16 January 1. be censured; and 2. 律師會多次向答辯人提出查詢，要 2014 2. pay the fixed costs of these 求他就未能按照律師紀律審裁組於 proceedings as ordered by the Statement of Findings: 2011年5月31日所作的命令繳付罰款 Tribunal. 12 December 2013 10,000港元的行為作出解釋，但答辯 Tribunal Members: 人未有作出回應，因此違反《指引》 Reasons and Order: Mr. Alan H. Linning (Chairman) 10 February 2014 第6.04條原則。 Mr. David H. Glynn 2014年2月10日，審裁組下令答辯人： The Solicitors Disciplinary Tribunal Prof. Albert M. Li made the findings as follows :- 1. 受到譴責；及 1. The Respondent breached Principle 孫立忠 2. 按審裁組命令支付此審裁程序的定額 1.02 of the Hong Kong Solicitors’ (下稱「答辯人」) 訟費。 Guide to Professional Conduct, Vol 1, 2nd Edition (“the Guide”) by failing • 《香港律師專業操守指引》第二版第 審裁組成員： 李顯能先生（主席） to pay the fine of HK$10,000 after 一冊第1.02及第6.04條原則 祈連先生 it was imposed by the Order of a 聆訊日期： 李民瞻教授 Solicitors Disciplinary Tribunal on 31 2013年9月23日及2014年1月16日 May 2011 despite repeated requests and demands to do so. In acting as 裁斷陳述書： he had in failing and/or refusing to 2013年12月12日 pay the fine, the Respondent had 理由及命令： not met the expected standards of conduct required of a solicitor or an 2014年2月10日 officer of the Court under Principle 律師紀律審裁組作出以下裁斷： 1.02. 2. The Respondent breached Principle 1. 答辯人在律師紀律審裁組於2011年 6.04 of the Guide by failing to 5月31日所作的命令中，被判處罰款 respond to the repeated inquires 10,000港元，但在審裁組多次要求 made by the Law Society to explain 下，答辯人仍沒有繳付有關罰款，因

10 www.hk-lawyer.org April 2014 • FROM THE COUNCIL TABLE 理 事 會 議 題

FROM THE COUNCIL TABLE 理事會議題

Stamp Duty (Amendment) Ordinance 2014 《2014年印花稅（修訂）條例》 The Stamp Duty (Amendment) Bill 2012 on Special Stamp Duty and 關於「額外印花稅」及「買家印花稅」的《2012年印 Buyer’s Stamp Duty (“BSD”) was finally passed by the Legislative 花稅（修訂）條例草案》終於在2月22日獲立法會通 Council on 22 February and published in the gazette on 28 February. 過，並在2月28日刊憲。條例的生效日期追溯至2012 It has retrospective effect from 27 October 2012. 年10月27日。 To facilitate the payment of BSD and the processing of exemption from BSD applications, the Stamp Office has issued two sets of 為利便「買家印花稅」的付款安排及處理「買家印花 Stamping Circulars (Nos.2/2014 and 3/2014) setting out the relevant 稅」的豁免申請，印花稅署發出兩份印花通告（第 procedures and the appropriate forms to be adopted, which are 02/2014及第03/2014號），列出相關程序和適用表 posted on the website of the Inland Revenue Department at http:// 格。這兩份通告已上載至稅務局網站：http://www. www.ird.gov.hk/eng/welcome.htm. ird.gov.hk/chi/welcome.htm。 Council has also resolved to grant a waiver of the restriction in 理事會亦議決就《香港律師專業操守指引》第三版第一 Principle 13.09, Chapter 13 of the Guide to Professional Conduct, Volume 1, 3rd Edition to the extent that a solicitor is allowed to 冊第13章第13.09條原則的限制作出豁免，允許律師監 administer statutory declaration made by the buyer (and, if 誓由買家及（如適用）傳譯員為申請豁免「買家印花 applicable, the interpreter) for claiming exemption from BSD 稅」所作出的法定聲明，即使該律師的所屬律師行代表 notwithstanding the fact that his/her firm acts for any of the parties 有關買賣交易的任何一方行事，以及該傳譯員受聘於該 in the sale and purchase transaction and the interpreter is a member 律師行。 of such firm.

www.hk-lawyer.org 11 • April 2014

FROM THE SECRETARIAT

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

Solicitors’ Accounts Rules One of the most frequently asked areas in enquiries received by the 《律師帳目規則》 Secretariat relates to the Solicitors’ Accounts Rules (the “Rules”). The Rules are relatively short and simple containing 14 sections. However, an 律師會秘書處最常收到的 查詢類別之 analysis of the nature of professional misconduct cases often reveals a 一，是關於《律師帳目規 則》(下稱 comparatively high proportion of breaches of the Rules. In 2013, about 5% 「《規則》」)的問題。《規則》相對較簡短，只有14 of cases of professional misconduct related to breaches of the Rules. 條規則。然而，針對專業失當個案性質的分析顯示，違 The Law Society has conducted a review of the Rules and proposed 反《規則》的比例往往相對較高。2013年的專業行為失 certain amendments with a view to improving the drafting to enhance 當個案中，約有5%涉及違反《規則》。 a better understanding of the provisions as well as to updating the operation of the Rules to reflect the changing legal practice. 律師會已對《規則》進行檢討，並提出若干修訂，希望 The major changes include the following: 透過改善條文的草擬方式，加深業界對各項規定的了 (a) To reinforce the principles that must be observed by a solicitor in 解，並因應法律執業的轉變更新《規則》的執行方式。 relation to his or her handling of client’s money (for example, use a 主要修訂如下： client’s money for that client’s matters only; keep proper accounting records to show accurately the position with regard to the money held (a) 為加強律師就處理當事人款項而必須遵守的原則(例 for each client and each trust), a new rule will be added to list out the 如，只將當事人的款項用於該當事人的事宜上；備 applicable principles. 存妥善的會計紀錄，以準確顯示為每名當事人及每 (b) The reference to “a bank” in the definition of “client account” will 項信託而持有的款項的狀況)，將加入一項新的規則 be clarified to refer to a bank located and licensed in Hong Kong. 列出適用的原則。 It removes any ambiguity as to whether a client account can be maintained with an overseas branch of a bank licensed in Hong Kong. (b) 釐清「當事人帳戶」的定義中提到的「銀行」一 A waiver provision will be added to allow the Council to grant a waiver 詞，指明為位於香港並於香港獲發牌照的銀行。這 on a prior written application. 修訂消除了律師可否在香港持牌銀行的海外分行開 (c) Sometimes, a solicitor may receive a cheque or draft that includes 設當事人帳戶這含糊之處。另外將加入寬免條文， partly client’s money. Rule 5 provides that if the solicitor decides not 賦權理事會向事先提出的書面申請授予寬免。 to split the cheque or draft, he has to pay it into a client account. (c) 律師不時或會收到包括有當事人款項的支票或銀 Rule 5(b) will be amended to provide expressly what a solicitor has to do with the part of a payment that is not client money when he 票。第5條規定，如律師不將該支票或銀票分拆，他 decides not to split the cheque or draft. Under the amendment, if 須將該支票或銀票存入當事人帳戶。 the solicitor does not split the payment, he can pay the entire sum 第5(b)條將予修訂，明確訂出如律師不將支票或銀 into the client account provided that he or she shall transfer all office 票分拆，他應如何處理非當事人款項的那一部分款 money out of the client account within 14 days of receipt. 項。根據修訂，如律師不將款項分拆，他可以將整 (d) The existing Practice Direction J on payment of interest on a client 筆款項存入當事人帳戶中，但他須在收取該支票或 account will be incorporated into the Rules with the amendment that a solicitor will only be required to account to a client the interest 銀票後的14日內，將所有律師行款項轉離該當事人 earned in accordance with the circumstances set out in the Practice 帳戶。 Direction if the amount of interest accrued exceeds $500. (d) 現時《執業指引J》有關當事人帳戶須為可衍生利息 (e) Rule 7A allows different categories of people to authorise the drawing 帳戶的規定，將納入《規則》中，但修訂為當衍生 of money from a firm’s client account. Those categories include, 的利息款額超過500元，律師才須根據該執業指引所 for instance, a certified public accountant who can be unrelated to 載的方式就所賺取的利息向當事人作出交代。 the firm. Rule 7A will be amended to require the authorisation to be countersigned by a solicitor of the firm in whose name the client (e) 第7A條允許不同類別的人士授權從律師行的當事人

12 www.hk-lawyer.org April 2014 • FROM THE SECRETARIAT 律 師 會 秘 書 處 資 訊

account is kept or by any solicitor, partner, consultant or foreign 帳戶提取款項。此等類別包括與律師行無關的人士， lawyer of the firm where the client account is kept in the name of 例如執業會計師。第7A條將予修訂，規定有關授權須 the firm. 由以下人士加簽：(如當事人帳戶是以律師名義開設) (f) Rule 9(2) sets out the exceptions to the requirement that a solicitor 有關律師，或(如該帳戶是以律師行名義開設)有關律 shall pay client’s money held or received by him into client account. 師行的任何律師、合夥人、顧問或外地律師。 One of the exceptions deals with the payment of an agreed fee. (f) 第9(2)條列出一些例外情況，規定律師不得將由他持 Rule 9(2)(c) will be amended to clarify that for an agreed fee to be paid into office account, a bill in respect of the agreed fee has to 有或收取的當事人款項存入當事人帳戶。其中一個例 have been delivered. 外情況是關於已議定費用的付款。 (g) A new rule 9(2A) will be added to the situation whereby a payment 第9(2)(c)條將予修訂，釐清若要將已議定費用存入律師 received by a solicitor consists of costs and disbursements which 行帳戶，律師行必須已交付一份有關該事務費的費單。 may further be divided into disbursements that are paid, incurred but not yet paid or anticipated but not yet incurred. (g) 將加入新的第9(2A)條，規定律師在收取包括事務費 及代墊付費用的付款時，該付款可進一步劃分為已支 The new section provides that payment for disbursements that are incurred but not yet paid should be placed in a client account. 付的代墊付費用、已招致但尚未支付的代墊付費用， Alternatively, it can be deposited into the office account provided 又或者已預期但尚未招致的代墊付費用。 that settlement of the relevant disbursement is made not later 新條文規定，就已招致但尚未支付的代墊付費用所作 than the fourth working day following receipt from the client failing 的付款須存入當事人帳戶。另一選擇是將付款存入律 which the payment should be made into the client account not later than the fifth working day following the receipt. 師行帳戶，惟律師須在從當事人收取該項付款後的四 Regarding payment for disbursements that are anticipated but not 個工作日或之前繳付有關代墊付費用，不然則須在收 yet incurred, it should be placed in the client account. 取該項付款後的五個工作日或之前，將該部分付款存 (h) Rule 10(5) will be amended to include reference to computerised 入當事人帳戶。 system of book-keeping which has become a common form of 如該項付款是就已預期但尚未招致的代墊付費用而作 book-keeping in law firms. Further, to address the concern of 出的，則律師須將該部分付款存入當事人帳戶。 possible loss of data in a computerised accounting system, a new section 10(5A) will be inserted to impose a requirement for (h) 第10(5)條將予修訂，加入電腦簿記系統的提述，此 computer back-up capability. 簿記形式現時廣為律師行採用。此外，為處理有可 (i) Monthly profit and loss accounts will be added to the documents 能出現的電腦會計系統數據損失問題，將加入新的第 that the Council is empowered, under Rule 11, to require a solicitor 10(5A)條，規定電腦系統必須具備後備處理能力。 to produce for inspection. (i) 在理事會根據第11條有權要求律師出示以供查閱的文 These changes have been passed by LegCo via negative vetting and 件中，加入每月損益表。 will be gazetted once the commencement date of these amendments is fixed. On the other hand, the Law Society is updating the Solicitors 這些修訂已獲立法會以先訂立後審議的程序通過，而修訂 Accounting Manual and will publish the revised Manual as soon 的生效日期一經定出，即會刊憲。另一方面，律師會正 as the amendments come into operation. Training courses will 為《律師會計手冊》進行更新，並會於修訂正式實施時出 also be organised in due course to familiarise practitioners with the 版。我們亦會於適當時候舉辦培訓課程，讓執業者熟習相 amendments. 關修訂。

Profile of the profession - updated statistics 業界最新統計資料 The Secretariat keeps a record of relevant statistics with regard to the profile 律師會會員不時要求秘書處提供與業界有關的統計資料。 of the profession, and from time to time, we receive requests from members 下列是一些最新的業界統計數字(截至2014年2月底)： for updates on these statistics. For those interested in obtaining such information, do keep an eye out for this section (as of end of February2014):

Members (with or without practising certificate) 9,014 會員(持有或不持有執業證書) 9,014 Members with practising certificate 7,836 持有執業證書的會員 7,836 Trainee Solicitors 959 實習律師 959 Registered foreign lawyers 1,455 註冊外地律師 1,455 Hong Kong law firms 821 香港律師行 821 Registered foreign law firms 73 註冊外地律師行 73 Civil Celebrants 1,924 婚姻監禮人 1,924 Reverse Mortgage Counsellors 354 安老按揭輔導法律顧問 354 Solicitor Advocates 18 訟辯律師 18

www.hk-lawyer.org 13 • April 2014

Face to Face With...... 專 訪 Ernest Yang 楊大明律師

Partner, DLA Piper Hong Kong and Shanghai Member of the Chinese People’s Political Consultative Conference

歐華律師事務所香港區合夥人 兼上海市政協委員

Roden Tong 湯文龍律師

Assistant Vice President, Regional Specialty Claims Manager, Greater China Chubb Group of Insurance Companies 助理副總裁 丘博保險集團 大中華區區域理賠經理

By Carmen Chu 作者 朱慧敏

14 www.hk-lawyer.org April 2014 • COVER STORY 封 面 專 題

culture while being familiar with how Shanghai recognises it is not quite there Ernest Yang - English arbitrators and judges think in yet and needs to develop the “software” London. to be a leading international maritime Partner, DLA Piper Hong centre. Kong and Shanghai Although many PRC companies have Ernest Yang felt that success has been scarce in During the annual meeting of the Member of the CPPCC cases they have litigated in England, CPPCC in January this year, a group of there is a growing perception that 14 CPPCC members including myself Ernest is recognised as a leading instructing lawyers who can bridge prepared a report setting out our advice shipping and international trade the cultural divide will improve their on the development of the Shanghai practitioner in Asia and the UK. In 楊大明律師 chances. Free Trade Zone (“FTZ”), including addition to being a published author measures to enable the evolution of the and guest university tutor, he was also 2. How do you feel about being FTZ to go hand in hand with Shanghai’s recently appointed to be a member a member of the CPPCC development into a leading international of the Chinese People’s Political in Shanghai and helping maritime centre. Consultative Conference (“CPPCC”) in Shanghai to develop into an This culminated in a formal discussion Shanghai, and asked to advise on how international maritime centre? the Chinese city can further develop its session where there was a helpful It is a great honour. China is the world’s maritime sector. exchange of views with the Deputy Mayor largest shipbuilding nation and has the of Shanghai. There will be challenges 1. How did you get started in law? fourth largest merchant shipping fleet ahead, but I am confident that Shanghai Why did you choose to focus in the world. China has surpassed the is well placed to thrive in spite of them. US as the world’s largest trading nation on shipping and international Since this meeting took place, based trade? in 2013 whereas Shanghai is the world’s busiest container port and the world’s on figures in the first quarter of 2014, My father, Mr Philip Yang, a prominent busiest port by cargo tonnage. South Korea has retaken the mantle of international arbitrator, has always been the world’s largest shipbuilding nation, a source of inspiration. He devoted his With this “hardware”, there is no reason with China falling into second place. life to the legal education in Greater why a city like Shanghai should not There is no doubt in my mind that this China of maritime law and international already be the is due to Chinese shipyards losing too arbitration. world’s leading many cases, with many of them closing international I read law at University College London, down. Those blaming difficult market maritime before qualifying with a leading shipping conditions cannot explain away the fact centre. law firm in London and practising as that such conditions affect Korean and However, a solicitor for around six years prior to Japanese shipyards alike. China will need returning to Hong Kong many years to develop its software fast, in order to ago. My practice now consists of cases in sustain its economic development. English and Hong Kong courts, as well 3. How do shipping and as arbitrations in seats such as London, international trade laws in Hong Kong, Singapore and the PRC. My Hong Kong compare to regimes arbitration and court practice is not in other developed cities, limited to shipping and international especially Singapore and trade, but also includes disputes Shanghai? in areas such as joint ventures, The legal regimes in Hong Kong and offshore, energy and technology. Singapore are similar. Both are based Since returning to Hong Kong, I on the English common law system, and have acted frequently for PRC, are both conducive to the development Taiwanese and Hong Kong of maritime business and the resolution companies in the jurisdictions of legal disputes relating to shipping and mentioned. My clients international trade. appreciate the fact that I can However, Hong Kong cannot compete speak their language and know their with the hardware China has to offer

www.hk-lawyer.org 15 • April 2014

international trade. point. After spending several months to persuade the client, the argument was If Hong Kong can cultivate a large pool eventually advanced successfully. of local talent, truly passionate about the law, and having the cultural and linguistic Most recently, it was also wonderful to ability to bridge the East-West divide, help the China Classification Society Hong Kong will continue to do well. get fully exonerated in the Lamma IV Enquiry. 5. What gives you the greatest satisfaction in your practice? 6. What are your most What are the more interesting challenging issues?

Ernest Yang in discussions with the deputy mayor of cases you have dealt with? Despite some successes, there is still Shanghai. Being able to bridge the East-West divide a lack of understanding among PRC 楊大明律師與上海副市長的討論。 in cases gives me the most satisfaction. I clients as to the difference which a (including the volume of international am privileged to have some great clients competent dispute resolution lawyer trade and size of merchant fleet) and who have entrusted cases to me, cases can make. It still takes a lot of effort must therefore look to develop into a which often meant life and death for to motivate clients and their staff to service centre for the maritime industry. them. cooperate with us to help themselves in disputes. However, things are getting In this regard, Hong Kong faces stiff A case which may not ring any bells in better. competition from cities such as London, Hong Kong, but means a lot to me, is Singapore and, very soon, Shanghai. the English decision of Primera Maritime In a recent example, after a client had (Hellas) Ltd v Jiangsu Eastern Heavy assured me that they no longer had any 4. What are the crucial Industry ([2013] EWHC 3066). Those relevant documents in an arbitration characteristics of a good familiar with shipping will know the – despite me being certain that these shipping and international enormous wave in the last few years of documents exist - we had to make a trade legal regime? What can disputes between Chinese yards and trip to the client’s office in China. Upon Hong Kong do to up its game? shipowners based in European countries arrival, I announced that we would not In assessing the crucial characteristics and most of which have been resolved in leave unless we have been given the of a good legal regime for shipping and arbitration proceedings in London. relevant documents. Fully expecting international trade, one needs to look to struggle for at least a week, we Apart from a few exceptions, Chinese no further than the top choice for the managed to encourage the client yards have always lost. Various reasons maritime and trade business today: sufficiently to let us have the documents have been suggested, including western English law and London arbitration. just after a couple of days. conspiracy and prejudice which I do not Generally speaking, English court and believe in. Whatever the reasons may Seeing their hubby and daddy home arbitral decisions are commercial and be, our win in the Jiangsu Eastern case early brought tremendous joy to my well-reasoned. More importantly, there has been well received, including by a wife and my newborn daughter! I am are a large number of professionals in prominent maritime arbitrator who was truly grateful to my wife Mary, whose London who have a profound passion pleased the Jiangsu Eastern decision patience, tolerance and understanding for shipping and international trade. is a great advert for London, showing has allowed me to offer such devotion to The next generation of professionals the Chinese yards do not always lose in my clients. who are passionate about shipping London! and international trade also exists in That said, I do not believe clients are China, where there are a number of top Closer to home, the Hua Tian Long (HCAJ generally out to make our lives difficult. maritime universities. 59/2008) crown immunity case always The fact that many PRC clients have fills me with mixed emotions. Arguing limited actual experience of western However, I find it is getting more difficult that the “PRC government” can be a style litigation (beyond what they see to persuade the next generation in substitute for the “Crown” is almost on US television) remains the crucial Hong Kong to get their hands dirty with to suggest that Hong Kong is a colony problem. People have always feared shipping work, although I am blessed of China. To say this treads on a what they do not know. Recognising to have great colleagues who are all politically-sensitive subject is probably and bridging this cultural gap between exceptionally passionate about the law, an understatement. However, it was in the East and the West is the key to in particular in relation to shipping and the client’s best interests to take the success. n

16 www.hk-lawyer.org April 2014 • COVER STORY 封 面 專 題

楊大明 — 歐華律師事務所香港區 合夥人兼上海市政協委員

楊律師是亞洲和英國公認的一流航 運及國際貿易律師。他不但身兼作 家和大學客席教師，最近更獲委任 為上海市政協委員，並被要求提出 意見協助上海進一步發展航運業。

1. 你當初如何涉足法律？又為 何選擇專注於航運和國際貿 易？

我父親楊良宜先生是著名的國際仲裁 員，他總令我有所得着、有所啟發。他 一生的精力投入到推動大中華地區有關 海事法和國際仲裁的法律教育。

我在倫敦大學學院攻讀法律，其後在倫 敦一間以航運事務見稱的律師事務所實 習及取得資格，及後以律師身份執業約 六年，才多年前回到香港。我現時從事 的業務既有英國及香港的法院案件，亦 有在倫敦、香港、新加坡及中國進行的 仲裁案件。我處理的仲裁和法院案件並 不限於航運和國際貿易方面，亦包括合 資企業、離岸、能源和科技等領域的糾 紛。

回港後，我經常代表上述司法管轄區的 中港台企業。客戶欣賞的是，我既能操 他們的語言，了解他們的文化，同時又 熟悉英國仲裁員和法官的思考模式。

雖然不少中資企業仍然以為他們經常在 英國訢訟成功不多，但有些企業開始意 識到，委託能夠彌合文化差異的律師有 助提高勝算。

2. 出任上海政協，並能提意見 協助上海發展成為國際航運 中心，你對此有何感想？

我感到十分榮幸。中國是目前世界上最 大的造船國，商船隊的規模全球高居 第四。中國在2013年已超越美國成為

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全球最大的貿易國，而上海是全球最繁 4. 一個良好的航運和國際貿易法 5. 工作中給你最大的滿足感是什 忙的貨櫃港，其貨運量亦是全球港口之 律制度有何關鍵特點？香港可 麼？你處理過的案件中有哪些 冠。 以作何改善？ 比較有趣？

既然有了這「硬件」，上海無理由不能 只要看看現今海事和貿易業務的首選， 最大的滿足感來自能夠彌合東西方的差 成為世界一流的國際航運中心。然而， 即英國法律和倫敦仲裁，就知道一個良 異。我很榮幸有一些很好的客戶把案件 上海明白對目標還有一點距離，他們需 好的航運和國際貿易法律制度有何關鍵 交託給我，而這些案件對他們而言極其 要開發相關「軟件」才可成為領先的國 特點。 重要。 際航運中心。 一般來說，英國法院和仲裁裁決一般都 有一宗案件香港這邊可能不太熟悉，但 今年一月舉行的全國政協年會上，包括 是商業為主且理由充分。更重要的是， 對我來說卻意義重大，這就是英國的 本人在內的14名政協委員擬備了一份報 倫敦有大量對航運和國際貿易滿有熱誠 Primera Maritime (Hellas) Ltd v Jiangsu 告，列出我們對上海自由貿易區（下稱 的專才。中國新一代專才中亦有不少熱 Eastern Heavy Industry ([2013] EWHC 「自貿區」）發展的建議，包括各項促 衷於航運和國際貿易，而且當地有不少 3066)一案。熟悉航運的人都知道，過去 使自貿區演化的措施，令自貿區能夠與 頂級的海事大學。 數年中國船廠和歐洲船東之間的糾紛一 上海發展成一流國際航運中心的目標並 浪接一浪，其中大部分已透過倫敦的仲 不過，我覺得要說服香港新一代投身航 肩而行。 裁程序解決。 運業卻越見困難，但我十分幸運，身 報告最終獲安排在正式的環節中進行討 邊有一班很好的同事，他們全都對法律 除了少數的例外情況，中國船廠均被判 論，各委員與上海副市長交流意見， 格外熱衷，尤以航運和國際貿易方面更 敗訴。外界曾提出各種原因，包括西方 大有裨益。前路將有不少困難，儘管如 甚。 存有陰謀和偏見，但我皆不信。無論原 此，我相信上海具有優勢，將可蓬勃發 因為何，外界對我們在Jiangsu Eastern 如果香港能培育大量真正熱愛這門法 展。 一案獲勝非常歡迎，當中有一位著名的 律，並在文化和語言方面有能力彌合東 海事仲裁員欣然認為此案的裁決為倫敦 在這會議後，按照2014年第一季數據， 西方差異的本地人才，則香港將取得長 發揮宣傳之用，顯示中國船廠在倫敦並 南韓以取代世界第一大造船國的位置， 足發展。 不總是敗訴！ 中國跌倒第二位。我絕對相信這是因 為中國船廠在太多案件中敗訴，太多船 廠倒閉。不能把這情況怪到不良市場狀 況，因為這狀況也影響韓國與日本船 廠。中國必須快速發展相關“軟件”， 才能延續經濟發展。

3. 香港的航運和國際貿易法律與 其他發達城市的比較如何，特 別是新加坡和上海？

香港的法律制度與新加坡相似，兩者都 以英國普通法制度為基礎，而且均利於 發展海運業務，以及有關航運和國際貿 易的法律爭議解決。

然而，香港無法與中國所提供的硬件 （包括國際貿易量和商船隊的規模）匹 敵，因此香港須朝著航運業服務中心的 方向發展。就此而言，香港面對倫敦、 Ernest Yang (back row, first from left) with the DLA dragonboat team during the Legal Professional Cup. 新加坡等城市的激烈競爭，而很快上海 在法律專業盃，楊大明律師(後排左一)與DLA龍舟隊伍合照。 亦會成為香港的對手。

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香港方面，“華天龍”案 - Hua Tian Long (HCAJ 59/2008)這宗有關政府豁免權 的案件，總令我百感交集。以「中國政 府」可以取替「英皇」(Crown)這一點為 論據，幾乎是提出香港是中國的殖民地 的說法。就一個政治敏感的題目提出這 種說法，大概未能充分反映出實情。然 而，提出此論據是符合客戶最佳利益之 舉。花上多月來說服客戶後，最終成功 提出了這項論據。 Ernest Yang (back row, second from left) with the DLA football team in the Pacific Basin Sixes. 最近，在「南丫四號」的調查中協助中 在太平洋航運六人足球賽，楊大明律師(後排左二)與DLA足球隊合照。 國船級社完全撇清指控，亦屬美事。 不再備存任何與仲裁有關的文件，但我 她的耐心、寬容和諒解，讓我能夠專注 6. 對你來說，最具挑戰性之處是 肯定這些文件確存在，故此我們唯有到 於客戶的事務上。 甚麼？ 客戶位於內地的辦公室走一趟。我在抵 話雖如此，我相信客戶一般都不會特意 達後表明，除非我們獲給予相關文件， 儘管有成績可見，但內地客戶仍然不太 留難我們。主要的問題依然是，許多中 否則不會離開。我們最初預計事情至少 了解能幹的爭議解決律師可以發揮何等 國客戶對西方形式的訴訟沒有太多實際 糾纏一個星期，但最終只用了三兩天時 作用。要推動客戶和他們的員工與我們 經驗（除了他們在美國電視節目上看到 間「鼓勵」客戶，就已獲得相關文件。 合作，為他們自己的案件出力，仍需下 的之外）。人往往對不懂的事物存有 不少功夫。不過，情況正在好轉。 能夠提早回家，我太太和剛出生的女兒 恐懼。認識和彌合東西方之間的文化差 都非常高興！我非常感激我太太珊珊， 最近有一例，雖然某客戶已向我保證， 異，乃成功的關鍵。n

London in 2001 and a Master of Laws Roden Tong - degree in 2002. Assistant Vice President, I was admitted as a Solicitor of the Regional Specialty High Court of the Hong Kong Special Administrative Region in 2005. Prior to Claims Manager, joining Chubb in 2007, I had worked for Greater China, a few law firms in Hong Kong for over Chubb Group of 10 years. I specialised in commercial Insurance Companies litigation disputes, insurance and construction litigation and personal 1. How did you get started in law? injury litigation. During my days in Why did you choose to focus on private practice most of our major clients were insurance companies. This insurance? is also one of the reasons why I later At age 16, I went overseas to Adelaide, decided to further pursue my career in Australia, to attend high school and the same industry. university. I obtained my first degree with Bachelor of Arts in December 1994 I first joined Chubb in 2007 as a and thereafter decided to pursue further Specialty Claim Specialist. I was so advancement in the legal profession curious at that time how special this and successfully obtained my Bachelor role is. Chubb Specialty Insurance of Laws degree from the University of is a specialised division providing

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customers, creditors, competitors and Both Hong Kong and Singapore have government regulators, such as the well-advanced insurance laws and Securities and Futures Commission. operate effectively to protect the A protracted dispute could place a interests of existing and potential company and its directors and officers policyholders. at risk. One factor which is not always There will likely be the establishment accorded the proper weight is the often- of an Independent Insurance Authority prohibitive cost of defending allegations (“IIA”) in Hong Kong and the proposed brought against individual directors and amendments to the Insurance officers. Irrespective of the merits of the Companies Ordinance in 2015. I believe litigation, a director or officer needs to this will enhance the international be able to fund his/her defence, which regulatory standards and the stable could be very costly. development of the insurance industry. Being a Regional Claims Manager I get This new insurance regulator, which to have first-hand knowledge of unique/ will be financially and operationally complex management liability claims independent from the government, will TEEN TALK 2013 event. Mr. Roden Tong with a Form 5 student at Homantin Government Secondary School. across different jurisdictions. replace the current insurance regulator, 在青Teen講場2013，湯文龍律師與何文田官立中學一中 the Office of the Commissioner of 五女學生合照。 2. What are the characteristics of Insurance (“OCI”), which was set up by insurance for companies, associations a good insurance law regime? the Insurance Authority. and their directors & officers. Back in Do we have a good insurance A number of major changes proposed the old days, many private companies law regime in Hong Kong? in the legislative proposals include inter did not purchase insurance to help A good insurance law regime should be alia: manage their risks. Many executives stable, able to protect the interests of 1) Replacing the OCI with the IIA; whose companies did not purchase insurance policyholders and meet new 2) The IIA will be self-financed with professional and management liability challenges and market developments. income streams from insurers and insurance mistakenly believed that It also needs to be well balanced so that insurance intermediaries via licensing their companies were already protected it remains active and profitable for the fees, user fees and levies; under their general liability insurance market, although in an environment but in fact it was not the case then, and which is very competitive and now. promotes the best possible There has been a global trend of standards and performance. increased claims against directors Hong Kong has done very well and officers in recent times. Liability in maintaining stability and insurance for Directors and Officers the high standard of insurance (“D&O Insurance”) has become practitioners – underwriters, an integral part of the insurance claims personnel and brokers. programmes of many companies, due to the increasingly onerous nature 3. How do insurance of duties and responsibilities placed laws in Hong Kong on directors and officers by common compare to regimes law and the Companies Ordinance. in other developed The rate of reform in the law of recent cities, like Singapore, times includes a regime of continuous disclosure requirements. for example? Are we Chief Justice Mr. Geoffrey Ma and Mr. Roden Tong, Law Society Golf generally ahead or th A wide range of actions can be brought Convenor in the 7 Law and Order Cup Golf Tournament. behind the curve? 終審法院首席法官馬道立先生（右）與律師會高爾夫球隊召集人湯文龍律師 by any number of parties: shareholders, 於第七屆法紀盃高爾夫球賽合照。

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3) The IIA will be given new supervisory and disciplinary powers in regulating insurers and insurance intermediaries. One of the major purposes of the proposed reform is to enhance the competitiveness of Hong Kong’s insurance industry and bring Hong Kong’s insurance industry in line with the latest international standards.

4. Not surprisingly, the PRC insurance industry is growing rapidly. How developed is this market across the border? The “new” Insurance Law of the People’s Republic of China was introduced Mr. Roden Tong took part in the 9th Cross Strait Lawyers’ Golf Tournament. 湯文龍律師參與第九屆兩岸三地律師高爾夫球賽。 in 2009 to strengthen regulatory supervision and offer enhanced protection for insurance policyholders. no doubt a challenging and interesting believe one of the major reasons behind Whilst domestic insurers continue to job! I trust the most difficult issues often this is the collapse of Lehman Brothers, have the vast majority of the insurance revolve round managing customers’ which led to an increased burden of business domestically within China, expectations - with the term “customer” compliance, together with all the new international insurers have a growing representing both “internal” and requirements imposed by regulators market share. “external” ones. globally.

This can be seen particularly in The most interesting cases I have Moving forward, something that we increased demand for new products worked on, I believe, are the Lehman need to keep an eye on is whether a which are required to meet the needs Brothers related claims and the US mechanism for class actions might be of PRC companies which are listed Securities Class Action claims. We adopted in Hong Kong. This issue of overseas or simply trading globally received thousands of D&O Insurance class actions was raised some time ago and are therefore exposed to a range and professional indemnity claims, at back in March 2010, with Hong Kong’s of challenging expectations and the same time, back in 2009 due to the Law Reform Commission backing the regulation. Some developing areas collapse of Lehman Brothers. Further, introduction of a comprehensive regime include D&O Insurance, professional beginning in 2010 and accelerating in for class action to enhance greater and indemnity, financial lines and cyber 2011, plaintiffs’ lawyers filed a wave of potentially cheaper access to justice for insurance products. securities class action lawsuits against claimants. US-listed Chinese companies, many The need for new products is also often In the US, where class actions are of which obtained their US listings via driven by the express requirements of, or common, contingency fees are the reverse mergers. expectations of, regulators. norm whereas in Hong Kong the laws against champerty and maintenance 6. Are there any developments 5. What gives you the greatest are still in place. With the potential that you would like to highlight satisfaction in your practice? implementation of a class action to other practitioners, and What are some of the more mechanism in Hong Kong, there will why? interesting cases you have no doubt be an impact on financial dealt with? For one, we are seeing an increasing lines insurance like D&O Insurance trend of Regulatory Investigations Working in a multinational insurance and professional indemnity insurance claims in the last two to three years. I company with over 13,000 employees is products. n

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湯文龍 — 助理副總裁， 丘博保險集團大中華區 區域理賠經理

1. 你當初如何涉足法律？你為何 選擇專注於保險方面？

我16歲時遠赴澳洲阿德萊德就讀高中和 大學。我在1994年12月取得首個文學 士學位，其後決定進修法律，並在2001 年於倫敦大學取得法律學士學位，及在 2002年取得法律碩士學位。

我於2005年獲認許為香港特別行政區高 等法院律師。在2007年加入丘博前，我 曾在香港數間律師行工作超過10年。我 當時專門從事商業訴訟糾紛、保險和建 築訴訟，以及人身傷害訴訟。我在私人 執業的年代，主要客戶多為保險公司。 這亦是我後來決定投身保險業的原因之 一。

我在2007年加入丘博，擔任特殊保險 理賠專員。我當時非常好奇這職位究竟 有多特殊。丘博特殊保險是一個專責部 門，特別為企業、機構和其董事及高級 職員提供保險。昔日，許多私人公司均 沒有購買保險以減低風險。許多高級職 員當時錯誤以為，雖然公司沒有購買專 業及管理責任保險，但公司已受到一般 責任保險的保護，但實際上並非如此， 而且現在亦然。

近年，全球針對董事及高級職員提出的 申索有上升趨勢。由於普通法及《公司 條例》加諸董事身上的職責及責任越見 繁重，為董事及高級職員而設的責任保 險已成為不少企業的保險計劃的重要一 環。近年相關法律的改革中，包括引入 持續披露規定的制度。

股東、客戶、債權人、競爭對手和政府

22 www.hk-lawyer.org April 2014 • COVER STORY 封 面 專 題

監管機構(如證券及期貨事務監察委員 成立的保險業監理處(下稱「保監處」)。 我相信最困難的部分往往是管理顧客期 會)等各方人士均可提出各式各樣的行 望一環，而「顧客」一詞包括「內部」 當局在立法建議中提出多項主要更改， 動，而且數目不限。一場持久的糾紛 和「外部」的顧客。 其中包括： 可能為公司及其董事和高級職員帶來風 我處理過的案件中，最有趣的相信是與 1) 由保監局取代現有保監處； 險。有一個因素經常被忽視，就是為被 雷曼相關的索賠和美國證券集體訴訟索 指控的董事及高級職員個人作辯護，所 2) 保監局將以自負盈虧運作，收入將來 賠。2009年，由於雷曼倒閉，我們同一 需費用高得使人望而卻步。不論訴訟的 自向保險公司及保險中介人收取的牌 時間收到成千上萬有關董事及高級職員 成功機會如何，董事或高級職員需要為 照費、使用者費用及徵費； 和專業彌償的索賠申請。此外，從2010 抗辯出資，而費用可以非常高昂。 3) 保監局將獲賦予新的監管及執行紀律 年開始，不斷有原告人律師針對在美上 不同司法管轄區的管理責任申索有其獨 處分權力，以規管保險公司及保險中 市內地公司提出證券集體訴訟，情況在 特/複雜之處，而我作為一個區域理賠經 介人。 2011年加劇。這些公司中不少是通過反 理，需要導此有所了解。 向併購在美國上市的。 建議改革其中一個主要目的，是提升香 港保險業的競爭力，以及使香港的保險 2. 一個良好的保險法制度有何特 6. 你有任何發展想向其他從業者 業與最新的國際標準接軌。 點？香港具備這些特點嗎？ 特別提出嗎？原因何在？

一個良好的保險法制度應該是穩定的、 4. 中國保險業正迅速發展，並不 其中一事是，我們注意到監管調查的申 有效保障保單持有人的利益，並且能夠 令人意外。內地這個市場現時 索在過去兩三年間有增加的趨勢。我相 信主要原因之一是雷曼倒閉，事件令全 應付新的挑戰和市場發展。如今競爭非 有多成熟？ 常激烈，外界又提倡最佳標準及表現 球監管機構實施各種新規定，導致合規 中華人民共和國於2009年實施「新」的 提升，但制度亦需要平衡各方，令市場 的負擔大增。 《保險法》，以加強監管及為保單持有 在這樣的環境中仍能保持活躍且有利可 展望未來，我們需要密切關注的是，香 人提供更大的保障。 圖。 港會否採納一套集體訴訟機制。這個集 雖然內地保險公司繼續雄據絕大部分本 香港在維持穩定方面做得非常好，而且 體訴訟的議題在2010年3月時曾經提 地保險業務，但國際性保險公司的市場 承保人、理賠人員和經紀這些保險界從 出，當時香港法律改革委員會支持就集 佔有率正持續增加。 業員都具有高水準。 體訴訟引入一套全面的機制，以為申索 尤其從一些中資公司對新產品的需求有 人提供更容易及可能更便宜的渠道尋求 3. 香港的保險法與其他發達城市 所增加便可見一斑。這些中資公司在海 司法公正。 外上市或從事環球貿易，因此承受著各 的比較如何，例如新加坡？我 在美國，集體訴訟相當常見，按判決金 種具挑戰性的期望和監管。一些發展中 們大致上是領先抑或落後？ 額收費是常態；然而在香港，包攬訴訟 的範疇包括董事及高級職員保險、專業 香港和新加坡均擁有完善先進的保險 和助訟仍屬罪行。隨著香港有機會實施 責任、金融系和網絡保險的產品。 法，而且兩地的運作均有效保護現有及 集體訴訟機制，金融系保險(例如董事及 準保單持有人的利益。 此外，推出新產品的需求往往由監管機 高級職員和專業彌償的保險產品)無疑將 構的明確要求或期望所帶動。 受到影響。 n 香港大有可能會在2015年成立獨立保險 業監管局（下稱「保監局」）及對《保 5. 工作中給你最大的滿足感是什 險公司條例》作出修訂。我相信此舉將 麼？你處理過的案件中有哪些 令香港與國際監管標準接軌，有助保險 比較有趣？ 業的穩定發展。這個在財政和運作上獨 立於政府的新保險監管機構，將取代現 在一間擁有超過13,000名員工的跨國保 時的保險監管機構，即由保險業監督所 險公司工作，無疑既富挑戰性又有趣！

www.hk-lawyer.org 23 Sponsored Feature

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www.hk-lawyer.org 25 • April 2014

LAW SOCIETY NEWS 律師會新聞

IPBA Cocktail Party 環太平洋律師協會酒會 A cocktail party was held on 19 February 為推廣即將在加拿大溫哥華舉行的環太平 at the Law Society Clubhouse to promote 洋律師協會周年大會，該會在2月19日假 the upcoming Inter-Pacific Bar Association 律師會會所舉辦了一場酒會。 (“IPBA”) Conference in Vancouver, Canada. 律師會前會長暨環太平洋律師協會副會 At the party, Law Society Past President 長王桂壎律師，在活動上向所有來賓介 and IPBA Vice-President Huen Wong introduced IPBA President-Elect William 紹環太平洋律師協會的候任會長William A A. Scott, who presented an outline of the Scott先生。本年周年大會將於5月8至11 impressive conference programme and 日在溫哥華舉行，Scott先生在簡介中特 encouraged everyone to join the event, Mr. William A. Scott introducing the upcoming IPBA 別提到本年議程的特色，並鼓勵大家參 Conference. which will be held from 8 to 11 May. Over 加。是次酒會吸引40多位來賓出席。 William A Scott先生在活動上介紹即將舉行的環太平洋律師 40 guests attended the cocktail party. 協會周年大會的議程。

Law Society Past President and IPBA Vice-President Huen Wong From left: Mr. Allan Leung, Former Council Member of the Law Society; Ms. Bonita Chan, Member of the (left) and IPBA President-Elect William A. Scott. Law Society’s International Legal Affairs Committee; Mr. Huen Wong; Mr. William A Scott; Mr. Charles 律師會前會長暨環太平洋律師協會副會長王桂壎律師（左）熱烈歡迎 Chau, Council Member of the Law Society; and Ms. Nadine Lai, Member of the Law Society’s Standing 環太平洋律師協會候任會長William A Scott先生來港。 Committee on External Affairs. 左起︰律師會前理事梁鎮宇律師、律師會國際法律事務委員會成員陳寶儀律師、王桂壎律師、William A Scott先 生、律師會理事周致聰律師，以及律師會對外 事務常務委員會成員黎蒑律師。

Guests watching a short video introducing Vancouver and the upcoming IPBA Conference. 大家專心觀看一段介紹溫哥華及即將舉行 的環太平洋律師協會周年大會的短片。

26 www.hk-lawyer.org April 2014 • LAW SOCIETY NEWS 律 師 會 新 聞

Hong Kong Academy of Law The Academy organised a four- day training programme on the Convention against Torture Claims and Refugee Law (the “Programme”) on 21 to 22 & 24 to 25 February. The Programme attracted over 140 participants per day.

香港法律專業學會 香港法律專業學會在2月21至22 日及24至25日舉辦了為期四天的 「《聯合國禁止酷刑公約》及難民 法」培訓課程(下稱「課程」)。課

程平均每天吸引超過140人參加。 From left: Mr. Rodger Haines QC, Chairperson of the New Zealand Human Rights Review Tribunal; Mr. Reinhold Jawhari, Deputy Head of Austrian Centre for Country of Origin and Asylum Research and Documentation (ACCORD) of the Austrian Red Cross; Mr. Mark Daly, Principal of Daly & Associates; Mr. Francis Ngan, Barrister-at-law; and Ms. Patricia Ho, Associate of Daly & Associates, shared their experience in handling Convention against Torture claims. Other speakers included Mr. Peter Barnes, Barrister-at-law; Dr. Philip Beh, Associate Professor of the Department of Pathology of the University of Hong Kong; Mr. Kenneth Chan, Acting Chief Court Liaison Officer of CAT Scheme, Duty Lawyer Service; Mr. Anthony Ma, Chief Court Liaison Officer of Administration, Duty Lawyer Service; and Ms. Sally Cheung, Head of the Torture Claim Assessment Division of the Immigration Department, HKSAR Government. 左起︰新西蘭人權覆核審裁處主席Rodger Haines御用大律師、奧地利紅十字會轄下奧地利原居地及庇護研究和文檔中心 （ACCORD）副主管Reinhold Jawhari先生、帝理律師行律師帝理邁律師、顏嘉健大律師及帝理律師行律師何珮芝，分享處理 酷刑聲請案件的經驗。 其他演講嘉賓包括彭思傑大律師、香港大學病理學系副教授馬宣立博士、當值律師服務總法庭聯絡主任(署任)陳仕堅先生、當 值律師服務總法庭聯絡主任馬德明先生，以及香港特區政府入境事務處署理首席入境事務主任(酷刑聲請審理)張秀賢女士。

Judge Kevin Browne (right), Judge of the District Court, and Mr. Kamlesh Sadhwani (left), Barrister-at-law, oversaw the Continuing Professional Development workshops “Trial Techniques (Modules 1 & 2)” on 18 January and 22 February. Mr. Simon Wong (left), Accredited General Mediator, and Mr. Simon Yeung 區域法院法官鮑理賢法官（右）及金偉民大律師（左）負責為1月18日及2月22日舉行的專業進 Sai Man (right), Accredited General Mediator and Solicitor - speakers at the 修工作坊「審訊技巧（第1及2節）」進行督導。 Continuing Professional Development course “Case Sharing on Financial Dispute Mediations: FDRS or Ad-hoc Mediation Model?” on 27 February. 註冊調解員黃少雲先生（左）及註冊調解員楊世文律師（右），為2月27日舉行的專 業進修課程「金融糾紛調解案例分享：金融糾紛調解中心還是臨時調解模式？」擔 任演講嘉賓。

www.hk-lawyer.org 27 • April 2014

Standing Committee on External Affairs (“SCEA”) Huen Wong; Ms. Elsie Leung, Member of the Greater China Legal Affairs Committee (“GCLAC“); and Secretary General Heidi Chu. The parties exchanged views on the legal system, management structure of the Law Society and development of the legal profession in their respective regions.

From left: Ms. Elsie Leung, Member of the GCLAC of the Law Society, Mr. Huen Wong, Chairman of the 上海市人民檢察院到訪律師會 SCEA of the Law Society, Mr. Chen Xu, Chief Procurator of the Shanghai People’s Procuratorate, Mainland, Ms. Heidi Chu, Secretary General of the Law Society and Mr. Wei Gang, Secretary of Mr. Chen Xu. 2月20日，上海巿人民檢察院檢察長陳旭 左起: 律師會大中華法律事務委員會委員梁愛詩律師、律師會對外事務委員會主席王桂壎律師、上海巿人民檢察 先生及其秘書魏剛先生到訪香港律師會。 院檢察長陳旭先生、律師會秘書長朱潔冰律師及陳旭先生秘書魏剛先生。 律師會前會長暨對外事務常務委員會主席 Visit by the Shanghai Procuratorate, and his secretary Mr. 王桂壎律師、大中華法律事務委員會委 People’s Procuratorate Wei Gang, visited the Law Society. 員梁愛詩律師、秘書長朱潔冰律師負責接 On 20 February, Mr. Chen Xu, Chief They were received by Law Society 待。雙方交流了兩地的法律制度、律師會 Procurator of the Shanghai People’s Past President and Chairman of the 的管理架構，以及律師專業的發展概況。

Brainstorming Conference 2014 The Greater China Legal Affairs Committee (“GCLAC”) Brainstorming Conference 2014 was held in Macau on 1 March, during which the committee members discussed the work plan for the coming year. On the same day, GCLAC held the second meeting of the year and invited representatives of the Macau legal profession to dinner to discuss the co-organisation of events in Hong Kong and Macau. 2014年度腦震盪會議

2014年度大中華法律事務委員會腦震盪會議於3月 1日假澳門舉行。一眾委員在會上討論來年的工作計 劃。同日，委員會亦召開了本年度第二次會議，並

邀請澳門法律界人士出席聚餐，交流港澳兩地律師 Members of the GCLAC and Secretary General Heidi Chu attended the Brainstorming Conference 2014. 合辦活動事宜。 大中華法律事務委員會委員及律師會秘書長朱潔冰律師參加了腦震盪會議。

Visit by the Shenzhen 深圳市律師協會到訪律師會 Lawyers Association 3月6日，深圳市律師協會一行三人到 On 6 March, a delegation of three from 訪香港律師會。律師會副會長蘇紹聰 the Shenzhen Lawyers Association 律師及大中華法律事務委員會兩位副 visited the Law Society. Vice President 主席黃江天律師及林月明律師，與深 Thomas So, and Vice Presidents of the Greater China Legal Affairs Committee 圳市律師協會的代表探討安排內地律 James Wong and Emily Lam, met with 師赴港交流實習的提議。 the visitors and explored the possibility Vice President Thomas So (left) presenting a souvenir to Mr. Liang Jiandong (right), Vice-President, Shenzhen Lawyers of PRC lawyers undergoing internships Association. in Hong Kong. 律師會副會長蘇紹聰律師（左）贈送紀念品予深圳市律師協會副會 長梁建東（右）。

28 www.hk-lawyer.org April 2014 • LAW SOCIETY NEWS 律 師 會 新 聞

Visit by Tsinghua Law School Common Law Training Course Delegation On 18 March, 39 delegates from a common law training course, organised by the Law School of Tsinghua University for PRC judges, procurators and members of the People’s Court who have rich judicial experience, visited the Law Society President Ambrose Lam (centre), GCLAC Member Tony Yen (left) and Secretary General Heidi Chu Law Society. (right) providing the visitors with an overview of the legal services industry in Hong Kong. 律師會會長林新強律師（中）、大中華法律事務委員會委員嚴元浩律師（左）及秘書長朱潔冰律師（右）向到訪者分享 Law Society President Ambrose Lam, 香港法律服務業的概況。 Greater China Legal Affairs Committee famous PRC cases so that the audience 具豐富司法經驗。 Member Tony Yen and Secretary General could compare and gain a better Heidi Chu received the visitors and 律師會會長林新強律師、大中華法律事 understanding of the two systems. provided them with an overview of the 務委員會委員嚴元浩律師及秘書長朱潔 Law Society and the local legal services 清華大學內地法官與檢察官普 冰律師接待代表團，並介紹律師會與本 industry. Mr. Yen, in particular, shared 地法律服務業的概況，而嚴律師亦特別 通法培訓課程學員到訪律師會 his experience of working with the 分享他在律政司的工作經驗。團員對香 Department of Justice. 3月18日，清華大學內地法官與檢察官普 港司法程序尤感興趣，踴躍發問，亦有 通法培訓課程的代表團到訪香港律師會。 Delegates showed particular interest in 高級法官分享內地一些熱門個案，以了 代表團由39名來自不同省份的高級法 Hong Kong’s judicial procedures. Some 解、比較兩地制度。 of the senior PRC judges also shared 官、檢察官和基層人民法院代表組成，全

Visit by the Beijing 律師與代表團會面，了解中央推動內 Investment Promotion 地企業投資海外的「走出去」政策的 Bureau 最新動態。雙方並探討如何加強合 作，包括怎樣協助北京企業了解香港 A Beijing Investment Promotion Bureau (“BIPB”) delegation led by Mr. Su Hong, 法律，為邁向國際踏出第一步。 BIPB Deputy Director General, visited President Ambrose Lam (left) presenting a souvenir to Mr. Su Hong the Law Society on 10 March. (right), BIPB Deputy Director General. 香港律師會會長林新強律師（左）向北 President Ambrose Lam, Vice President 京 市 投 資 促 進 局 副 局 長 蘇 宏 先 生（右） Thomas So and Secretary General Heidi 致 送 紀 念 品。 Chu met with delegation members to obtain updates of the “Go-out” policy, which was established by the PRC government to encourage domestic enterprises to invest overseas. Both parties also explored avenues of fostering closer ties, including ways of promoting an understanding of Hong Kong law to Beijing businesses as a first step to expanding overseas.

北京市投資促進局到訪律師會

3月10日，北京市投資促進局代表團在 From left: Vice President Thomas So; Mr. Huang Yan, BIPB delegation team member; President Ambrose Lam; Mr. Su Hong, BIPB Deputy Director General; Secretary General Heidi Chu; Ms. Yang Wenhui, head of BIPB’s Large Event 其副局長蘇宏先生的帶領下，一行四人 Department; and Mr. Meng Fanyong, BIPB delegation team member. 到訪香港律師會。律師會會長林新強律 左起：香港律師會副會長蘇紹聰律師、北京市投資促進局代表團成員黃岩先生、香港律師會會長林新強律師、北京市投資 促進局副局長蘇宏先生、香港律師會秘書長朱潔冰律師、北京市投資促進局大型活動處處長楊文暉女士及北京市投資促進 師、副會長蘇紹聰律師及秘書長朱潔冰 局代表團成員孟凡勇先生。

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Home Visit to the Elderly This segment of Hong Kong’s The Community Relations Committee’s community have Community Talks and Services Working worked hard for Group organised a home visit to the many years; their elderly on 1 March with the support of contributions the Tung Wah Group of Hospitals. More to this city have than 50 volunteers, including solicitors been multifold, and their families and friends, joined the and they deserve visit. our continuous The day started with a briefing on issues care and concern, that volunteers should pay attention especially those to when visiting the elderly. Volunteers who live alone. Volunteers attending the briefing session before setting off on the home visit. 義工出發家訪前出席簡介會。 then split up into groups to visit about We hope that 60 elderly residents who live alone in Fu more volunteers will join in this good 活動開始前，大會先向義工講述探訪長者 Cheong Estate, Sham Shui Po. cause going forward. 時應注意的事項，然後把義工隊分成多個 Participants met and chatted with the 小組，啟程探訪60多名居於深水埗富昌 residents, and also handed out gift packs 長者家訪活動 邨的獨居長者。 of health food and daily necessities. 在東華三院支持下，社區關係委員會轄 It was an inspiring experience for the 各義工除了與長者聊天，亦送上附有健康 下的社區講座及服務工作小組於3月1日 volunteers, who saw how well the elderly 食品和日用品的禮物包。這些長者儘管未 took to living despite having to live away 舉辦長者家訪活動。參與的義工超過50 能與家人同住，但仍活得充實，令參與是 from their families. 人，包括律師和其親友。 次活動的義工有所啟發。

長者默默耕耘多年，對 香港貢獻良多，應該得 到我們的持續關顧，尤 以獨居長者為甚。希望 將來有更多律師加入我 們的行列，為有需要的 人獻出關愛。

Ms. Nadine Lai, Member of the Standing Committee on External Affairs and Community Relations Committee, was among the volunteers supporting the event. Ms. Sauw Yim, Vice Chairlady of the Community Talks and Services Working 律師會對外事務常務委員會成員暨社區關係委員會成員 Group, thanking the volunteers for their enthusiastic support. 黎蒑律師，是支持是次活動的義工之一。 社區講座及服務工作小組副主席蕭艷律師感謝各義工的踴躍支持。

More than 50 volunteers, including solicitors and their families and friends, joined the event. 參與的義工超過50人，包括律師和其親友。

30 www.hk-lawyer.org April 2014 • LAW SOCIETY NEWS 律 師 會 新 聞

Volleyball: Goodbye 2013 排球：再見2013，你好2014！ 於同一年贏得男女子組冠軍的隊伍。 and Hello 2014! 2013年對律師會排球隊而言是豐碩的一 我們的確做到了！衛冕對各女子組而言亦 The Law Society Volleyball Team had a 年，我們參加了多項精彩刺激的友誼賽， 絕非難事，她們先於一月五日成功地擊敗 fruitful year in 2013 marked with plenty 與區內的球隊切磋競技。 香港建築師學會及香港醫學會，然後在決 of friendly and competitive matches with 勝局以驚人的成績25比4擊敗香港測量師 近年底時，我們在香港專業團體康體會的 friends around the region. 學會奪冠。 比賽中與其他香港專業團體一較高下。 Towards the end of the year, the 此外，律師會主辦了一場友誼賽，與早前 律師會男子組迎戰香港建築師學會、香港 team competed against other 訪港的新加坡律師會排球隊切磋球技。我 測量師學會及香港醫學會時戰況緊湊，以 professional bodies in Hong Kong in the 們非常感謝獅城的同業特此到港一行，與 對香港測量師學會的比賽尤為激烈。賽事 Recreation and Sports Club for Hong 我們進行一場這麼精彩的賽事。 Kong Professional Bodies (“RSCP”) 未到最後一刻仍難分勝負，律師會在決勝 competition. 局贏了一仗，與香港測量師學會一同成為 律師會排球隊在2014年將繼續舉辦各項 雙冠軍。 活動，希望各會員踴躍參加。 On 1 December 2013, The men’s team 男子組的成功激起女子組衛冕的鬥志，特 battled closely against the Hong Kong 林秋華律師 Institute of Architects (“HKIA”), Hong 別是律師會有望開創先河，成為唯一一支 律師會排球隊隊員 Kong Institute of Surveyors (“HKIS”) and the Hong Kong Medical Association (“HKMA”), with the HKIS providing the toughest challenge. The winner was not decided until the final moment, with the Law Society being crowned as a joint- champion with HKIS after a tied score count. The success of the men’s team inspired the ladies’ team to defend their title, especially as the Law Society stood to create history by being the only team to win both crowns in the same year. Group picture of the men’s team with Mr. Ray Wong, team coach (standing, far left) And create history we did, with the ladies’ Back row, starting from the second on the left: Mr. William Wong, Mr. David Ting, Mr. Jun Deng, Mr. Stanley Chong, Mr.Brandon Chuk, and Mr. Alfred Li. team finishing top after beating the HKIA Front row, from left: Mr. Vincent Chow, Mr. Cliff Ip, Mr. Geoffrey Kam, Mr. Chris Chuang, and Mr. Jeffrey Lee. and HKMA resoundingly on 5 January. 男子組與排球隊教練黃俊偉先生（站立者左一）合照。 Our ladies proved difficult to dethrone, as 後排左面第二位起：黃偉強律師、丁志浩律師、鄧峻律師、莊祿滔律師、祝笑虹律師及李浩民律師。 they wrapped up the deciding set against 前排左起：周俊榮律師、葉瑋璣律師、金輝律師、莊嚴律師及李子逸律師。 the HKIS with an amazing score of 25-4. The Law Society also hosted a friendly match with our learned friends from Singapore when the Lion City’s Law Society Volleyball Team visited Hong Kong. We would like to take this opportunity to thank our Singapore friends for making the trip and being a great opponent. The Law Society Volleyball Team will continue to organise events in 2014 and we hope more members will join us in the Group picture of the women’s team with Mr. Ray Wong, team coach (middle, with cap), and Mr. Nick Chan, Vice Chairman of the Recreation and Sports Committee and Honourary Team Captain (far right) future. The victorious ladies, from left: Ms. Elizabeth Wong, Ms. Christy Cheung, Ms. Deborah Cheng, Ms. Katie Lam, Ms. Victoria Wu, Ms. Sally Ho, Ms. Elsie Chu, , Ms. Honnah Lee, Ms. Cherry Lo, Ms. Iris Cheng, and Ms. Serena Lim. Ms. Serena Lim 女子組與排球隊教練黃俊偉先生（中，戴帽者）及康樂及體育委員會副主席暨榮譽隊長陳曉峰律師（右一）合照。 Member, Law Society Volleyball Team 成功奪冠的女隊員（左起）：黃美倫律師、張嘉惠律師、鄭若曦律師、林慧嘉律師、胡仲霖律師、何佩琳律師、朱嘉敏律師、李康南 律師、盧綽元律師、鄭珣律師及林秋華律師

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Lui and Mr. David Luk I wish to thank all team members for their support. We look forward to playing together again.

Sylvester Sung Captain, Law Society Table Tennis Team 乒乓球：2014年律師會會際 乒乓球比賽 2014年律師會會際乒乓球比賽於3月16 日舉行，是新舊會員之間的對戰，賽情非 常緊湊。我們進行了多輪精彩的賽事，一

From left: Ms. Yanice Man, Mr. Gareth Ng, Mr. Richard Lo, Mr. Sylvester Sung, Mr. Simon Yung, Mr. Jet Luk, Mr. David 同度過一個充滿樂趣的早上。 Luk and Mr. Ben Lui. 左起︰文詠欣實習律師、吳懷駿律師、盧永熾律師、宋承輝律師、翁宗榮律師、陸禮傑律師、陸耀宗律師及雷耀輝律師。 冠軍：宇宙隊 - 宋承輝律師、陸禮傑律 師、文詠欣實習律師及吳懷駿律師 rounds of intense matches and spent a Table-tennis: The Law 亞軍：魔鬼隊 - 盧永熾律師、翁宗榮律 fun-filled morning together. Society Internal Table 師、雷耀輝律師及陸耀宗律師 Tennis Competition 2014 Champion: Universe Team - 我非常感謝所有隊員的支持，期待大家再 The Law Society Internal Table Tennis Mr. Sylvester Sung, Mr. Jet Luk, Ms. 次聚首切磋。 Competition 2014 on 16 March saw an Yanice Man and Mr. Gareth Ng exciting match-up between existing First runner-up: Devils Team - 宋承輝律師 members and new blood. We enjoyed Mr. Richard Lo, Mr. Simon Yung, Mr. Ben 律師會乒乓球隊隊長

Member Benefit: The Law Society Annual Christmas Party 2013 The Law Society held its 3rd Annual Christmas Party at Hard Rock Café, Lan Kwai Fong on 16 December 2013. Granted, this piece of information comes slightly late into the year but as with all positive news, it is better late than never. Despite the December chill and rainy weather, more than 380 members and guests including Chief Justice Geoffrey Ma and Secretary of Justice Rimsky Yuen, SC showed up to celebrate the festive season, with members enjoying a three-hour live concert complete with wine and various delicacies. The theme of our party this year was Rock n Roll/Animal Print. Members came dressed up for the Best Dress Competition, which Mrs. Cecilia Wong took away in her gorgeous animal print outfit.

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Our VIP Live Band, which comprised Past President Huen Wong, Mr. Alfred Fung and Mr. Jingle Yung, rocked us with their splendid performance, as did the Law Society Live Band TLF, which once more wowed members with their singing skills. I would like to thank members of the Member Benefit Committee for organising the event, as well as the respective band for what were truly great performances. 雖然12月寒意陣陣，超過380名會員及嘉 由前會長王桂壎律師、馮昌詒律師及容正 Bonita Chan Chairlady, Member Benefit Committee 賓仍踴躍出席，其中包括終審法院首席法 達律師組成的貴賓樂隊作出精彩的表演， 官馬道立法官及律政司司長袁國強資深大 令人熱血沸騰，而律師會樂隊TLF的高超 會員權益： 律師。大家一邊享用各種美酒佳餚，一邊 歌唱技巧，再一次令各會員為之驚嘆。

律師會周年聖誕派對2013 欣賞三小時的音樂會，歡度佳節。 本人藉此向落力籌辦是次活動的會員權益 2013年12月16日，律師會假蘭桂坊的 這年派對的主題是搖滾樂/動物圖案。多 委員會成員，以及獻出多項精湛演出的樂 Hard Rock Café舉行第三屆周年聖誕派 位會員為競逐「最佳衣著大獎」而一身獨 隊致謝。 對。這則新聞雖來得稍遲，但分享樂事猶 特打扮，獎項最後由黃吳潔華律師以美麗 陳寶儀律師 未晚。 的動物圖案裝束贏得。 會員權益委員會主席

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REPORT ON EXCEPTED OFFENCES UNDER SCHEDULE 3 OF THE CRIMINAL PROCEDURE ORDINANCE (Cap. 221)

《刑事訴訟程序條例》(第221章) 附表3所列的例外罪行報告書

By Stephen Kai-yi Wong, Secretary Law Reform Commission* 撰文 黃繼兒秘書長 香港法律改革委員會*

* The Law Reform Commission currently comprises Rimsky Yuen, SC (Chairman); Chief Justice Geoffrey Ma; Mr. Justice Robert Tang Ching; Paul Wan How-leung; John Budge; Peter Rhodes; Prof Michael Wilkinson; Eleanor Ling; Angela Lee; Anderson Chow, SC; Eugene Fung, SC; Prof Lin Feng; and Christine Fang. 香港法律改革委員會現任成員有：袁國強資深大律師（主席）、終審法院首席法官馬道立、終審法院常任法官鄧國楨、尹效良、白仲安、羅德士、 韋健生教授、林李靜文、李慧賢、周家明資深大律師、馮庭碩資深大律師、林峰教授及方敏生。

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the offence contrary to Section 17 of the Existing provisions on Offences Against Persons Ordinance excepted offences (Cap. 212) which could vary greatly in its There are two provisions relating to gravity by making it an excepted offence. the “excepted offences” in the Criminal Subsequently, the Law Society Procedure Ordinance (Cap. 221). Section commissioned the Centre for 109B(1) of Cap. 221 provides: Comparative and Public Law of the “(1) A court which passes a sentence University of Hong Kong to compile of imprisonment for a term of not a report (the “HKU CCPL Report”), more than 2 years for an offence, which concludes that there are other than an excepted offence, substantial reasons for eliminating the may order that the sentence shall list of exceptions altogether or at least not take effect unless, during a removing those offences that do not period specified in the order, being invariably cause serious physical violence not less than 1 year nor more than to others. 3 years from the date of the order, In January 2013, the Law Reform the offender commits in Hong Kong Commission of Hong Kong (the another offence punishable with “Commission”) was tasked with a review imprisonment and thereafter a of the relevant law. In March 2013, the court having power to do so orders REPORT ON EXCEPTED Hong Kong Bar Association expressed under section 109C that the original its views that the concept of excepted sentence shall take effect.”; and offences is outdated and should be Sections 109A(1) and (1A) provide: abolished in its entirety. OFFENCES UNDER SCHEDULE 3 “(1) No court shall sentence a In June 2013, the Commission published person of or over 16 and under a public consultation paper. The majority 21 years of age to imprisonment of the responses favoured the repeal of unless the court is of opinion that OF THE CRIMINAL PROCEDURE the list of excepted offences. no other method of dealing with On 25 February 2014, the Commission such person is appropriate; and published its Report (the “Commission’s for the purpose of determining ORDINANCE (Cap. 221) Report”) (http://www.hkreform. whether any other method of gov.hk) recommending the repeal dealing with any such person is appropriate the court shall obtain Introduction of Schedule 3 in its entirety. The Commission believes that there is and consider information about In March 2010, the Criminal Law and no cause to worry that the repeal the circumstances, and shall take Procedure Committee of the Law Society will increase the risk of harm to the into account any information before of Hong Kong wrote to the Secretary community, or send a wrong message the court which is relevant to the for Justice calling for an update of the character of such person and his to society in that offenders of serious law with a view to giving the court the physical and mental condition. crimes will “walk free” with a suspended full discretion to impose any sentences sentence. (1A) This section shall not apply to appropriate to the facts before it rather a person who has been convicted of than being arbitrarily restricted in cases The report aims to restore the court’s full any offence which is declared to be of excepted offences, citing also the discretion in imposing an appropriate an excepted offence by Schedule 3.” Court of Appeal’s decision in AG v Ng and adequate sentence having regard Chak Hung [1995] 1 HKCLR 112. In this to the gravity of the offence and the case, the Court of Appeal expressed the circumstances of the convicted person. The “excepted offences” view that it was unfortunate that the The recommended repeal will also under Schedule 3 of Cap. 221 legislature had seen it fit to remove the remove the anomalies of the list of The excepted offences declared by option of a suspended sentence from excepted offences under the current law. Schedule 3 of Cap. 221 are:

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• Manslaughter; s.29 Causing gunpowder to explode, and conditions of licence, etc.; etc., or throwing corrosive fluid, • Rape or attempted rape; • Any offence against Section 10 or 12 with intent to do grievous bodily • Affray; of the Theft Ordinance (Cap. 210) - harm; s.10 Robbery; • Any offence against Sections 4, 5 or s.30 Placing gunpowder near 6 of the Dangerous Drugs Ordinance building, etc., with intent to do s.12 Aggravated burglary; (Cap. 134) - bodily injury; • Any offence against Section 33 of the s.4 Trafficking in dangerous drug; s.36 Assault with intent to commit Public Order Ordinance (Cap. 245) - s.5 Dangerous drug not to be offence, or on police officer, etc.; s.33 Possession of offensive weapon supplied except to person s.42 Forcible taking or detention of in public place; authorized or licensed to be in person with intent to sell him; • Any offence under Section 4 or 10 of possession thereof; the Weapons Ordinance (Cap. 217) - • Any offence or attempted offence s.6 Manufacture of dangerous drug; against Section 122 of the Crimes s.4 Possession of prohibited • Any offence contrary to Sections Ordinance (Cap. 200) - weapons; and 10, 11, 12, 13, 14, 17, 19, 20, 21, 22, 23, s.122 Indecent assault; s.10 Offences relating to martial arts 28, 29, 30, 36 or 42 of the Offences weapons. Against the Person Ordinance • An offence under any Section in Part (Cap. 212) - III of the Firearms and Ammunition Background of the current law Ordinance (Cap. 238) - s.10 Administering poison or The Criminal Procedure (Amendment) wounding with intent to murder; s.13 Possession of arms or Bill 1971 introduced the concept of s.11 Destroying or damaging ammunition without licence; suspended sentences to Hong Kong. building with intent to murder; s.14 Dealing in arms or ammunition The Bill’s provisions broadly followed those of the Criminal Justice Act 1967 s.12 Setting fire to or casting away without a licence; in England. However, neither the Bill ship with intent to murder; s.15 Giving possession of arms or initially put forward by the Government s.13 Attempting to administer ammunition to unlicensed nor the English Act incorporated any poison, or shooting, or person and obtaining reference to “excepted offences”. The attempting to shoot or drown, possession by false pretences; creation of excepted offences was the etc, with intent to murder; s.16 Possession of arms or result of strong opposition from the s.14 Attempting to commit murder ammunition with intent to unofficial members of the Legislative by means not specified; endanger life; Council, who expressed concern at “the s.17 Resisting arrest with or s.17 Shooting or attempting to sharp increase in crime, and especially committing offence while shoot, or wounding or striking violent crime, since 1960” (HK Hansard, in possession of arms or with intent to do grievous bodily 20 January 1971, at 350, per Oswald ammunition or imitation harm; Cheung). s.19 Wounding or inflicting grievous firearm; In response, the then Attorney General, bodily harm; s.18 Carrying arms or ammunition or Denys Roberts, emphasised that a s.20 Attempting to choke, etc, in imitation firearm with criminal suspended sentence was “not intended order to commit indictable intent; to provide a soft way of dealing with offence; s.19 Trespassing with arms or criminals.” (HK Hansard, 20 January s.21 Using chloroform, etc, in order ammunition or imitation 1971, at 355, per Oswald Cheung). He to commit indictable offence; firearm; added that the Government conceded s.20 Possession of an imitation s.22 Administering poison, etc., so to the demand of the unofficial firearm; as to endanger life or inflict members but expressed that it was the s.21 Converting imitation firearm grievous bodily harm; Government’s hope that the excepted into a firearm; s.23 Administering poison, etc, with offences could be done away with at s.22 Dangerous or reckless use of intent to injure, etc.; some point. s.28 Causing bodily injury by firearm, etc.; Moreover, the Government considered gunpowder, etc.; s.23 Failure to comply with terms

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that if certain offences were to be of Hong Kong), pg. 20 - http://www. excluded from suspended sentences, hkreform.gov.hk/en/docs/SuspSent- it would be appropriate that the same FinalRpt-LSHK-Sept2012.pdf). offences should be excluded from the Argument in favour of maintaining operation of Section 109A of Cap. 221, the list of excepted offences (See which laid down the principle that young also Report on Reforming Suspended offenders should not be sent to prison Sentences in Hong Kong (Sept. 2012), unless the court was satisfied that Centre for Comparative and Public Law no other method of dealing with the (University of Hong Kong), pg. 15) offender was suitable. The main argument in favour of Overseas positions maintaining the list of excepted offences appears to be the concern in Chapter 3 of the Commission’s the early 1970s with the prevalence Report examines the relevant laws of violent crime in Hong Kong that in Australia, Canada, New Zealand, required exceptions to what appeared Singapore and the UK. The option of to local legislators then as being a soft suspending an imprisonment sentence sentencing option. in Australia (except Victoria) and the UK is applicable to all offences, in other Arguments in favour of reform (See words, there are no excepted offences. also Report on Reforming Suspended Sentences in Hong Kong (Sept. 2012), In Victoria (Australia), the Sentencing Centre for Comparative and Public Law Amendment (Abolition of Suspended (University of Hong Kong), pg. 15 - 21) Sentences and Other Matters) Act 2013 provides for the full abolition of The main arguments for abolishing the suspended sentences in stages. In New list of excepted offences include: Zealand and Singapore, suspended (1) The significant fall in the prevalence sentence is not a sentencing option. of violent crimes in Hong Kong since In Canada, “conditional sentences of the 1970s is an important societal imprisonment” (a hybrid of suspended circumstance to consider when sentence, intensive supervision and evaluating the need to maintain or probation order) cannot be ordered in reform the list of excepted offences. relation to certain serious offences such Hong Kong is now a much safer as serious personal injury (including place than before and the prevalence sexual assault), terrorism or criminal of violent offences has decreased organization. The 2012 amendment significantly since the 1970s. of the Criminal Code has effectively The original rationale for having expanded the list of offences for which exceptions therefore no longer imprisonment sentences cannot be applies. served in the community. (2) In the absence of a suspended The Commission has also noted that, sentence option, offenders, of the jurisdictions studied that have a whose circumstances could merit similar suspended sentence power, none a suspension, will normally be have maintained exceptions as wide and imprisoned. Some of the excepted extensive as those under the current offences, such as attempted indecent law in Hong Kong (See also Report assault and the weapons related on Reforming Suspended Sentences offences, can occur in a wide range of in Hong Kong (Sept. 2012), Centre for circumstances, including exceptional Comparative and Public Law (University circumstances (eg offence

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occurring without circumstances of served in its entirety. a person of or over 14 years of age is aggravation, first-time remorseful convicted of an offence punishable with (5) The anomalies of the list of excepted offender with little risk of re- imprisonment “. There is no exclusion in offences are of two kinds. First, the offending) which would ordinarily respect of excepted offences. list is not comprehensive. Other justify a suspended sentence. violent and serious offences have On the contrary, the court may have been left out. In addition, many Views of Hong Kong judges no better alternative but to order other serious sexual offences are not and judicial officers probation (or a community service on the list. (See Crimes Ordinance Views of all judges and judicial officers order) when a suspended sentence (Cap. 200), such as non-consensual at different levels who hear mainly is more appropriate. Whether the buggery, assault with intent to or exclusively criminal cases as to sentence is too harsh (imprisonment) commit buggery, gross indecency, whether in their experiences there or too soft (probation), there bestiality, intercourse with a girl was any unease or feeling of injustice will inevitably be cases involving under 13 or under 16, intercourse arising from the statutory restriction excepted offences that will push the with mentally incapacitated person, imposed by Schedule 3 of Cap. 221 (ie court in either of these directions abduction of unmarried girl under no suspended sentences for excepted given the lack of a suspended 16, trafficking in persons to or from offences) were sought in mid-2012. sentencing option. Hong Kong.) The vast majority (80% of those who In both scenarios, injustice could This means that those convicted of responded) of the judges and judicial result. such offences (say intercourse with officers who responded, for the following (3) Another important consideration a girl under 13 years), in theory, can reasons, agree with or support complete is the need to allow judges and be entitled to a suspended sentence removal of the statutory restriction or at magistrates a wide degree of of imprisonment. The second kind of least the restriction in respect of certain discretion to achieve a just and anomalies concerns the less serious offences (namely, indecent assault and appropriate sentence. The list offences that exist on the list (say wounding): of excepted offences is not only attempted indecent assault), with (a) the court’s discretion should not be anachronistic (unanchored by the possible result that the court fettered; its historical justification), but has no discretion but to impose a also applies across-the-board term of immediate imprisonment (b) for serious offences, the restriction in a disproportionate manner where a non-custodial sentence is superfluous since it is unlikely to

to all offenders charged with is not appropriate.(These are the be applicable, but for less serious certain offences irrespective of summary conviction offences for offences where the power to suspend circumstances. which the maximum penalty is three sentence is needed, the restriction years imprisonment or less. Many will tie the court’s hands; and (4) There is no reason to believe that of these offences can be committed repealing the exceptions will (c) the court is forced to pass a sentence without any actual physical violence lead to either more offending or which is disproportionate or does not inflicted on another person, eg the an increased risk of harm to the reflect the criminality of the offence. firearm and weapons offences and community. Suspension will continue the inchoate offence of attempted to be made for exceptional cases indecent assault.) only. Views of the Law Society and These anomalies can give rise to the Bar Association Hong Kong courts can be trusted a general sense of unfairness and to continue to imprison offenders Upon considering the HKU CCPL arbitrariness. who pose a substantial risk to the Report, the Law Society’s Criminal Law community. The current suspended It is also noted that no similar restriction and Procedure Committee concludes sentence power allows for the applies in respect of community that the concept of “excepted offences” imposition of conditions, which if service orders. Section 4(1) of the is outdated and Schedule 3 of Cap. 221 breached during the operational Community Service Orders Ordinance should be abolished in its entirety. This period can trigger the court to order (Cap. 378) empowers the court to make conclusion is shared by the Hong Kong that the suspended sentence be a community service order “where Bar Association.

38 www.hk-lawyer.org April 2014 • REFORM 改 革

Public Consultation violent crimes dropping by 43% from which should not be tampered with unless there is a strong reason to do so. The consultation paper was published 1975 to 2005 and the statistics of In contrast, violent crime in general is by the Commission in June 2013, and the violent crimes from 2003 to 2013 no longer a real concern as in the 1970s consultation period ended in September remaining stable considered; (which was the reason for enacting 2013. There were responses from 39 (2) Judges and magistrates in Hong Section 109A(1A)). respondents as set out in the Annex at Kong would exercise their sentencing the end of the Commission’s Report. discretion without restrictions Consequential upon the recommended Twenty-eight of these respondents were cautiously and fairly, having regard repeal of the list of excepted offences in favour of the recommendation, while to all the circumstances of the case; under Schedule 3, the Commission also five were against it. The remaining six (3) Given the current lack of a recommends the repeal of Section were neutral or chose not to express suspended sentence option, there 109A(1A). views. are cases where the sentence may be The effect is that the long-standing Those in favour of reform generally too harsh (imprisonment) or too soft statutory rule introduced in 1967, which endorsed the arguments for the repeal (probation). In both scenarios, the stipulates that young offenders should of the entire Schedule 3. court’s hands are tied, and injustice not be imprisoned unless there is no could result, whether to the victims other appropriate method of dealing The arguments of those opposing or offenders; with them, would remain good law, the repeal of Schedule 3 could be free from the restriction of excepted summarised as follows: (4) The court has to be consistent in its sentencing in respect of the offences. n (1) Public sentiments at the time of same offence under the same introducing Schedule 3 still ring true; circumstances, but not necessarily (2) Deterrent effect of imprisonment in relation to the same offence with should be maintained; different factual matrix; (3) Existing sentencing options are (5) The “pick and choose” process, as adequate; opposed to repealing the list of (4) Consistency should remain an excepted offences in its entirely, important factor in sentencing; may not be practicable and may be regarded as arbitrary. (5) Schedule 3 could be revised but not repealed. The Commission recommends Conclusions and the repeal of the excepted Recommendations offences in its entirety Suspended sentence under Section as listed in Schedule 3 of 109B, Cap. 221 the Criminal Procedure Ordinance, Cap. 221 in The Commission has carefully considered the views and comments relation to Section 109B. of the respondents for and against a Restriction on imprisonment of change of the status quo, as well as persons between 16 and 21 years of their other suggestions. In particular, age under Section 109A, Cap. 221 the Commission has addressed In response to the consultation paper, the concerns of those opposing the some respondents suggested clarifying proposed reform (See paras. 5.13 - 5.20 whether the proposed repeal of of the Commission’s Report): Schedule 3 is also applicable to Sections (1)`The public sentiments behind the 109A(1) and (1A) of Cap. 221. creation of the excepted offences The Commission concludes that Section some 40 years ago have long gone, 109A(1) has been a long-standing rule the per-capita rate of reported

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中，有兩項條文是與「例外罪行」有關 的。第221章第109B(1)條規定：

「(1) 如法庭就並非例外罪行的罪行， 判處刑期不超逾2年的監禁刑罰，法 庭可作出命令，規定除非在命令所指 明的期間(自命令之日起不少於1年及 不超逾3年)內，有關的罪犯在香港犯 另一可懲處監禁的罪行，而隨後有權 根據第109C條命令原來刑罰須予執行 的法庭如此作出命令，否則該刑罰不 得予以執行。」

第109A(1)及(1A)條規定：

「(1) 對任何年屆16歲或超過16歲而 未屆21歲的人，法庭除非認為沒有其 他適當的方法可處置該人，否則不得 判處監禁；就決定任何其他處置該人 的方法是否適當而言，法庭須取得和 考慮有關情況的資料，並須顧及在法 庭席前的任何關於該人的品格與其健 康及精神狀況的資料。 導言 例。2013年3月，香港大律師公會表 香港律師會轄下的刑法及訴訟程序委員 達其看法，認為例外罪行的概念已經過 (1A) 本條不適用於就附表3宣布為例 會於2010年3月去信律政司司長，要求 時，應該完全廢除。 外罪行的罪行而被定罪的人。」 把法律更新，賦予法庭全面的酌情決定 2013年6月，法改會發表公眾諮詢文 第221章附表3所列的「例外罪 權，可以根據所審理案件的事實判處任 件。大多數的回應都支持廢除例外罪行 行」 何適當的刑罰，而不是在例外罪行案件 列表。 中受到任意的限制。信中引述了上訴法 第221章附表3所列的例外罪行如下： 2014年2月25日，法改會發表報告書( 庭在AG v Ng Chak Hung [1995] 1 HK- • 誤殺； 下稱「法改會報告書」)(http://www. CLR 112 一案的判決。在此案中，上 hkreform.gov.hk)，建議廢除整個附表3 • 強姦或企圖強姦； 訴法庭表示，此項違反《侵害人身罪條 。法改會相信，無需擔心廢除例外罪行 • 毆鬥； 例》（第212章）第17條的罪行本身的 會令社會受害的風險增加，亦無需擔心 • 違反《危險藥物條例》（第134章） 嚴重程度可以有很大的差異，不幸地立 會向社會發放錯誤信息，令人以為嚴重 第4、5或6條的任何罪行— 法機關卻認為適宜把此罪行列為例外罪 罪行的罪犯會因獲判緩刑而得以「逍遙 第4條 危險藥物的販運； 行，以致不可就此罪行判處緩刑。 法外」。 第5條 除向獲授權或獲發許可證管 其後，律師會委託香港大學比較法及公 報告書旨在恢復法庭的全面酌情決定 有危險藥物的人供應外，不 法研究中心撰寫研究報告書（下稱「港 得供應危險藥物； 權，讓法庭經考慮罪行的嚴重程度和被 大研究中心報告書」），得出的結論是 第6條 危險藥物的製造； 定罪者的情況後，可全權酌情判處適當 有實質理由支持把例外罪行列表整個廢 而足夠的刑罰。按建議廢除例外罪行列 • 違反《侵害人身罪條例》(第212章) 除，或至少刪除那些不一定會對他人造 表，亦可消除現行法律的不合理之處。 第10、11、12、13、14、17、19 成嚴重暴力傷害的罪行。 、20、21、22、23、28、29、30 2013年1月，香港法律改革委員會 關於例外罪行的現有條文 、36或42條的任何罪行－ （下稱「法改會」）受託檢討有關法 在《刑事訴訟程序條例》（第221章）

40 www.hk-lawyer.org April 2014 • REFORM 改 革

第10條 意圖謀殺而施用毒藥或傷 第16條 意圖危害生命而管有槍械或 時任律政司羅弼時在回應時強調，緩 人； 彈藥； 刑「並非旨在提供一個處置罪犯的溫和 第11條 意圖謀殺而摧毀或破壞建築 第17條 以槍械或彈藥或仿製火器拒 手段」（香港立法局會議過程正式紀 物； 捕或犯罪時管有槍械或彈藥 錄，1971年1月20日，第355頁，張奧 第12條 意圖謀殺而放火燒船或破壞 或仿製火器； 偉議員的發言）。他補充說，政府決定 船舶； 第18條 攜帶槍械或彈藥或仿製火器 對非官守議員的要求作出讓步，但表示 第13條 意圖謀殺而企圖施用毒藥或 意圖犯刑事罪； 政府希望在日後能夠把例外罪行刪除。 射擊或企圖射擊、淹溺等； 第19條 攜有槍械或彈藥或仿製火器 此外，政府當時認為如果緩刑不適用 第14條 以未有指明的方法企圖謀 侵入； 於某些罪行，則這些罪行亦不應包括在 殺； 第20條 仿製火器的管有； 第221章第109A條的施行範圍內。第 第17條 意圖造成身體嚴重傷害而 第21條 將仿製火器改換為火器； 109A條訂有以下原則：除非法庭確信沒 射擊、企圖射擊、傷人或打 第22條 危險使用或罔顧後果使用火 有其他適當的方法可用以處置青少年罪 人； 器等； 犯，否則不應判處青少年罪犯監禁。 第19條 傷人或對他人身體加以嚴重 第23條 沒有遵從牌照的條款及條件 傷害； 等； 海外情況 第20條 為了犯可公訴的罪行而企圖 • 違反《盜竊罪條例》（第210章）第 法改會報告書第3章探討了澳大利亞、加 使人窒息等； 10或12條的任何罪行－ 拿大、新西蘭、新加坡和英國的相關法 第21條 為了犯可公訴的罪行而使用 第10條 搶劫罪； 律。在澳大利亞(維多利亞除外)和英國， 哥羅仿等； 第12條 嚴重入屋犯法罪； 緩刑這個判刑選擇均適用於所有罪行。 第22條 為危害生命或使人身體受嚴 換句話說，這兩個海外司法管轄區並沒 重傷害而施用毒藥等； • 違反《公安條例》（第245章）第33 有例外罪行。 第23條 意圖損害等而施用毒藥等； 條的任何罪行－ 在維多利亞(澳大利亞)，《2013年判 第28條 以火藥等導致身體受損傷； 第33條 在公眾地方管有攻擊性武 刑修訂（廢除緩刑及其他事項）法令》 第29條 意圖造成身體嚴重傷害而導 器； 致火藥爆炸等或淋潑腐蝕性 (Sentencing Amendment (Abolition of Sus- • 《武器條例》（第217章）第4或10 液體； pended Sentences and Other Matters) Act 條所訂的任何罪行－ 第30條 意圖造成身體損傷而在建築 2013)為分階段全面廢除緩刑訂定了條 第4條 管有違禁武器；及 物等附近放置火藥； 文。在新西蘭和新加坡，法庭不得選擇 第10條 與武術兵器有關的罪行。 第36條 意圖犯罪而襲擊或襲警等； 判處緩刑。 第42條 意圖販賣而將人強行帶走或 現行法律的背景 在加拿大，法庭不得就某些嚴重罪行， 禁錮； 例如嚴重人身傷害（包括性侵犯)、涉 《1971年刑事訴訟程序（修訂）條例草 及恐怖主義或涉及犯罪組織的罪行， • 違反《刑事罪行條例》（第200章） 案》把緩刑的概念引入香港。該條例草 判處「有條件監禁刑罰」(「conditional 第122條的任何罪行或任何企圖罪 案大致上參照英格蘭《1967年刑事司法 sentence of imprisonment」)(這種刑罰 行－ 法令》（Criminal Justice Act 1967）的 結合了緩刑、密切監管及感化令)。《刑 第122條 猥褻侵犯； 條文。然而，不論是政府起初所提出的 法典》在2012年有所修訂，有效地令更 《火器及彈藥條例》（第238章）第 條例草案，或是該英格蘭法令，都沒有 • 多罪行列入不能在社區服監禁刑罰的清 III部任何一條所訂的罪行－ 加入任何對「例外罪行」的提述。例外 單內。 第13條 無牌管有槍械或彈藥； 罪行的訂立，是當年立法局非官守議員 強烈反對的結果，他們對於「罪案（尤 法改會也曾注意到，在所研究過設有 第14條 無牌經營槍械或彈藥； 其是暴力罪案）自1960年以來的急劇增 相類緩刑權力的司法管轄區中，沒有任 第15條 將槍械或彈藥交予無牌照的 加」，表達了關注（香港立法局會議過 何一個的例外罪行範圍是如香港現行 人管有及以虛假藉口取得管 法律般寬闊廣泛(亦見香港大學比較法 有； 程正式紀錄，1971年1月20日，第350 頁，張奧偉議員的發言）。 及公法研究中心《香港緩刑改革報告

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書》(Report on Reforming Suspended 好的選擇而必須判處感化令(或社會 須判處該罪犯即時監禁。(這些罪行 Sentences in Hong Kong）(2012年9月) 服務令）。不論判刑是過嚴(監禁） 是循簡易程序治罪的罪行，最高刑罰 第20頁-http://www.hkreform.gov.hk/en/ 抑或過寬(感化），法庭由於沒有判 是監禁三年或以下。有多項此類罪行 docs/SuspSent-FinalRpt-LSHK-Sept2012. 處緩刑的權力，難免會在一些涉及例 是可以在未有對另一人施以實質身體 pdf）。 外罪行的案件中被迫作此判刑。 暴力的情況下觸犯，例如涉及槍械和 武器的罪行，以及企圖進行猥褻侵犯 贊成保留例外罪行列表的論據（亦 不論是過嚴抑或過寬，結果同樣是不 但未遂的罪行。) 見香港大學比較法及公法研究中心 公平。 《香港緩刑改革報告書》(Report (3) 另一項重要考慮因素，是有需要賦予 這兩類不合理之處，會令人覺得整體 on Reforming Suspended Sentences in 法官及裁判官很大的酌情決定權，讓 上不公平並且是任意而行。 Hong Kong)(2012年9月)第15頁) 他們可以作出公正和適當的判刑。例 有一點應予注意，就是社會服務令並 外罪行列表不但過時(是列表本身的 贊成保留例外罪行列表的主要論據，似 沒有受到類似的限制。《社會服務令條 歷史緣由令到列表與時代脫節），而 乎是1970年代初香港暴力罪案猖獗， 例》 (第378章)第4(1)條賦權法庭，「 且不論情況如何，同樣不相稱地一律 社會對此表示關注，當時香港的立法者 凡14歲或以上的人被裁定犯了可判罰監 適用於被控某些罪行的罪犯。 認為法庭判刑過輕，有必要作出例外規 禁的罪行」，法庭可作出社會服務令。 定。 (4) 我們並無理由相信廢除例外罪行，會 這項條文並沒有把例外罪行排除在外。 令更多人犯罪或令社會受害的風險增 贊成進行改革的論據(亦見香港大學 加。緩刑會繼續只為特殊的情況而 香港法官及司法人員的意見 比較法及公法研究中心《香港緩刑 設。 司法機構曾於2012年年中，諮詢不同 改革報告書》(Report on Reforming 我們可以信賴香港法庭會繼續判處對 級別主要或專門審理刑事案件的所有 Suspended Sentences in Hong Kong） 社會構成重大危險的罪犯入獄。法庭 法官及司法人員。諮詢的議題是：以 (2012年9月)第15-21頁） 現時在判處緩刑時，有權對罪犯施加 他們的經驗來說，第221章附表3所施 支持廢除例外罪行列表的主要論據包 一些條件，如罪犯在判令有效期間違 加的法定限制(即：不得就例外罪行 括： 反這些條件，法庭便會下令獲暫緩執 判處緩刑)，有否令他們覺得不自在 或不公平。 (1) 香港暴力罪案的猖獗程度，自1970 行的刑罰全面生效。 年代以來已大幅減弱。在評估是否需 (5) 例外罪行列表的不合理之處分屬兩 在回應的法官及司法人員中，絕大部 要保留抑或改革例外罪行列表時，這 類。第一類是列表並不全面，未有 分(80%)是基於以下理由而贊成或支 是一項必須考慮的重要社會因素。香 收納其他暴力罪行及嚴重罪行。此 持全面撤銷法定限制，或最低限度撤 港現在已較以前安全得多，而暴力罪 外，有多項嚴重的性罪行也不在列表 銷就某些罪行(即猥褻侵犯罪及傷人 行的猖獗程度，自1970年代以來已 之上。(見《刑事罪行條例》(第200 罪)而訂的法定限制： 大減，故此訂立例外規定的原有理據 章），例如未經同意下作出的肛交、 (a) 法庭的酌情決定權不應受到掣肘； 已不再適用。 意圖作出肛交而襲擊、嚴重猥褻作 (b) 對於嚴重的罪行，法定限制是多餘 (2) 如無判處緩刑的選擇，那些原本值得 為、獸交、與年齡在13或16歲以下 的，因為適用的機會不大，而對於較 判處緩刑的罪犯通常會被判入獄。部 的女童性交、與精神上無行為能力的 輕微的罪行，法庭需要有權判處緩 分例外罪行，例如企圖進行猥褻侵犯 人性交、拐帶年齡在16歲以下的未婚 刑，法定限制卻又令法庭受到掣肘； （俗稱「非禮」）以及涉及武器的罪 女童、販運他人進入或離開香港。) 及 行，可以在各種不同情況之下發生， 這意味着那些被裁定此等罪名(例如 (c) 法庭被迫作出不相稱或未能反映罪行 包括特殊情況在內（例如犯案情節非 與13歲以下的女童性交)成立的人， 刑責的判刑。 屬可加重罪行者；罪犯屬初犯，並已 在理論上是有權獲判監禁緩刑的。第 感到後悔且重犯機會不大），而這些 二類則涉及一些現時見於列表的較輕 律師會及大律師公會的意見 情況通常是可以判處緩刑的。 微罪行(例如企圖猥褻侵犯)，可能出 經考慮港大研究中心報告書後，律師會 有時情況則相反，雖然緩刑是較為適 現的結果是在不適宜判處非扣押刑罰 的刑法及訴訟程序委員會總結認為，「 當的刑罰，但法庭可能會因為沒有更 的情況下，法庭沒有酌情決定權而必 例外罪行」的概念已經過時，因此應該

42 www.hk-lawyer.org April 2014 • REFORM 改 革

把第221章附表3整個廢除。大律師公 或過寬（感化）。無論屬何情況， 會同意這個結論。 法庭都受到掣肘，以致可能對受害 人或被告人造成不公； 公眾諮詢 (4) 法庭就相同情況的同一罪行必須量 法改會於2013年6月發表諮詢文件，而 刑一致，但就不同事實情節的相同 諮詢期則於2013年9月結束。期內我們 罪行則無須判刑相同； 一共收到39份回應書，回應者的名單見 (5) 採用「選擇性」的做法，而不是把 法改會報告書結尾部分的附件。在這39 整個例外罪行列表廢除，可能不切 名回應者當中，支持有關建議的有28 實際，也會被人視為任意而行。 名，反對的有5名，而其餘6名則保持中 立或選擇不表達意見。 法改會建議廢除香港法例第 支持改革者一般均認同廢除整個附表3 221章《刑事訴訟程序條例》 的理據。 附表3就第109B條所列的全部

反對廢除附表3者的反對理由可概述如 例外罪行。 下： 第221章第109A條所訂對監禁16至21 歲之間的人的限制 (1) 引入附表3之時的公眾情緒，今天依 然存在； 有部分回應者在就諮詢文件作出回應 (2) 監禁的阻嚇作用應予保留； 時，建議應澄清廢除附表3這項建議， 是否也適用於第221章第109A(1)及 (3) 現有的判刑選擇已足夠； (1A)條。 (4) 一致性是判刑的重要準則，應予保 持； 法改會的結論是，第109A(1)條已是 一項施行已久的規則，除非有十分充 (5) 附表3可予修訂而不用廢除。 分的理由，否則不應隨意改動。至於 結論和建議 暴力罪行的情況則有所不同，總的來 第221章第109B條所訂的緩刑 說已不再如1970年代般令人確實擔憂 （第109A(1A)條便是基於這個原因而 法改會已審慎考慮回應者為支持或反對 制定）。 改變現狀而提出的意見和評論，以及他 們的其他提議。法改會特別回應了反對 因應廢除附表3所列例外罪行的建議， 建議改革者的關注事項(見法改會報告 法改會亦建議廢除第109A(1A)條。

書第5.13至5.20段)： 建議會令該項在1967年引入且施行已 (1) 40多年前導致訂立例外罪行的公眾 久的法定規則保持完整適用，不再受 情緒，早已不復存在，這是考慮到 例外罪行所限制。該項規則訂明，對 在1975年至2005年間，有報案的 於青少年罪犯，法庭除非認為沒有其 暴力罪案的人均率下降了43%，而 他適當的方法處置他們，否則不得判 在2003年至2013年期內，暴力罪 處監禁。 n 案的統計數字一直維持平穩； (2) 香港的法官及裁判官經考慮案件的 所有情況後，會審慎地在不受任何 束縛下行使其判刑酌情決定權； (3) 現時法庭由於沒有判處緩刑的權 力，結果是判刑可能過嚴（監禁）

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THE NEW COMPANIES ORDINANCE - Highlights of Some Major Changes (Part 2 - a Companies Registry series) 新《公司條例》— 主要改變概要 (第二部分 – 公司註冊處系列)

By Ada Chung, JP, Registrar of Companies Companies Registry of the Government of the HKSAR Karen Ho, Deputy Principal Solicitor of the Companies Bill Team Companies Registry of the Government of the HKSAR

作者 鍾麗玲太平紳士，公司註冊處處長 香港特區政府公司註冊處 何劉家錦，公司條例草案專責小組副首席律師 香港特區政府公司註冊處

44 www.hk-lawyer.org April 2014 • COMPANIES 公 司

This is the second article written by the authors of the new Companies Ordinance THE NEW COMPANIES ORDINANCE - (Cap. 622) (the “New Ordinance”). The first, which appeared in the March edition of this journal, set out major changes in the New Ordinance that enhance corporate Highlights of Some Major Changes governance and modernise the law. This article highlights major changes aimed at (Part 2 - a Companies Registry series) ensuring better regulation and facilitating business. Ensuring Better Regulation Companies limited by Guarantee the requirement under the old law to Under the New Ordinance, companies paint or affix the company name on the Improving the enforcement regime limited by guarantee come under a outside of every office or place in which To improve enforcement, a new power specified category of companies and the company’s business is carried on has of enquiry is given to the Registrar of they are required to comply with the been relaxed. Under the New Ordinance, Companies (the “Registrar”) to obtain following requirements:- a company would have complied documents or information where with the requirement if it displays its e At least two directors are required; there is reason to believe any conduct registered name and liability status at relating to an offence of providing false e no corporate director is allowed; and the registered office and every business or misleading statement has taken e the annual returns must be delivered venue and the company’s name is so place. The investigatory powers of together with certified copies of positioned that it can be easily seen by inspectors appointed to investigate the the financial statements, directors’ any visitor to the premises. affairs of companies are also enhanced. reports and auditor’s reports. The new requirement provides flexibility and allows a company to display its The threshold for breach of any An escalating scale of annual registered name either inside or outside provision of the New Ordinance by registration fee is introduced for the the registered officeand business venue. an officer of the company has been filing of annual returns by companies In addition, the requirement only applies lowered through the introduction of a limited by guarantee to encourage to business venues which are open tothe new definition of “responsible person”, compliance of statutory filing public. which targets intentional and reckless requirements. In the case of late filing, conduct other than willful conduct as substantially higher registration fees are Improving the registration of charges under the old Companies Ordinance, payable. The escalating fee scale is set The list of registrable charges have (Cap. 32). out in the Companies (Fees) Regulation been updated by, for example, expressly (Cap. 622K) and is the same as the one To encourage compliance and to providing that a charge on an aircraft or optimise the use of judicial resources, applicable to private companies. any share in an aircraft is registrable and the New Ordinance introduces a new removing the requirement to register a Clarifying the rules on disclosure of power for the Registrar to compound charge for the purpose of securing an company names and liability status specified offences as set out in issue of debentures. Schedule 7 to the New Ordinance. The opportunity has also been taken To improve transparency, the period Compoundable offences are generally to clarify the rules on disclosure of for submitting charges for registration confined to straightforward and company names. The types of company has been shortened from five weeks to minor regulatory offences committed documents on which the registered one month under the New Ordinance. by companies. In compounding an name and liability status are to be Further, a certified copy of the offence, the Registrar will give a notice stated remain the same as those set instrument documenting the charge will in writing to a company in breach out in the old Companies Ordinance. have to be filed and registered for public to offer it an opportunity to rectify Unofficial publications of a company will search. Third parties will be deemed to the default. If the company pays the not be covered. have constructive notice of the terms of compounding fee and complies with The New Ordinance clarifies that the the charge as registered. the terms of the notice, no prosecution disclosure rules apply to electronic will be initiated by the Registrar for that communications and any website of Under the old law, where a charge offence. the company. To facilitate business, becomes void against the liquidator

www.hk-lawyer.org 45 • April 2014

and any creditor due to non-compliance to ensure the disclosure of up-to-date that the solvency test and one of the with the registration requirements, share capital information. three procedures set out in the New the money secured by the charge Ordinance are complied with. Refining the scheme for deregistration automatically becomes repayable of companies A uniform solvency test has been immediately to the lender. Under introduced. A company can satisfy the the New Ordinance, this automatic The old law provides that the Registrar solvency test in relation to a transaction repayment is replaced with an option for may, on the application of a defunct if, immediately after the transaction the lender to decide whether or not the company or its director or member, there will be no ground upon which the monies secured by the charge should be and subject to certain conditions, company would default on debts; and required to be repaid immediately. deregister the company to the effect either (i) if it is intended to commence that the company be dissolved upon Ensuring the accuracy of information winding up within 12 months the deregistration without going through company will be able to pay its debts on the Companies Register the winding up process. in full within 12 months of the winding To enhance the accuracy of information To minimise any potential abuse, up; or (ii) in any other case the company on the Companies Register, the New the New Ordinance enhances the will be able to pay its debts as they Ordinance clarifies the powers of the regulation of voluntary deregistration fall due during the 12 months after the Registrar in relation to the following:- by imposing additional conditions to transaction. e Registration of documents: the be met, ie the applicant must confirm Every company is required to hold AGMs Registrar is expressly empowered that the company is not a party to any under the old Companies Ordinance. to specify the requirements for legal proceedings and that neither the However, a company is not required to the authentication of documents company nor its subsidiary has any hold an AGM if everything required to be to be delivered to the Companies immovable property in Hong Kong. done at the meeting is done by written Registry and the manner of delivery, resolutions and a copy of the documents and withhold the registration of Facilitating Business which would be required to be laid unsatisfactory documents pending before the meeting is provided to each further particulars; and Streamlining procedures member. e Keeping of the register: the Registrar An alternative court-free procedure may rectify typographical or clerical based on the solvency test has been To simplify the decision-making process, errors, make annotations, and introduced for reduction of capital. This under the New Ordinance, apart require a company to resolve any is faster and cheaper than the procedure from retaining the written resolution inconsistency or provide updated under the old Companies Ordinance procedure, a single member company information. which involves filing an application to is not required to hold AGMs and the Court. a company may dispense with the The New Ordinance provides a statutory requirement to hold AGMs by passing Under the New Ordinance, all basis for applications to court for a resolution of all members. In such companies, not just private companies, removing information from the register a case, the financial statements and are allowed to fund share buy-backs out that is inaccurate, forged or derived reports which would otherwise be of capital subject to the solvency test, from anything invalid, ineffective or required to be laid before an AGM will and the restrictions on a company or done without the authorisation of the need to be sent to members. company. any of its subsidiaries providing financial assistance for the purchase of shares To safeguard the interests of members, A statement of capital is required to be in the company are streamlined and any member may request the company delivered for registration whenever there relaxed. All types of companies may to convene an AGM. Members may also is a change in a company’s share capital, provide financial assistance, provided revoke the resolution to dispense with including an allotment of shares or a permitted alteration of share capital,

46 www.hk-lawyer.org April 2014 • COMPANIES 公 司

AGMs by passing an ordinary resolution e total assets / aggregate total legible characters. Further, having an to that effect. assets not exceeding HK$100 official seal for use outside Hong Kong million is subject to restrictive requirements. Under the old law, companies can only Under the New Ordinance, the mode amalgamate with court sanction. A new e employees / aggregate employees of execution of documents is simplified court-free regime for amalgamations not exceeding 100 by making the use of a common seal is introduced in the New Ordinance. • An eligible private company / optional and relaxing the requirements The new regime is confined to holding company of a group of for a company to use an official seal amalgamations of wholly-owned eligible private companies which abroad. intra-group companies where minority meets a higher size criteria (i.e. two shareholders’ interest would normally of the following conditions) in a To keep up with technological not be an issue. Under the new regime, financial year – development, the New Ordinance an amalgamation may either be vertical e total revenue / aggregate total permits a general meeting to be held at (i.e. between the holding company revenue not exceeding HK$200 more than one location using electronic and one or more of its wholly-owned million technology. A company may set out subsidiaries) or horizontal (i.e. between rules and procedures for holding such a e total assets / aggregate total two or more subsidiaries of the same meeting in its articles. assets not exceeding HK$200 holding company). million The New Ordinance sets out the In addition, where specified conditions e employees / aggregate employees rules governing communications are met, the New Ordinance introduces not more than 100 that are authorised or required under a new administrative restoration the New Ordinance to be made to provided that there is 75% approval procedure for a company which has or by companies. For instance, such from members and no objection from been struck off by the Registrar without communication in electronic form to or the remaining members. the need for recourse to the court. by a company can be made only with the recipient’s consent or deemed consent. Facilitating simplified reporting • A small guarantee company / Existing companies may wish to amend Previously, a private company (not holding company of a group of small their articles, instruments creating being a member of a corporate group) guarantee companies with total debentures or any other agreements, may, with the written agreement of all revenue / aggregate total revenue as appropriate, to specify the period its shareholders, prepare simplified not exceeding HK$25 million in a for the deemed receipt of document accounts and directors’ reports. Under financial year. or information in electronic form the New Ordinance, simplified reporting • The exemption under the old or communicated by means of the is extended to more companies. Companies Ordinance is also company’s website. If the period is not retained, namely, a private company The types of companies that are so specified, the period is 48 hours (not being a member of a corporate qualified for simplified reporting, or fall pursuant to the New Ordinance except group) with unanimous members’ within the reporting exemption, are:– where the contrary is proved. n written agreement may opt for • A small private company / holding simplified reporting. company of a group of small private In the next article, we will further companies which meets two of the Facilitating business operations elaborate on the abolition of both the following conditions in a financial The old law stipulates that every memorandum of association and the year – company shall have a common seal par value of shares. e total revenue / aggregate total with the company name engraved in revenue not exceeding HK$100 million

www.hk-lawyer.org 47 • April 2014

本文是筆者就新《公司條例》(香港法例第622章)(下稱「新 條例」)撰寫的第二篇文章。本系列的第一篇文章載列了新條 例為加強企業管治及使法例現代化所引入的主要新猷，並已 刋登於《香港律師》的三月號。本文旨在講述新條例為確保 規管更為妥善及方便營商而引入的主要修改。

確保規管更為妥善

加強執法制度 釐清披露公司名稱及是否有限公司的 為加強執法，新條例下賦予公司註冊處處 規則 長（下稱「處長」）新權力，在有理由相 新條例釐清披露公司名稱的規則。在新 信某些行為涉及提供虛假或誤導陳述的罪 條例下，須述明公司註冊名稱及是否有 行時，有權獲取文件或資料以作調查。新 限公司的公司文件類別與舊《公司條 條例亦加強獲委任調查公司情況的審查員 例》所載的雷同，公司的非正式刋物並 確保公司登記冊的資料準確無誤 的調查權力。 不包括在內。 為加強公司登記冊資料的準確性，新條例 此外，新條例引入「責任人」的新定義， 新條例釐清了有關披露適用於公司的電 釐清處長在以下方面的權力 : 把公司高級人員違規的門檻降低，以針對 子通訊及網頁。此外，為方便營商，舊 舊《公司條例》(第32章)下蓄意行為以外 條例下公司須將其名稱髹在或緊附於在 e 文件登記：明文賦權處長指明須交付 的有意圖及罔顧後果行為。 每個辦事處或營業地點外的規定已予放 公司註冊處的文件認證的規定及交付 寬。在新條例下，如公司在註冊辦事處 文件的方式，以及在未取得有關詳情 為鼓勵公司遵從法規，以及善用司法資 及每個業務場所展示其註冊名稱及是否 前，可暫緩登記不合要求的文件；及 源，新條例賦予處長新權力，就新條例 有限公司，而且該公司名稱置於可讓有 備存登記冊：處長可更正排印或文書 附表7所載的指明罪行(泛指公司所犯的簡 e 關處所的訪客易於看見的位置，則該公 單和輕微的違規罪行)，准以繳款代替檢 方面的錯誤、加上註釋，以及規定公 司已遵從有關規定。 控。處長如不起訴某項罪行，會向涉及違 司須解決任何互相抵觸之處或提供最 規的公司發出書面通知，讓該公司有機會 新規定給予公司較大靈活性，讓公司可在 新的資料。 糾正其違規行為。如有關公司繳付訂明的 註冊辦事處及業務場所內或外展示其註冊 新條例亦為向法院申請刪除登記冊內不準 費用並遵從有關通知的條款，則處長不會 名稱。而且，該規定只適用於向公眾開放 確、屬偽造或源自無效或無效力的事情或 就該罪行檢控該公司。 的業務場所。 在沒有公司授權下作出的事情的資料，提 供法定依據。 擔保有限公司 改善押記的登記 在新條例下，擔保有限公司成為一特定類 須予登記的押記的清單已予更新，包括訂 為確保公司股本的資料得以適時披露，新 別的公司，須遵從以下規定： 明就飛機或飛機的任何額份設立的押記須 條例規定公司須在其股本有變動時，包括 配發股份或獲准更改股本時，向公司註冊 e 須有最少兩名董事； 予登記，以及刪除為保證債權證的發行而 設立的押記須予登記的規定。 處交付股本說明，以作登記。 e 法人團體不可擔任董事； 為提高透明度，在新條例下，交付押記作 改善撤銷註冊制度 周年申報表須連同財務報表的經核證副本 登記的期限由5個星期縮短至一個月。此 舊法例規定，不營運的公司或其董事或成 一併交付。 外，設立押記的文書的經核證副本須要登 員如提出申請並符合若干條件，處長可撤 就擔保有限公司交付周年申報表所繳付的 記，以供公眾查閱。第三方會被視作已知 銷公司註冊，令公司解散而無須進行清盤 每年登記費用而言，新條例引入遞增式收 悉所登記的押記的所有條款。 程序。 費，以鼓勵擔保有限公司遵從交付周年申 根據舊法例，當一項押記因未有遵從登記 為減低撤銷註冊程序被濫用的機會，新條 報表的法定要求。如逾期交付，有關公司 規定而變為無效時，公司須立即將藉此保 例就公司自動撤銷註冊增訂條件，加強規 便須繳付大幅度提高的登記費。該遞增式 證的借款償還予貸款人。這立即償還借款 管，即申請人必須證實有關公司不是任何 收費載於《公司（費用）規例》(第622K 要求，在新條例下改為貸款人可選擇是否 法律程序的一方，以及有關公司及其附屬 章)內，與適用於私人股份有限公司的收 要求該項押記所保證的借款須立即償還。 公司在香港均沒有不動產。 費模式相同。

48 www.hk-lawyer.org April 2014 • COMPANIES 公 司

的程序之外，只有一名成員的公司亦無須 e 收入總額／收入總額的總數不超過 舉行周年大會；而公司也可藉一項獲公司 港幣2億元； 所有成員通過的決議，免除舉行周年大會 e 資產總額／資產總額的總數不超過 的規定。如無須舉行周年成員大會，公司 港幣2億元； 須向每名成員提供須在周年大會上提交省 e 僱員人數／僱員總人數不超過100 覽的財務報表及報告。 人； 為保障成員的利益，任何成員均可要求公 • 並獲得75%的成員批准，以及餘下成 司召開周年大會。成員亦可藉通過普通決 員沒有反對。 議，撤銷免除舉行周年大會的決議。 • 小型擔保公司／小型擔保公司集團 在舊法例下，公司須獲法院批准方可合 的控權公司，於該財政年度的收入 併。新條例為公司合併訂定免經法院的程 總額／收入總額的總數不超過港幣 序。新程序只適用於集團內全資公司之間 2,500萬元。 的合併，因為在這類合併中，少數股東的 • 舊《公司條例》訂明的豁免亦予以保 方便營商 利益通常都沒有爭議。就新程序而言，合 併可以是縱向（即控權公司與其一間或多 留，即不屬法團集團的私人公司獲得 簡化程序 於一間的全資附屬公司合併）或橫向（即 全體成員的書面同意可選擇擬備簡明 就減少股本而言，新條例引入以償付能力 同一控權公司的兩間或多於兩間的附屬公 報告。 測試作為依據的不經法院程序。這程序較 司合併）。 方便營商 舊《公司條例》下須向法院提出申請的程 序快捷，而且費用較低。 此外，新條例引入另一新程序，讓被處長 舊法例規定每間公司須備有法團印章，並 從登記冊上除名的公司，在符合指定條件 須刻上可閱的公司名稱的字樣。此外，公 新條例下，所有公司，而非只限於私人公 的情況下，可以行政方式恢復註冊，而無 司如備有可供在香港以外地方使用的正式 司，均可從資本中撥款回購本身的股份， 需向法院提出申請。 印章，須受嚴格規定限制。在新條例下， 但必須通過償付能力測試，而公司或其任 公司可自行選擇是否使用法團印章簽立文 何附屬公司提供資助回購公司股份的限制 方便擬備簡明報告 件，而公司備有供在外地使用的正式印章 亦予以簡化及放寬。所有類別公司均可提 以往，不屬法團集團的私人公司如獲所有 的使用規定亦已放寬。 供資助，但必須通過償付能力測試，及遵 股東書面同意，可擬備簡明財務報告及簡 為配合科技的發展，新條例容許公司使用 從載於新條例的程序。 明董事報告。在新條例下，更多公司可擬 電子科技在多於一個地點舉行成員大會。 新條例引入劃一償付能力測試。在以下的 備簡明報告。 公司可於其章程細則訂明舉行有關大會的 情況，公司即屬可通過償付能力測試 : 符合資格擬備簡明報告（即在提交報告方 規則及程序。 e 在緊接某項交易後，不會有認定公司 面可獲豁免）的公司類別為： 新條例載列規管公司按新條例賦權或規定 無法償付債項的理由；及 • 小型私人公司／小型私人公司集團的 而以電子方式與外間通訊的規例，例如公 e (i)公司如擬在12個月內開始清盤，公 控權公司，須於該財政年度符合以下 司以電子方式通訊，只可在接收者同意或 司有能力在開始清盤後的12個月內 條件的其中兩項 ： 視作已同意下進行。 全數清償債項；或(ii)在任何其他情況 收入總額／收入總額的總數不超過 e 原有公司可修改其章程細則、設立債權 下，公司有能力清償在交易後的12個 港幣1億元； 證的文書或任何其他協議(視乎何者適 月內到期的債項。 e 資產總額／資產總額的總數不超過 用而定)，以訂明須視作已以電子形式或 根據舊《公司條例》，所有公司均須舉行 港幣1億元 ； 通過網站收到文件或資料的期間。如有 周年成員大會。不過，如所有須在該周年 e 僱員人數／僱員總人數不超過100 關章程細則、文書或協議沒有指明該期 大會上作出的事情，已藉書面決議作出； 人。 間，則除非有反證，根據新條例該期間 而須在該周年大會上提交省覽的文件，亦 為48小時。n • 符合較高規模準則的合資格私人公 已向公司每名成員提供，公司便無須舉行 司／合資格私人公司集團的控權公司 周年大會。 （即於該財政年度符合以下條件的其 本系列的下一篇文章會講述更多有關廢除 為簡化決策程序，新條例除保留書面決議 中兩項的公司）： 組織章程大綱及股份面值的詳情。

www.hk-lawyer.org 49 • April 2014 POWER TO THE PEOPLE? What’s next for environmental class-action litigation in China?

權力歸與民眾﹖ 中國環境公害集體訴訟接著該如何﹖

By Li Li, Associate King & Wood Mallesons Diyu Wu, Associate Arthur Cox Zhu Meng, Knowledge Management Associate King & Wood Mallesons Tom McGinn, Trainee Osborne Clarke 作者 李麗律師 金杜律師事務所 吳頔宇律師 Arthur Cox 朱萌知識管理律師 金杜律師事務所 Tom McGinn 實習律師 Osborne Clarke

“We will declare war against pollution and fight it with the same determination we battled poverty” – China Premier Li Keqiang, 5 March 2014

50 www.hk-lawyer.org April 2014 • ON CHINA 中 國 實 務

The NPC’s meeting coincided with Li possess greater funds and thus are able Guixin, a private citizen, filing a claim to afford more experienced lawyers who against the Shijiazhuang Environmental specialise in such litigation matters. Protection Bureau on the ground Additionally, environmental reports that it failed to “perform its duty to from qualified certifying agencies, control air pollution”. His demand for many of which are extremely costly, compensation reflected the costs he provide less of a barrier to NGOs than incurred in buying face-masks, an air lay litigants. Finally, as entities, NGOs purifier and a treadmill, and made often wield greater political influence international headlines for being the and this may make it harder for courts first such case taken against the Chinese to justify rejecting claims. However, an government. It also coincided with China NGO’s entity status makes it harder for Premier Li Keqiang’s vow in the NPC it to satisfy the requirement of “direct Standing Committee’s annual work interest”, which is necessary to establish report to “revise the Environmental legal standing under Article 119 CPL. As Protection Law and the Air Pollution such, NGOs are frequently barred from Prevention and Control Law to initiating their claims. improve environmental protection and Therefore, while claims brought by management”. individuals fail for practical reasons, Environmental class-action litigation claims brought by NGOs fail for legal has been gaining traction globally. Last reasons. June the European Commission urged Perhaps in light of the increasing its members to adopt a mechanism public pressure to make polluters for “collective redress” in environment accountable, judges have recently been protection cases. In Canada, Smith v Inco more willing to allow NGOs to initiate Limited became the first environmental environmental class-action lawsuits - class action case to proceed through whether by accepting a case brought trial and appeal in October 2011. 權力歸與民眾﹖ jointly by an NGO and a victim with China is an early adopter of class-action “direct interest” (see Zhu Zhengmao litigation. The passing of then Article & All China Environment Federation 55 of the Civil Procedure Law (“CPL”) in v Jiangyin Port Container Co., July 6 中國環境公害集體訴訟接著該如何﹖ 1991 allowed a party to bring an action 2009), or by relying generally on the REUTERS/Aly Song on behalf of any person if the object of CPL when awarding damages to an The financial district of Pudong is seen on a hazy their respective claims fell within “the NGO acting as a sole claimant (see All day in Shanghai. same category”. The size of the group China Environment Federation & Guiyang 上海浦東金融區看到朦朧的天空。 could be “unascertainable”, and the Public Environmental Education Centre v party did not have to be nominated Dingpa Paper Mill, 30 December 2010). he past weeks have seen by those it was representing. This environmental law, particularly On 1 January 2013 the most recent T bore similarities to the US model and environmental litigation, become the contrasted the representative group amendments to the CPL took effect. subject of national debate in China. litigation provisions found in most other The essence of the original Article 55 is now found in Article 54. Additionally, a On 10 March the Standing Committee developed countries. new Article 55 has been incorporated, of China’s National People’s Congress Nevertheless, class-action litigation which may spell an end to such judicial (“NPC”) renewed discussions about generally and environmental class- creativity. It allows “an authority or how to amend China’s Environmental action litigation specifically rarely relevant organization as prescribed by Protection Law (“EPL”). After the third feature in Chinese courts. law” (“ROPL”) to raise an action against draft of amendments was reviewed this “conduct that pollutes the environment past October, many hope that the EPL On the face of it, NGOs appear better (or) infringes upon the lawful rights and will soon undergo its first change since it positioned to initiate class-action entered into force in 1989. lawsuits than individuals. They generally interests of vast consumers or otherwise

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damages the public interest”. confusion surrounding ROPLs can be contrasted with the relatively clear Article 55 marks the CPL’s only reference meaning of “authority prescribed by to “environment”. As such it offers the law”. According to Article 90 of the clearest ever basis for environmental Marine Environmental Protection Law, class-action, and helps bypass Article a “department empowered by the 119. Nonetheless, it is currently of limited provisions of this Law to conduct marine use to NGOs. The CPL does not define environment supervision and control” a ROPL. Moreover, there is no uniform is entitled to claim against polluters. legal definition of “organization” in In light of Article 55, this right would China. There are currently three types extend to a class-action lawsuit. of organisations under Chinese law: social organisations, non-enterprises, The EPL does not contain a provision and foundations, each of which has on class-action litigation. The its own legal definition, found in “The legislation merely allows a “competent Administrative Regulation on Social department” to impose administrative Organizations”, “Interim Regulations on penalties such as fines or cautions on a Registration Administration of Private polluter. While a number of NGOs have Non-Enterprise Units”, and “Regulation been allowed to initiate class-action on Foundation Administration” lawsuits by relying on the CPL generally, respectively. most of the few favorable judgments have been awarded to the quasi- Therefore, at this stage, it is only governmental All China Environment possible to say that a ROPL must (1) Federation (“ACEF”). be registered with the Civil Ministry to qualify as an organisation, and (2) be The draft EPL provision dealing with prescribed by legislation. entities entitled to initiate class- action proceedings has been altered In light of this uncertainty, a claim stating that there is a large possibility of throughout the drafting process. brought on 2 August 2013 in the the amendments passing this year, the While the first draft did not amend Beijing Dongcheng District Court class-action provision has not yet been the law currently in force, the second under Article 55 by the NGO Friends addressed. draft designated the ACEF and “other of Nature was rejected via telephone environment federations” as qualifying Perhaps the only certainty surrounding on 30 August on the ground that the claimants, and the third draft contained the provision is that it will not take the court was unable to define a ROPL. In a “four-stage test”: In order to be able to form of the above draft provisions, and a November 2013 interview, the lawyer initiate an environmental class action, that, in light of Article 55 being the acting on behalf of the NGO stated a claimant must: (1) be a national clearest ever basis for environmental that while the court was sympathetic to organisation, (2) be registered with the class-action lawsuits, any clarification the claimant’s case, as Article 55 had Civil Ministry, (3) have been continuously would increase litigation risk for no interpretive guidance from either promoting publicly beneficial polluters. legislative sources or superior courts, it environmental initiatives for at least five was unable to determine if it could be In the absence of a class-action years, and (4) have a “good reputation”. applied. The court declined to give a provision in the EPL, legislation defining written clarification of the reasons for Following the rejection of this qualifying a ROPL or judicial guidance, Article the refusal. test it is unclear how the new class- 55’s transition period will continue. It action provision will look, if one is appears to the authors that even were The lawyer further explained that included at all. While the NPC’s 5 March Mr Li’s battle to claim compensation post the amendment of Article meeting opened with chairman Zhang from the local government to succeed, 55 the number of environmental Dejiang claiming that the EPL will be the current transitional period is likely protection cases has dropped due given the highest priority and Lu Hao, to result in more NGOs like Friends of to judicial reticence and confusion the Chairman of the NPC Environmental Nature losing out in Premier Li’s war over the interpretation of qualifying and Resources Protection Committee, claimants under Article 55. This against pollution. n

52 www.hk-lawyer.org April 2014 • ON CHINA 中 國 實 務

在環境保護案件中採用「集體補救」機 制。2011年10月在加拿大提起的一宗案 件Smith v Inco Limited，成為該國首宗 自第一審直到提出上訴的環境公害集體 訴訟案件。

中國是其中一個在早期便採納集體訴訟 的國家。在1991年通過的《民事訴訟 法》中，當時的第55條規定﹕若各當事 人的訴訟標的屬「同一種類」，則一方 當事人可代表其他當事人提起訴訟。若 各當事人的「人數尚未確定」，則該方 當事人可以不必由其代表的各當事人推 選產生。這與美國所實行的模式相近， 並有別於其他大多數發達國家的代表制 集體訴訟模式。

然而，中國法院一般而言，甚少進行集 體訴訟﹔具體而言，甚少進行環境公害 集體訴訟。

表面看來，由非政府組織提起集體訴 訟，其成效應當較個人為高，因為非政 REUTERS/Jason Lee 府組織一般擁有較大財力，能夠負擔得

A visitor wearing a mask walks outside the Forbidden City 起費用，聘請專門處理此類訴訟的富經 on a heavy haze day in central Beijing. 驗律師。此外，由合資格認證機構編製 一名遊客在重度霾日的北京紫禁城外戴著口罩。 的環境報告（其有許多是成本高昂的製 作），非政府組織比一般訴訟人具有較 高能力理解當中的內容。最後，非政府 李克強總理說：「我們要像對貧困宣戰一樣， 組織作為一個實體，通常能發揮較大 堅決向污染宣戰。」 - 2014年3月5日 的政治影響力，法院對於其所提出的 訴求，較難拒絕受理。然而，也正由於 非政府組織所具有的實體身份，使它很 難符合相關法例的「直接利害關係」規 去數星期，環境法（特別是環境 向該局提出損害賠償要求。他所要求獲 定。根據《民事訴訟法》第119條，在 過公害訴訟）成為在全中國進行辯 得的賠償，包括他在購買口罩、空氣淨 確立法律地位方面，「直接利害關係」 論的一個議題。 化器及一台跑步機方面所花去的費用。 是一項要件。故此，非政府組織經常被 由於該案是中國公民向政府部門提起此 法院拒絕其訴訟請求。 中國全國人民代表大會(下稱「人大」)常 類訴訟的首例，因而成為了國際頭條新 務委員會於3月10日再次就如何修訂中 因此，由個人提出的訴訟請求，會基於 聞，而該案也正好配合李克強總理在全 國《環境保護法》進行商議。自去年10 實際原因而不獲接納﹔但由非政府組織 國人大常委會年度工作報告中所作的鄭 月進行了修正案的三審後，人們預期《 提出的訴訟請求，卻基於法律上的原因 重宣告﹕「修訂《環境保護法》與《大 環境保護法》即將進行自1989年生效以 而不獲接納。 氣污染防治法》，改善對環境的保護和 來的首次修訂。 也許是要求污染者承擔污染責任的社 管理。」 在人大會議舉行之際，有一名叫李貴欣 會壓力越來越大，近年來，法院較為 環境公害集體訴訟在全球正日益受到重 的普通公民，以石家莊市環境保護局未 願意接受非政府組織提起環境公害集 視。去年六月，歐盟委員會敦促其成員 能「履行治理大氣污染的職責」為由， 體訴訟—不論是非政府組織與「直接

www.hk-lawyer.org 53 • April 2014

利害關係」受害人共同提起的訴訟（見 院無法確定「法律規定的機關及有關組 程中曾作出了修改。儘管在進行首次審 Zhu Zhengmao & All China Environment 織」一語的含義。在2013年11月進行的 議時，並沒有對目前生效的法律作出修 Federation v Jiangyin Port Container Co. 一次採訪中，該非政府組織的代表律師 改﹔但在進行第二審時，卻指定中華環 一案，2009年7月6日），還是在判給損 稱，儘管該法院對索賠人所面對的境況 保聯合會以及在省、自治區、直轄市設 害賠償予作為唯一索賠人的非政府組織 表示同情，但由於不論是立法機關還是 立的環保聯合會為合資格的索賠人﹔而 時，一般性地以《民事訴訟法》作為依 在進行第三審時，則加入了一個「四階 上級法院，均沒有對第55條的含義提供 據（見All China Environment Federation 段的驗證」，即是在索賠人提起環境公 解釋指引，因此該法院無法確定該項條 & Guiyang Public Environmental 害集體訴訟之時，它必須：（1）是一 文是否可予適用，而且也不肯就其拒絕 Education Centre v Dingpa Paper Mill 一 個全國性組織﹔（2） 在民政部登記註 受理該案提供書面理據。 案，2010年12月30日）。 冊﹔（3） 在過去至少5年，持續不斷地 該名律師續稱，自從對第55條進行修訂 推廣環保公益事業﹔以及（4） 具有「 最新修訂的《民事訴訟法》於2013年1 後，由於法院一直保持緘默，而對第55 良好聲譽」。 月1日起生效，而原來載於第55條的重 條有關索賠人的資格所作的解釋又含糊 要規定，現時載於第54條中﹔然而，新 隨著此等資格驗證的確立，導致一些非 不清，因而導致與環境保護有關的案件 制訂的第55條，將有可能會令致法院再 政府組織被排除在外後，新訂立的集體 數量減少。這種因「法律規定的機關及 無法實行上述舉措。該條文容許「法律 訴訟條文將如何作出規定（如有的話） 有關組織」一語的含義所導致的混亂情 規定的機關及有關組織」，對「污染環 ，目前仍然不得而知。在3月5日的人大 況，可與含義相對明確的用語「法律所 境，侵害眾多消費者合法權益等損害社 會議開幕儀式上，雖然人大主席團常務 規定的機關」加以比較。根據《海洋環 會公共利益的行為」提出起訴。 主席張德江稱《環境保護法》將會是最 境保護法》第90條，「依照本法規定行 優先處理的項目，而全國人大環境與資 第55條是《民事訴訟法》中唯一提到「 使海洋環境監督管理權的部門」有權要 源保護委員會主任委員陸浩也說有關修 環境」的地方，因此它為環境公害集體 求污染者作出賠償。根據第55條的規 訂非常可能在今年內通過，但有關集體 訴訟提供了最明確的依據，並有助越過 定，該項權利將會延伸至集體訴訟。 訴訟的條文仍未列入議事範圍。 第119條的規定。可是，它對非政府組 《環境保護法》並無任何有關集體訴 織的效用，目前卻是相當有限。《民事 也許可以肯定的一點，就是它不會採取 訟的條文，而該法例只允許由「主管部 訴訟法》對「法律規定的機關及有關組 上述條文草稿的形式，而鑒於第55條是 門」實施行政處罰，例如對污染者予以 織」一語的意思並沒有作出界定，而對 迄今為止最明確的環境公害集體訴訟依 罰款或警告。雖然曾有若干非政府組織 於「組織」一詞，在中國並沒有一個統 據，故作出任何相關的闡明與澄清，將 獲准依據《民事訴訟法》提起集體訴 一的法律定義。在中國法律下，目前共 可令污染者面對更大的訴訟風險。 訟，但在為數不多的勝訴判決中，大多 有三種不同類型的組織，分 別 數均判給準政府組織—中華環保聯合會 由於《環 境保護法》並沒 為：社會團體、非企業單 所提起的訴訟。 有作 出關於集體訴 位、基金會。它們都有其 訟的 規定，而目前 自身的法律定義，分別載 《環境保護法》中，與有權提起集體訴 也沒 有任何法例或司 於《社會團體管理條例》、 訟程序的實體有關的條文，所草擬的 法指 引，對「法律規定 《民辦非企業單位登記管理暫 內容在審 議過 的機 關及有關組織」一語 行條例》、《基金會管理條例》。 的 含義作出界定，因此 因此，在目前的階段，我們只可以 第 55條的過渡期將會持 說「法律規定的機關及有關組織」必 續 下去。作者認為，李 須﹕1）在民政部登記註冊以取得組織 貴欣先生要求地方政 的資格﹔及2）以法律來加以規定。 府作出賠償的訴訟即使 獲得了勝訴，但在目前 基於此等不確定性的存在，因此由非政 的過渡期中，很可能會有 府組織「自然之友」根據第55條的規 更多非政府組織（例如自然之 定，於2013年8月2日向北京市東城區 友）在李克強總理對污染的宣戰中 法院提起的一宗訴訟，於8月30日接獲 敗下陣來。 n 法院拒絕受理的電話通知，理由是該法

54 www.hk-lawyer.org The Law Society Family Fun Day 2014 Date: 4th May 2014 (Sunday) Time: 1pm -6pm (12pm for Drawing Competition) Venue: The University of Hong Kong Stanley Ho Sports Center 10 Sha Wan Drive, Hong Kong Guest Judge of the Drawing Competition : Mrs Emily Yip, Assistant Headteacher, DBSPD RSVP or enquiry at [email protected] • April 2014

INDUSTRY INSIGHTS 業 界 透 視

Constitutional 憲法 democracy couldn’t simply be transported to Hong Kong. China parliament head “You cannot just move or copy warns of western-style (the electoral system) from democracy for Hong Kong abroad, otherwise you might very easily find it can’t adapt The head of China’s parliament warned to the local environment on Thursday that importing western- and become a democracy style democracy for a planned direct trap... and possibly bring a election in Hong Kong in 2017 could lead disastrous result,” said Ma to “disastrous” results, a delegate who Fung-kwok, a Hong Kong attended the closed-door meeting said. deputy to the NPC, citing Hong Kong returned to Chinese rule in comments made by Zhang in 1997 with wide-ranging autonomy, an the two-hour meeting. independent judiciary and relatively free press under the formula of “one country, - Reuters News two systems” - along with an undated promise of full democracy, an issue 張德江指香港不宜硬搬西方 繹。然而，具體安排仍未有定案，其中 最重要的一項，是由公民提名候選人(包 never broached by the British during 150 民主模式 years of colonial rule. 括民主派候選人)的方法會否獲得接納。 港區人大代表馬逢國周四在港區人大代 China has agreed to let Hong Kong elect 然而，北京的態度有愈趨強硬之勢，張 表閉門會議過後，引述全國人大委員長 its next leader in 2017 in what will be the 德江在北京舉行的年度人大會議上向各 most far-reaching version of democracy 張德江說，2017年的普選不能照抄西 港區人大代表表示，香港不能照抄西方 on Chinese soil. Specific arrangements, 方民主模式，否則會導致「災難性後 民主模式。 however, have yet to be decided 果」。 including, crucially, whether public 港區人大代表團副團長馬逢國引述張德 nominations of candidates including 香港於1997年回歸中國，在「一國兩 江在兩小時的會議上提出：「不能照搬 opposition democrats will be allowed. 制」的原則下，享有廣泛自治、司法獨 外國（的選舉制度），否則就會水土不 立和相對大的新聞自由，更獲承諾發展 In a sign of Beijing’s hardening stance, 服，墮入民主陷阱之中，更可帶來災難 however, Zhang Dejiang, the head of 全面民主但未設時間表。英國殖民統治 性後果。」 China’s parliament, or National People’s 香港的150年來，就從沒涉足這個議題。 Congress (“NPC”), told Hong Kong - 路透社新聞 delegates attending the annual NPC 中央已同意讓香港在2017年普選特首， meetings in Beijing that western-style 這將是中國史上最影響深遠的民主演

56 www.hk-lawyer.org April 2014 • INDUSTRY INSIGHTS 業 界 透 視

Civil Procedure 民事訴訟程序 “Personal data” did not justify withholding disclosure In a number of recent cases the courts have considered whether parties to litigation are entitled to withhold disclosure on the ground that documents contain “personal data”, to withhold information needed 「個人資料」不足以構成拒 the use of which is restricted under by litigants on the basis of a the Personal Data (Privacy) Ordinance 絕披露的理由 “misconstruction” of (among other Schedule 1 (“Data Protection Principle things) the Ordinance. The final 法院在近期一些案件中，考慮到訴訟方 3 - use of personal data”). paragraph of the judgment reads: 是否有權以文件包含「個人資料」為理 The courts have made it clear that “……Where an application is made to the 由拒絕披露。根據《個人資料(私隱)條 the administration of justice requires Police by or on behalf of a party who has 例》附表一（「保障資料第3原則─個人 parties to comply with their disclosure or may have a claim……arising out of an 資料的使用」），個人資料的使用受到 obligations and that personal data (of incident in respect of which the Police 限制。 itself) is no ground for refusal. have acquired information relating to Given Section 60B of the Ordinance, the such act, they are obliged to provide 法院已明確指出，為秉持公正，訴訟方 position should not be in doubt. Section such information upon payment of a 須遵從其披露責任，而且個人資料（本 60B allows personal data to be used reasonable fee…. 身）並不構成拒絕的理由。 for a purpose other than that for which The Personal Data (Privacy) Ordinance 鑑於該條例第60B條，此立場是毋庸置 it is originally collected if (among other does not inhibit such a response on its things) its use is required by order of a 疑的。根據第60B條，如個人資料是由 behalf nor can it justify any failure on court or in legal proceedings in Hong 香港法院的命令所規定使用，又或者在 the Police’s part to respond promptly Kong. 香港進行的法律程序規定而使用等原 and constructively to such request…… If need be, the courts can permit a party 因，則有關個人資料可用於收集時的原 Failure to respond accordingly is likely to redact parts of a document if certain 本目的以外的目的。 to constitute an obstruction to the personal data is irrelevant, or needs to administration of justice”. 如有需要，例如某些個人資料屬無關緊 be protected beyond the usual implied undertaking not to misuse documents A week later, the same judge warned 要，或者需要的保護超出一般不得濫用 disclosed by one party to another (for the Commissioner of Police of the costs 對方所披露的文件的隱含承諾，則法院 example, see Mimi Wong v Raymond consequences of unreasonably failing 可允許當事人把文件某部分刪去（例子 Hung [2011] 5 HKLRD 241, at para. 82). to co-operate with civil litigants (Chan 見Mimi Wong v Raymond Hung [2011] Wai Ming v Leung Shing Wah [2014] 1 In Chan Chuen Ping v Commissioner 5 HKLRD 241一案第82段）。 HKLRD 376, at para. 39). of Police [2014] 1 HKLRD 142 the 在Chan Chuen Ping v Commissioner plaintiff sought non-party disclosure of For readers wishing more, a good of Police [2014] 1 HKLRD 142 一 information from the police regarding starting point is Sections 58(1) and 60B the identity of an alleged tortfeasor. of the Ordinance, the “White Book” 案，原告人申請要求非訴訟一方的警方 This was initially resisted by the police (Hong Kong Civil Procedure 2014, 披露資料，提供一名涉嫌侵權人士的身 but eventually provided. The matter Volume 2, E1/42/2), followed by Tse 份。警方最初拒絕，但最終提供了相關 came before the court as regards the Lai Yin & Ors v Incorporated Owners of 資料。其後法庭就原告人的申請的訟費 appropriate costs order to make on the Albert House & Ors [1999] 1 HKC 386. 進行審理。 plaintiff’s application. - David Smyth, Senior Partner, 法官指出，有些政府部門似乎因「錯誤 The judge commented that some Smyth & Co in association with 詮釋」該條例，而不願意向與訟人提供 government departments appeared RPC 所需資料。判決的最後一段寫道：

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「...... 凡有關人士代表已提出申索或可能 現年54歲的楊家誠被 提出申索的當事人向警方提出申請...... 而 裁定五項洗黑錢罪罪 警方手上擁有引起該申索的事件的相關 成，數年間清洗的黑 資料，則警方有責任在獲付合理費用後 錢達7.2億港元。他白 提供這些資料...... 手興家成為富商，更 是英冠球會伯明翰的 《個人資料(私隱)條例》並不禁止警方 班主。 提供這些資料，亦不足以構成警方未能 及時對此類查詢作出有建設性回覆的理 審訊詳細披露了數以 由…… 百宗楊與多名人士進 行的可疑交易，罕有 未能作出相應回覆大有可能對秉持公正 把焦點放在地下錢莊 構成妨礙。」 和洗黑錢分子如何把 一周後，同一名法官警告警務處處長， Birmingham City football club owner Carson Yeung Ka Sing. 非法資金在內地、香 伯明翰城足球俱樂部班主楊嘉誠。 無故未能與民事案件的訴訟人合作，後 港和澳門三地間轉移。 果是要承擔訟費（見Chan Wai Ming v and owner of British football club 區域法院法官游德康指：「香港要保持 Leung Shing Wah [2014] 1 HKLRD Birmingham City. 國際金融中心地位，維持銀行體系的廉 376 一案第39段）。 In the detailed exposition of hundreds of suspicious transactions made by Yeung 正至關重要。」 如讀者對此題目感興趣，可參閱《個人 and multiple parties, the trial cast a rare 「判刑必須具阻嚇性，方可阻止那些能 資料(私隱)條例》第58(1)及60B條、 spotlight on some of the murky channels 夠利用銀行體系去洗黑錢謀利的人，及 《White Book》一書（《Hong Kong and methods used by underground 向外界發出訊息...... 法庭會對洗黑錢罪行 Civil Procedure 2014》第2卷第E1/42/2 banks and money launderers in moving 全力打擊。」 段），以及Tse Lai Yin & Ors v illicit capital between China, Hong Kong and the gambling hub of Macau. Incorporated Owners of Albert House - 路透社新聞 & Ors [1999] 1 HKC 386 一案。 “Maintaining the integrity of the banking system is of paramount importance if Hong Kong is to remain an international - 施德偉高級合夥人， Damages 損害賠償 Smyth & Co與RPC聯營 finance center,” said District Court Judge Douglas Yau. CFA opines on life “The sentence must include an element expectancy of “Funky Crime 刑事罪行 of deterrence to discourage those who Tweenz” are in a position to exploit the system In the recent case of MGA Entertainment Court sentence boosts for their own gains through money Inc v Toys & Trends (Hong Kong) Ltd & Ors anti-money laundering laundering and to send the message [2014] HKEC 216, the CFA considered efforts that...the law will come down on them how to assess a defendant’s claim for with full force.” Hong Kong businessman Carson Yeung damages for “loss of chance” as a result was sentenced to six years in jail last of an injunction against it that is later - Reuters News month for money laundering in a discharged. high-profile case that law enforcement officials hailed as an important victory to 法院重判楊家誠 As the CFA noted, loss of chance is combat money laundering in the global 加強打擊洗黑錢 not easy to assess; more so, when the financial hub. defendant’s loss is the result of having 香港商人楊家誠一案件備受外界關注， been prevented from selling “Funky Yeung, 54, who was found guilty on 法院上月裁定他清洗黑錢罪成，判囚6 Tweenz” (a toy doll with famous distant five counts of money-laundering some relations such as “Bratz” and “Barbie”). 年。執法人員認為，這是香港這個國際 HK$721 million over several years, is Before considering the amount of a flamboyant self-made millionaire 金融中心打擊洗黑錢行動的一大勝利。 damages a court is required to establish

58 www.hk-lawyer.org April 2014 • INDUSTRY INSIGHTS 業 界 透 視

the likelihood of a loss of chance. things) “Bratz” and “Barbie” were Tweenz」（與著名的「Bratz」娃娃和 not realistic comparisons by which In brief, the plaintiff had obtained a 「Barbie」娃娃等屬同類的玩具）所致， to measure “Funky Tweenz’s” life pre-trial injunction in 2002 to restrain 就更難評估。在考慮賠償額前，法院須 expectancy. the defendant from selling a toy doll 先確立有喪失機會的可能。 by the name “Funky Tweenz”, on the For example, despite the injunction 簡言之，原告人在2002年取得非正審 basis that it allegedly infringed the having been in place for so long, the plaintiff’s copyright in the “Bratz” doll. average “life cycle” of “Funky Tweenz” 禁制令，禁止被告人出售名為「Funky The court proceedings were on foot was more likely (on the available Tweenz」的玩具娃娃，理由是該玩 for approximately 10 years, before evidence) to have been approximately 具涉嫌侵犯原告人「Bratz」娃娃的版 being discontinued and the injunction two years. 權。十後年，原告人中止訴訟及解除該 discharged. The CFA assessed the defendant’s loss 禁制令。 The issue of the defendant’s loss, as a at a considerably reduced US$450,000. 鑑於原告人於申請禁制令時作出了有關 result of being prevented from selling It will be interesting to learn what 賠償的交相承諾，因此法庭須審理被告 “Funky Tweenz”, then came before happens to the costs and interest to be the court for determination given the determined. 人因被禁止出售「Funky Tweenz」而遭 plaintiff’s cross-undertaking as to 受損失的問題。 - Warren Ganesh, Senior Consultant, damages on obtaining the injunction. Smyth & Co in association with 經評估後，原審法官判被告人獲賠725 At an assessment of damages, the RPC 萬美元。這金額主要以被告人的專家證 judge awarded the defendant US$7.25 據為依據，即：(i)該娃娃的「壽命」可 million. This was in large part based on 約達十年（如品牌有進行「翻新」）及 the defendant’s expert evidence that (ii)評估被告人的損失時，可將「Bratz suggested: (i) the “life span” of the dolls could be approximately ten years (if the 及「Barbie」這兩個品牌與「Funky brand was “refreshed”) and (ii) a realistic Tweenz」作實際比較。 comparison could be made between the 原告人的上訴被上訴法庭以大比數駁 “Funky Tweenz”, “Bratz” and “Barbie” brands in assessing the defendant’s 回。值得注意的是，上訴法庭其中一位 loss. 法官提出異議判決，認為應就被告人的 損失作重審。 The plaintiff’s appeal was (in the main) dismissed by a majority decision. 就賠償額的評估而提出上訴，較為少 Notably, a dissenting judgment in the 見。案件上訴至終審法院，但其時有 Court of Appeal preferred a retrial of the 關對公眾有重要性的爭議似乎已塵埃 defendant’s loss. 落定，惟有一點仍需法院考量，就是 Unusually for an appeal arising out of 「Funky Tweenz」的預期壽命，以衡量 an assessment of damages, the matter 被告人的損失（被告人因該禁制令而蒙 came before the CFA. By that time points of public importance appear to 終審法院就對「Funky 受損失這一點已獲法院接納）。 have fallen to one side, save that their Tweenz」壽命的見解 終審法院一致裁定，原審法官在評估被 Lordships were asked to consider “Funky 告人的損失時犯下重大錯誤，理由之一 Tweenz’s” estimated life expectancy 近日MGA Entertainment Inc v Toys 是衡量「Funky Tweenz」的壽命時，不 from which to measure the defendant’s & Trends (Hong Kong) Ltd & Ors loss (it being accepted that the [2014] HKEC 216 一案，被告人以禁 應視「Funky Tweenz」為可與「Bratz」 defendant had suffered a loss as a result 制令(後來獲解除)導致它「喪失機會」為 和「Barbie」比較。 of the injunction). 理由索償，終審法院就如何評定有關賠 舉例，儘管禁制令實施多年，但「Funky In a unanimous judgment, the CFA 償額予以考慮。 Tweenz」的「生命週期」（根據現有證 considered that the judge had made 據）大有可能只有約兩年。 a material error in assessing the 終審法院指出，喪失機會不易評估，尤 defendant’s loss because (among other 其當被告人的損失是被禁止銷售「Funky 終審法院因此把被告人的賠償金大幅調

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低至45萬美元。令人感興趣的是，法庭 commercial interest in the case. 包攬訴訟在港備受關注 將對訟費和利息有何裁決。 • Writing about litigation funding in 古老普通法中的包攬訴訟和助訟這些刑 the February 2014 edition of the - Warren Ganesh高級顧問， “Hong Kong Lawyer”, Ludwig Ng of 事及侵權罪行，在二月份屢成焦點，彷 Smyth & Co與RPC聯營 ONC Lawyers concluded: 彿要證明世事總是「一不離二、二不離 三」。 “It can be anticipated that third- party funding arrangements would Dispute Resolution 爭議解決 首先有re Beijing Tong Gang Da Sheng become more prevalent in the Trade Co Ltd [2014] HKEC 245一案， future”. Champerty maintained in 案中高等法院法官以包攬訴訟為由把申 headlines in Hong Kong Of course, that comment should 索剔除。其次，本刊二月號一位法學精 be seen in the context of recent As if to demonstrate that things often 湛的作者以此題目撰文。接著，（由衡 “hard” cases in Hong Kong, in which come in “threes”, in the course of a few 力斯律師事務所贊助）在2月18日假香 appeal courts have confirmed that, weeks in February the old common outside of insolvency proceedings, 港國際仲裁中心舉行的午餐研討會上， law torts and crimes of champerty the offences of champerty and 一隊分量級專家小組就「香港、開曼群 and maintenance were again in the maintenance remain; subject to 島和英屬維爾京群島的資助訴訟」進行 headlines. certain excluded situations involving 討論，會上坐無虛席。 First, in re Beijing Tong Gang Da Sheng “a genuine commercial interest” in Trade Co Ltd [2014] HKEC 245, a High the outcome of a case or “access to • 在 Beijing Tong Gang Da Sheng Court judge struck out a claim as justice” considerations. Trade Co Ltd [2014] HKEC 245一 champertous. Second, in the February • One major issue to come out of the 案，法庭把申索剔除，理由是身為原 edition of this journal a learned author panel discussion at the HKIAC was 告的受讓人與轉讓人（即原本的原 wrote another article on point. Third, on whether reform will come in Hong 告人）之間的訴訟資助安排屬包攬訴 18 February a packed lunchtime seminar Kong and, if so, when and how; 訟。平心而論，判決隱含了一點，就 at the HKIAC (sponsored by “Harneys”) for example, legislative reform or 是高等法院（經考慮到所有事實）有 listened to a weighty panel discuss case law. This is a pertinent issue 權以包攬訴訟和助訟罪為理由，在審 - “Funding Litigation in Hong Kong, given the litigation funding options Cayman and the British Virgin Islands”. available in many other common law 訊前剔除申索（但不包括進行破產清 • In Beijing Tong Gang Da Sheng Trade jurisdictions. 盤的申索）。 the court struck out a claim on the It should also be borne in mind 為防止濫用程序及維持法庭程序的持 basis that the litigation funding that the activities of “commercial 正精神，法院須具有這項權力。而根 arrangements between the plaintiff funders” are aimed at a very 據該判決，尤其當受讓人在有關案 assignee and the assignor (the different market to that of (say) 件中的真正商業利益「顯然」值得懷 original plaintiff) were champertous. “middlemen” who target accident On a fair reading of the judgment it victims and their claims for personal 疑，法院就更需要這項權力。 is implicit that (taking into account injury compensation. •柯伍陳律師事務所的伍兆榮律師在 all the facts) the High Court has Hong Kong needs to consider 《香港律師》2014年2月號就訴訟資 power to strike out claims before trial change, certainly as regards 助撰寫的一文總結道： on the grounds of champerty and commercial disputes, or risk holding maintenance (excluding claims in back its attractiveness as a regional 「可以預見，由第三方資助當事人進 insolvency proceedings). disputes resolution centre. It may 行訴訟的安排，在未來將會變得更加 The power exists in order to prevent take a “test case” (and much 普遍。」 abuse of process and to preserve education) to bring about change. 香港近日出現多宗這類「疑難」案 the integrity of the court process. “Commercial funders” are, no doubt, 件，這話果然應驗了。上訴法院在這 This is, according to the judgment, watching events in Hong Kong particularly so where it is “plain closely. 些案件中確定，除了清盤破產程序之 and obvious” that there are real 外，包攬訴訟和助訟仍屬犯罪行為， - Gary Yin, Partner, Smyth & Co in doubts as to an assignee’s genuine 不過若案件的結果涉及「真正的商業 association with RPC

60 www.hk-lawyer.org April 2014 • INDUSTRY INSIGHTS 業 界 透 視

利益」或者「尋求司法公正渠道」的 and witnesses, were unequivocal. They 施有系統的虐待、製造飢荒和屠殺等堪 考慮，則屬例外。 demanded closure of political prison 比納粹時期的暴行。 camps believed to hold up to 120,000 • 在香港國際仲裁中心舉行的專家小組 people and action by the International 調查結果毫不含糊，證據來自數以百計 討論所談到的主要議題之一，是香港 Criminal Court (“ICC”). 的受害者、脫北者和證人。報告要求北 會否在這方面進行改革，如會的話， Michael Kirby, a former Australian 韓關閉多個政治犯集中營，相信被囚人 將於何時及如何進行，例如透過立法 judge who led the independent inquiry, 數達12萬，亦要求國際刑事法庭採取 抑或案例。許多其他普通法司法管轄 officially presented the report to the UN 行動。 區現已提供多種訴訟資金來源的選 Human Rights Council in Geneva last 聯合國在一年前委託調查小組展開這項 擇，故此這議題與香港不無關係。 month. The forum, which commissioned the unprecedented investigation a year 前所未有的調查，領導這項獨立調查的 另一點應注意的是，「商業出資者」 ago, will decide on how to handle North 澳洲退休法官Michael Kirby於上月正式 所針對的市場，與（例如）「中間 Korea at a session that was scheduled to 向位於日內瓦的聯合國人權理事會提交 人」的市場不同，後者針對的是意外 last until 28 March. 報告。聯合國將舉行會議，商討應對北 受害者和其人身傷害索償。 - Reuters News 韓採取甚麼措施，預計會議將於3月28 香港有必要考慮進行改革，尤其是商 日結束。 業糾紛方面，否則本港作為區內爭議 聯合國報告指北韓侵犯人 - 路透社新聞 解決中心的吸引力有機會被削弱。我 金正恩或需負責 們或需要一宗「測試案例」（及大量 教育）以推動改革。毫無疑問，「商 聯合國於二月發表調查報告，譴責北韓 Intellectual Property 觸犯多項違反人權罪行。西方和亞洲多 業出資者」正密切注意香港的事態發 知識產權 展。 國紛紛施壓，指北韓應承擔責任，但同 時承認他們對北韓這個孤國的影響力有 HTC, Huawei, ZTE did not - 饒詩傑合夥人， 限。 violate Flashpoint patents Smyth & Co與RPC聯營 – US panel 聯合國調查人員在二月時表示，北韓的 國防領導層，甚至最高領導人金正恩， HTC Corp and others did not violate digital camera patents owned by Apple 國際 應接受國際法庭的審訊。他們被指控實 International Inc spinoff FlashPoint Technology Long road to hold Kim, North Korea liable for crimes Western and Asian powers began pressing last month for North Korea to be held liable for crimes against humanity documented in a United Nations (“UN”) report, but concede that their chances of influencing the isolated country are slim. North Korean security chiefs and possibly even Supreme Leader Kim Jong Un should face international justice for ordering systematic torture, starvation and killings comparable with Nazi- era atrocities, UN investigators said in February. REUTERS/Bobby Yip Their findings, based on testimony A North Korean soldier stands guard in front of the Unha-3 rocket sitting on a launch pad. from hundreds of victims, defectors 一名北朝鮮士兵守衛在Unha-3火箭發射台。

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REUTERS/Siu Chiu to make their smartphones, the US it terminated the investigation. If the 從Apple Inc分拆出的公司FlashPoint International Trade Commission (“ITC”) companies had been found guilty of Technology，在2012年入稟控告台灣的 said last month. violating the patents, the smartphones 宏達電、內地的華為和中興侵犯了該公司 could have been banned from the US FlashPoint Technology, which filed 四項智能手機相機的專利。案件處理過程 market. the complaint in 2012, had originally 中，原告放棄了其中一項專利的指控。 accused Taiwan-based HTC, China’s The ITC is a popular venue for patent Huawei Technologies Co Ltd and lawsuits because it can ban infringing 2013年9月30日，一位行政法法官作 ZTE Corp of infringing four patents products from the US more easily 出初步裁決，指宏達電兩款智能手機， for smartphone cameras. One of the than district courts. It will rule that a 即HTC Vivid和HTC Droid Incredible patents was dropped as the case patent has been violated if the accused 4GLTE，侵犯了FlashPoint一項專利，而 proceeded. company infringes the patent and if the 華為和中興則並無侵權。 An administrative law judge found in a patent owner uses the patent in the US. 不過，美國國際貿易委員會審查過此法 preliminary decision on 30 September - Reuters News 2013, that two HTC smartphones - the 官的裁決後，在周五頒發最終裁決， HTC Vivid and HTC Droid Incredible 4G 指所有被控告的公司均沒有侵犯原告專 LTE - infringed upon one FlashPoint 美國裁定宏達電、華為、中 利，並決定終止調查。假如涉案公司被 patent, while Huawei and ZTE were 興沒有侵犯FlashPoint專利 裁定侵權，相關智能手機有可能不得在 cleared. 美國國際貿易委員會上月表示，台灣宏 美國市場發售。 The commission, which reviewed the 達電等公司在生產智能手機的過程中， 相比美國地方法院，美國國際貿易委員 judge’s ruling, said in a final decision 並沒有侵犯FlashPoint Technology的數碼 on Friday that none of the accused 會較容易禁制侵權產品在美國出售，因 companies infringed the patents and 相機專利。 此外界傾向在委員會提出專利訴訟。倘

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若被控公司確有侵犯專利，而且專利持 Government decision-making must 意到地方上的問題，例如貪污和徵地， 有者有在美國使用該專利，則美國國際 become more transparent and solicit 這種做法在中國可追溯至帝皇時代。 貿易委員會便會裁定專利被侵犯。 oversight from the public, say the new rules, issued in late February, state news 有些地方和省級官員往往採取威脅和暴 - 路透社新聞 agency Xinhua reported. 力手段，防止申訴人接近上級部門。據 國家官方媒體新華社報道，二月下旬頒 “Authorities will stick to lawful means to dissolve conflicts and disputes,” it 布的新規定，指出政府決策必須增強透 PRC 中國內地 said. “Any malpractice that constrains 明度及接受群眾監督。 the public from legal petitioning will be 報道指，當局將「注重運用法治思維和 China stresses rule of rectified and prohibited.” At the same law in reform of age-old time, petitioners must not “leapfrog” 法治方式化解矛盾糾紛」及「堅決糾正 petitions system their complaints to higher authorities, 限制和干涉群眾正常信訪活動的錯誤做 say the guidelines released by the 法。」同時，這份由中共中央辦公廳、 China has issued new guidelines to central committee of the Communist 國務院辦公廳發布的指引提到，上訪者 strictly enforce the rule of law for Party of China and the State Council, those exercising an ancient tradition 不得「越級」向上級部門投訴。現時上 or cabinet. Petitioners are frequently of seeking justice through petitions 訪者經常被強制遣返，又或者被非法囚 forced to go home or held in unlawful to higher authorities, as the central black jails, where they face beatings, 禁，期間更遭到毆打、飢餓和剝奪睡眠 government tightens its grip on a starvation and sleep deprivation. 等折磨。 system often marred by abuse. Petitioning in China dates back to - Reuters News - 路透社新聞 imperial times, with the courts being seen as inaccessible by ordinary people, 中央改革信訪制度 who often use the method to draw the 堅持依法辦事 With legal reforms, China attention of officials to local disputes, wants less interfering ranging from corruption to land grabs. 由於信訪制度常遭濫用，中央因此收緊 in cases, fewer death Local and provincial officials often 控制，並頒布新的指引，堅持依法辦 penalty crimes resort to threats and violence, however, 事，不受理越級上訪。 China has curtailed the power of the to prevent dissatisfied complainants 普通百姓由於難以通過法律途徑討公 ruling Communist Party’s Political and from approaching the higher levels of Legal Committee, a secretive body government. 道，故此往往採用上訪的方法令官員注 overseeing the security services, to

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interfere in most legal cases, scholars 中國推動法律改革 Taxation 稅務 with knowledge of the situation said - a significant reform at a time of public 減少司法干預及死刑罪行 UK court ruling may discontent over miscarriages of justice. 對於負責監督國防的神秘機關中共政法 prompt more scrutiny of The move, which has not been made 委員會，有知情學者透露，中國當局已 Amazon tax plans public by the party as of 10 March, 削弱它介入大部分法庭案件的權力。中 Amazon’s tax affairs could come under but has been announced in internal 央進行這項重大改革正值社會公眾對司 more scrutiny in Britain, tax experts said, meetings, would clip the wings of the 法不公越感憤怒之際。 after a judge questioned last month party’s highest authority on judicial and whether it really was organised in the security matters. 截至3月10日，中共仍未對外公開此 tax efficient way it said it was. 事，但已在內部會議上作出宣布。有關 Interference from the committee has led The ruling comes as big technology to many wrongful convictions, many of 行動將壓制這個在中共體制中負責司法 groups, including Amazon, face which have been widely reported in the 和安全事務的最高機關。 increasing scrutiny in Britain over their press and even highlighted by President tax practices. Xi Jinping as an issue that needs to be 政法委的干預導致許多錯誤定罪的出 urgently addressed. 現，多宗案件被傳媒廣泛報道，甚至國 A UK judge ruled earlier this month that Amazon had infringed the trademark 家主席習近平亦曾強調急需解決這問題。 Part of a package of legal reforms, of soap maker Lush by posting the move signals a willingness by Xi’s 作為一攬子法律改革的一部分，此舉顯 advertisements on Google mentioning government to reform its court system 示只要不威脅到中共的整體控制，習近 “Lush soap” and by offering customers as long as it doesn’t threaten the party’s who searched for “Lush soap” on its 平領導的政府願意改革司法制度。中國 overall control. China’s highest court, own website a list of options. Since 的最高審判機關最高人民法院上月向全 the Supreme People’s Court, delivered Lush products were not available its work report to parliament last month. 國人大提交工作報告。 on Amazon’s UK website - on the But the party would still have final say 但是中共對於涉及民族問題和高官等的 manufacturer’s insistence - the judge ruled customers could be confused. over politically sensitive cases such as 政治敏感案件，將仍然擁有最終決定 those involving ethnic issues and senior 權，去年因受賄、貪污和濫用權力被判 In addition to denying infringement, politicians - like the disgraced former Amazon said only its main European 無期徒刑的前重慶市委書記薄熙來正是 Chongqing party chief Bo Xilai, who operating subsidiary, Luxembourg- 一例，而且當局亦會運用法庭將挑戰黨 was last year found guilty of bribery, based Amazon EU Sarl., and not corruption and abuse of power, and 權力的人入罪。 the group’s UK subsidiary, Amazon. jailed for life - and would use the courts co.uk Ltd, should be a defendant. to convict citizens who challenge its - 路透社新聞 Amazon argued Amazon.co.uk Ltd had authority. no case to answer because Amazon EU Sarl ran the UK business from - Reuters News Luxembourg, and that the British subsidiary simply provided services such as warehousing to the Amazon group. This structure is also the basis of Amazon’s claim that its retail business doesn’t have a tax residence in Britain - and that therefore, all revenues and profits should be declared in low- tax Luxembourg. But the judge said Amazon’s depiction of the role of the UK unit was “wholly unreal and divorced from the commercial reality of the situation”.

- Reuters News

64 www.hk-lawyer.org April 2014 • INDUSTRY INSIGHTS 業 界 透 視

REUTERS/POOL New

Inside the UK Supreme Court. 在英國最高法院內

英國法院裁決或使亞馬遜稅 (即集團在歐洲有營運的主要子公司)， 其零售業務在稅務上的常駐國家，因此 務安排遭詳查 而不是集團的英國子公司Amazon.co.uk 所有的收入和利潤應該在奉行低稅率的 Ltd。亞馬遜指，英國的業務由Amazon 盧森堡申報。但法官表示，亞馬遜對其 上月英國一名法官質疑亞馬遜是否確如 EU Sarl 在盧森堡經營，而且該英國子公 英國子公司所作的描述「全不符實並與 其所指，公司以具稅務效益的架構運 司只是為亞馬遜集團提供倉儲等服務， 商業實況脫節」。 作。事後有稅務專家指，亞馬遜的稅務 因此Amazon.co.uk Ltd無須答辯。 可能受到英國的徹底審查。 - 路透社新聞 亞馬遜亦以此架構為理由，指英國並非 這項裁決作出之時，亞馬遜等大型科技 集團的稅務運作正受到英國越趨嚴格的 審查。 Feel free to write in to us with more short contributions on latest industry developments and trends. Simply contact our editor. 月初該法官裁定，亞馬遜在谷歌刊登的 廣告中提到「Lush soap」這字句，並 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。 為在其網站搜索「Lush soap」這字句 請與本刊編輯聯絡。 的客戶提供一系列選項，這些行為侵犯 了肥皂製造商Lush的商標。由於在Lush 的堅持下，其產品並沒有在亞馬遜的英 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 國網站發售，法官因此認為客戶可能會 for legal advice in relation to particular circumstances. 被混淆。 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 除了否認侵權，亞馬遜亦指出涉案被告 賴為任何個案中的法律意見或被視作取代法律意見。

應該是位於盧森堡的Amazon EU Sarl. For full Reuters reports, please visit reuters.com 如欲查閱路透社的完整報導，請瀏覽 reuters.com

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CASES IN BRIEF 案 例 撮 要

ADMINISTRATIVE 行政 pecuniary embarrassment. 務。如不謹慎理 財而導致嚴重 Held, allowing the appeal, that: Kong Kwok Keung v Commissioner of 財政困難， It was necessary to distinguish between Police [2013] 5 HKLRD 232 以致影響人員 whether: (a) it was reasonable for 的工作效率， Court of Appeal the commanding officer to impose Civil Appeal No 40 of 2013 restrictions on the deployment of X from 有關人員將因 而遭受紀律處 Kwan, Lam JJA and McWalters J the management point of view; and (b) the serious pecuniary embarrassment in 分」。 21 August 2013 question had led to the impairment of 警務處處長追認了 his operational efficiency. Police disciplinary proceedings 由主審官作出的有 Serious pecuniary embarrassment — element of serious pecuniary 罪判決，以及降職 did not inevitably impair operational embarrassment leading 和革職警告的處分 efficiency and render an officer liable to to impairment of officer’s （下稱「裁決」） operational efficiency conviction of a charge under Order 8. Here, it was reasonably arguable that 。X曾就裁決提出司 X, a police officer, was convicted of a the Adjudicating Officer had equated 法覆核許可申請，但被駁回。X現 disciplinary charge under the 1999 the deployment restrictions per se with 提出上訴，指工作效率與嚴重財政困難 version of the Police General Orders impairment of operational efficiency and 之間必須存在因果關係。 6-01(8) (“Order 8”) which provides a thereby erred in law. police officer “shall be prudent in his 裁決 - 批准上訴： financial affairs. Serious pecuniary 上訴法庭 以下兩者有必要予以區分：(a) 指揮官從 embarrassment stemming from 管理角度對X的調配施加限制是否合理； financial imprudence which leads to the 高等法院民事上訴2013年第40號 impairment of an officer’s operational 及(b) 涉案的嚴重財政困難是否有導致X 高等法院上訴法庭法官關淑馨、高 efficiency will result in disciplinary 的工作效率受影響。 等法院上訴法庭法官林文瀚及高等 action.” 法院原訟法庭法官麥偉德 嚴重財政困難並不一定會令工作效率受 The Commissioner of Police ratified the 影響，導致警務人員被裁定違反第8條所 2013年8月21日 finding of guilt and the sentence of a 訂的控罪成立。本案中，有一點值得合 demotion and warning of dismissal by 理商榷，就是主審官把調配限制本身與 the Adjudicating Officer (the “Decision”). 警察紀律聆訊–嚴重財政困難以 的工作效率受影響劃上等號，這是在法 X sought leave unsuccessfully to apply 致影響警員工作效率的元素 for judicial review of the Decision. X 律上犯錯。 now appealed, arguing that there must 警員X被裁定觸犯《警察通例》（1999 be a causal connection between the 年）第6-01(8)條的紀律控罪成立，該 operational efficiency and the serious 通例規定警員「務必謹慎處理其個人財

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CIVIL PROCEDURE as to the extent of liability under the 判定債權人仍可申請將存於法院的款項 民事訴訟程序 designated security, it could defeat the 支出使自己受惠，則這種做法違背法庭 purpose of ordering such security. 下令作出此保證金的目的。

Nativivat v Nativivat There must be taxation of the costs of 本上訴的訟費必須先予以評定，原告人 the present appeal before Ps could be [2013] 5 HKLRD 145 等方可有權將有關款項支出以支付上訴 entitled to payment out for it. Further, Ps 的訟費。此外，原告人等須支付被告人 Court of Appeal were to pay D’s costs incurred after D’s Civil Appeal No 23 of 2013 offer of 17 September 2013. 在2013年9月17日作出提議後所招致的 Lam V-P in Chambers 訟費。 16 October 2013 上訴法庭 高等法院民事上訴2013年第23號 Portion of costs yet to be taxed Toeca National Resources BV v Baron 高等法院上訴法庭副庭長林文瀚 Capital Ltd [2013] 5 HKLRD 178 Pursuant to a consent order, the defendant (“D”) paid into court 2013年10月16日 Court of Appeal HK$500,000 as security for the Civil Appeal No 55 of 2013 plaintiffs’ (“Ps”) outstanding legal costs, 訟費中仍未評定的部分 Cheung JA and Andrew Chung J namely HK$324,654, the cost of appeal, 10, 29 October 2013 and interest accrued. Ps then rejected X根據某項同意令，被告人向法院繳存了 D’s written offer dated 17 September 50萬港元，作為原告人等的訟費保證， Stay of execution — whether 2013 to release the HK$500,000 to Ps’ 其中包括未清償的法律費用(即324,654 solicitors, provided that Ps’ solicitors likelihood of financial ruin, etc 港元)、上訴的訟費及累算利息。被告人 held the balance (after deducting the good reasons for stay 在2013年9月17日作出書面提議，同意 HK$324,654) as stakeholder until after The plaintiff (“P”) purchased 118 million 向原告人等的律師發放該50萬港元，惟 taxation of the costs of the appeal. shares in C (the “Shares”), a company of 餘額（即扣除324,654港元後的款項） Ps contended the costs of the appeal which H was the major shareholder. The 須由原告人等的律師以保證金保存人的 would exceed the balance, and in any first defendant (“D1”) was the placing event, the balance should be paid out 身份持有，直至上訴的訟費予以評定為 agent appointed by C, while the second to partly satisfy another costs order in 止，但原告人等拒絕了這項提議。 defendant (“D2”) was D1’s guarantor. Under a procurement agreement, H favour of Ps (the “Other Costs Order”) 原告人等辯稱，上訴的訟費將超出該餘 under Order 49 Rule 9 of the Rules of granted P a put option on the Shares. 額，而且在任何情況下，該餘額的某部 the High Court (Cap. 4A, Sub. Leg.) D1 agreed to purchase the Shares from 分應用作支付法庭根據《高等法院規 (“RHC”) which refers to money standing P under a placing agreement and a to the credit of a judgment debtor. 則》（第4A章，附屬法例）第49號命令 supplemental agreement, which would 第9條規則判原告人等勝訴的另一項訟費 take effect only if the procurement Held, ordering payment out to Ps of agreement had been duly terminated the costs of proceedings only, that, 命令（下稱「該另一訟費命令」）下的 and written notice given to Ds as soon as inter alia: 訟費。該第9條規則是有關判定債務人的 practicable. On 9 April 2009, P sought 貸方款項。 The Other Costs Order could not assist to exercise the put option. Ps in the present application. Money 裁決 - 下令只向原告人等支付原審的訟 H denied this and P terminated the paid into court and designated as 費，除其他事項外： procurement agreement by serving a security for a particular purpose was written notice on H on 14 July 2009. no longer the payer’s money as such. It 該另一訟費命令在本申請中對原告人等 On the same day, P prepared a draft was therefore doubtful whether the sum 並無幫助。如款項已存於法院並指定為 notice to Ds (the “Notice”) but did not so encumbered could be regarded as 作特定用途的保證金，則該款項已不再 serve it on them until 4 August 2009. money standing to the credit of a payer 屬於付款人。因此，如此負有產權負擔 By this time, trading of the Shares had under the RHC. If a judgment creditor 的款項是否可被視為《高等法院規則》 been suspended. P successfully brought could apply for payment out in his 下的付款人的貸方款項，值得懷疑。如 proceedings against Ds. The judge favour notwithstanding the uncertainty 果特定保證金下的責任範圍不確定，但 subsequently granted Ds’ application

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for a stay of execution conditional on Ds might have a real deleterious effect on H拒絕原告人的要求，原告人於是在 paying into court, or otherwise providing him. 2009年7月14日向H發出書面通知終止 a bank guarantee for such payment of, 該收購協議。同日，原告人擬備了一份 50% of the judgment sum. Ds failed to 上訴法庭 給予被告人等的通知書擬稿（下稱「該 comply with this and now sought a stay 通知書」），但直至2009年8月4日才 of execution pending their appeal, partly 高等法院民事上訴2013年第55號 送達予他們。此時該股份已暫停交易。 claiming that they would face financial 高等法院上訴法庭法官張澤祐及高 原告人向被告人等興訟並獲得勝訴。隨 ruin since there was a real likelihood 等法院原訟法庭法官鍾安德 of bankruptcy and being wound up 後，原審法官批准被告人等提出的擱置 2013年10月10、29日 respectively. 執行判決申請，但條件是被告人等須向 Held, dismissing the application, that, 法院繳存判決金額的50%，或就該金額 inter alia: 擱置執行判決–有可能陷入財政 提供銀行擔保。被告人等未有遵守此條 困難等是否擱置的充分理由 The merits of the appeal were no more 件，現提出上訴待決期間擱置執行判決 than reasonably arguable. The Court 原告人購入某公司1.18億股份（「該股 的申請，其中一項理由是，他們實際上 did not consider, among other things, 份」），而H為該公司的大股東。第一 有破產及被清盤的可能，因此將陷入財 that the Judge’s approach and finding 被告人為該公司所委任的配售代理，而 政困難。 that the Notice was served by P on Ds 第二被告人是第一被告人的擔保人。根 “as soon as practicable” must have 裁決 - 駁回申請，除其他事項外： 據一份收購協議，H給予原告人該股份 been wrong. The likelihood of financial 上訴的理據只是可作合理爭辯的論據。 ruin of or a deleterious effect on Ds was 的認沽期權。根據一份配售協議及一份 法院並不認為原審法官的處理手法及作 one of the relevant factors. However, 補充協議，第一被告人同意向原告人購 出原告人已「在切實可行的範圍內盡 D2 was already stigmatised when the 買該股份，但收購協議必先妥為終止， judgment was entered against him and 快」向被告人等送達該通知書的裁斷必 並且原告人在切實可行的範圍內盡快向 was now retired. This was not a situation 屬錯誤。被告人等有可能陷入財政困難 被告人等發出書面通知，該條款才會生 where the business activities of an active 或者受到有害影響是相關因素之一。然 效。2009年4月9日，原告人要求行使該 businessman would be disrupted by 而，法院登錄第二被告人敗訴的判決 認沽期權。 the making of a bankruptcy order which 時，他已污名昭着，而且現已退休。本 案情況並不是法庭若作出破產即會令一 名積極商人的商業活動受到干擾，從而 對他造成實質的害處。

Sherma Phadindra v Tin Wo Engineering Co Ltd [2013] 5 HKLRD 237 Court of Appeal Civil Appeal No 272 of 2012 Fok JA in Chambers 23 August 2013

Security for costs — while order might prevent impecunious appellant from appealing, defendants entitled to protection against possibility costs of unsuccessful appeal otherwise irrecoverable

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The plaintiff (“P”) had appealed 上訴法庭 against the quantum of damages for personal injuries awarded against the 高等法院民事上訴2012年第272號 defendants (“Ds”) by the judge in the 高等法院上訴法庭法官霍兆剛（內 lower court. Ds applied for security for 庭聆訊） costs of the appeal of HK$416,500 on the ground that P was impecunious. 2013年8月23日 P was unemployed and receiving Comprehensive Social Security Assistance. He was refused legal aid for 訟費保證金–雖然命令或使沒有 the appeal and could not afford counsel 經濟能力的上訴人無法上訴，但 to represent him at the hearing. 被告人等有權獲得保障，以免上 Held, ordering P to provide security 訴遭駁回時有可能無法討回訟費 for costs of HK$200,000 to Ds, that: 下級法院法官判被告人等須就人身傷害 The evidence prima facie established P’s 支付賠償，原告人就賠償額提出上訴。 impecuniosity and this was a “special 被告人等提出申請，要求原告人就上訴 circumstance” justifying an order for 的訟費416,500港元提供保證，理由是 security for costs under Order 59 Rule 原告人沒有經濟能力。原告人正失業及 10(5) of the Rules of the High Court (Cap. 4A, Sub. Leg). 領取綜援。他就上訴提出的法援申請被 拒，並且負擔不起聘請大律師代表他出 P’s appeal was against the Deputy 席聆訊。 Judge’s findings of fact on the expert medical evidence and an appellate court 裁決 – 下令原告人向被告人等提供20萬 要求上訴遭駁回後無經濟能力支付訟費 would generally be very slow to interfere 港元的訟費保證： 的上訴人提供保證，是既定的做法。 with findings of primary fact. At the very highest, the merits were not so strong 原告人沒有經濟能力的表面證據成立， that they should weigh against an order 而且此案屬於「特殊情況」，有充分理 for security for costs. 由根據《高等法院規則》（第4A條，附 COMPANY 公司

On a party-and-party taxation of the 屬法例）第59號命令第10(5)條規則作出 Re Intelligence Link Ltd costs claimed in the skeleton bill, if 訟費保證金命令。 [2013] 5 HKLRD 151 P’s appeal was unsuccessful, it was 原告人的上訴是針對暫委法官就專家醫 not unrealistic that his likely costs Court of First Instance 學證據所作的事實裁斷，但審理上訴的 liability could be reduced to around Miscellaneous Proceedings No 法院一般不會對基本事實的裁斷作出干 HK$200,000. 1435 of 2013 預。最重要的是，上訴的理據並非那麼 Given P’s evidence that he could not Deputy Judge Le Pichon in 強而有力，以致法庭不應該作出訟費保 fund an order for security for costs, Chambers 證金命令。 such an order might prevent him from 5 September, 7, 11, 28 October being able to proceed with the appeal. 根據訴訟各方對評基準評定訟費單概要 2013 However, P had had his day in court 所要求的訟費，假如原告人上訴失敗， at trial. Ds were entitled to protection 他實際上需要負擔的訟費大有可能會減 against the possibility that their costs Failure to prepare and lay of the appeal might otherwise be 至約20萬港元。 accounts at annual general meetings irrecoverable and it was the settled 鑑於原告人的證據證明了他無能力為訟 practice to require security for costs 費保證金命令出資，此命令可能令他無 A company (“C”) failed to show from an appellant who would be unable 法繼續上訴。然而，原告人經已在審訊 any profit and loss accounts at its through impecuniosity to pay the costs annual general meetings (“AGM”) 中取得勝訴。就上訴的訟費有可能無法 of the appeal, if unsuccessful. since its incorporation in 1994 until 討回一事，被告人等有權獲得保障，而 2012, contrary to Section 122 of the

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Companies Ordinance (Cap. 32). C did 原訟法庭 許多提供秘書服務的公司似乎並不專 not engage in any business activities and 業。儘管如此，董事有責任自行了解自 its dividend income from its operating 雜項案件2013年第1435號 己的責任和義務。 subsidiaries and bank interest was not 高等法院原訟法庭暫委法官郭美超 taxable in Hong Kong. C’s directors （內庭聆訊） had no legal or company management 2013年9月5日及10月7、11、 background and relied on a company CRIMINAL 刑事 28日 secretarial service provider which never advised them of the Section HKSAR v Wong Ka Ki 122 requirements. The omission was 未有擬備帳目以在周年大會上提 [2013] 5 HKLRD 139 uncovered by due diligence undertaken 交公司省覽 Court of Appeal for a potential listing on the Hong Kong Stock Exchange. 某公司（下稱「該公司」）自1994年成 Criminal Appeal No 60 of 2012 立以來，直至2012年，均未有在其周年 C’s directors laid audited accounts for Lunn JA, Beeson and Line JJ 大會上提交任何損益表，違反了《公司 1995 to 2012 before C and shareholders 12, 24 September 2013 at an AGM in July 2013. If the proposed 條例》（第32章）第122條。該公司沒 listing succeeded, new directors trained 有從事任何商業活動，而且從其營運中 Procuring another person to in corporate secretarial obligations by 的附屬公司所得的股息收入及銀行利息 do unlawful sexual act by false C’s solicitors would be appointed in 亦無須在香港賦稅。該公司的董事沒有 pretences place of existing directors. C was also 任何法律或公司管理的背景，一直依賴 The defendant (“D”) was convicted seeking a suitable replacement for the 聘用的秘書公司，但該秘書公司從沒有 of procuring another person to do an current company secretariat provider. C 知會董事們有關第122條的規定。有關遺 unlawful sexual act by false pretences now sought relief under Section 122. 漏是在為另一公司準備在港上市而進行 under Section 120 of the Crimes Held, granting the application, that: Ordinance (Cap. 200) (“CO”), namely 盡職審查時揭發的。 On the evidence, C’s shareholders falsely representing that by doing so: (a) 其後該公司的董事在2013年7月舉行的 were aware of its financial position his vehicle would be repaired; and (b) throughout the defaulting years. Further, 周年大會上提交了1995至2012年的經審 harmful substances would be released the contraventions had been inadvertent 計帳目，供公司省覽。若上市計劃最終 from his body. D lured the victim (“V”), and not wilful. Given the intention to 成功，該公司便會委任新的董事取代現 a 16½-year-old schoolgirl into his lorry, drove her to a secluded location and on substitute new directors and a company 任董事，而該等新董事獲委任前會先接 a promise of money and to repair defects secretary, adequate steps had been 受由該公司律師提供的公司秘書責任培 taken to ensure future compliance with to his lorry, V undressed and performed 訓。該公司亦正尋找合適的新秘書公司 the statutory provisions. Accordingly, the various lewd acts and eventually agreed 取代目前的秘書公司。該公司現根據第 order sought would be granted on C’s to sex. 122條提出寬免申請。 undertaking to procure that the order At trial, D elected not to give evidence. granted and the reasons why it was 裁決 - 准許有關申請： The judge found that V had agreed to sought to be brought to the attention of sexual intercourse, not because she the stock exchange in connection with 證據顯示，該公司的股東熟知該公司全 believed the lorry would be repaired, the proposed listing of any company 部違規年份的財政狀況。此外，違規行 but because she believed D’s claim that of which C was a subsidiary and was 為乃無心之失，並非故意。鑑於該公司 this would release harmful substances referred to in any prospectus for such 打算更換董事及秘書公司，法院信納該 from his body, ie Ejaculation, and as listing. 公司已採取足夠的措施，確保日後符合 the prosecution argued, would restore strength to D’s legs so he could drive her A number of businesses providing 相關法定要求。因此，法庭頒發該公司 home. D argued that the judge wrongly secretarial services appeared to lack 尋求的命令，條件是該公司承諾就任何 professionalism. Notwithstanding, concluded that D had made a false 公司的上市計劃(而該公司為計劃上市公 directors had a duty to acquaint representation to V, who had believed it. 司的附屬公司及該上市計劃在招股章程 themselves with their responsibilities Held, quashing the conviction, that, 中有提及該公司)，促致聯交所得悉此案 and duties. inter alia: 頒發的命令及該公司尋求此命令的原因。

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The false pretences alleged no more than a representation that sexual intercourse would result in or aid ejaculation, which was not false and did not procure V to have sexual intercourse.

As D elected not to give evidence, the conviction could not be saved by looking for support on the basis of different falsity. If the charge had included the 200章）第120條以虛假藉口促致他人 extra dimension that ejaculation could 作非法性行為罪成。他訛稱與他進行性 restore strength to D’s legs and so 行為：(a)可修理好其車輛；及(b)他體內 enable him to drive and release V, there 的毒素可釋放出來。被告人誘騙一名16 的罪行。 would have been cross‑examination 歲半女生（下稱「受害人」）上他的貨 directed at this claim. However, the 辯方以缺乏欺騙成份為理由作出無須答 車，並駛至一僻靜處。被告人答應向她 defence case and cross-examination 辯的陳詞，此舉已告訴控方其論據沒有 提供金錢並藉詞修理貨車，要求受害人 were limited to the narrow basis that 充分證據支持，亦已告訴控方他們提出 脫去衣服及作出多項猥褻行為，最終令 the prosecution had failed to establish 了錯誤的控罪，促使他們申請修改。這 their particularised false pretences or 受害人同意進行性交。 並非技術因素，而是控方根本明顯未能 representation. 被告人在審訊時選擇不作供。原審法官 正確起訴一宗嚴重案件。 V’s agreement to sexual intercourse 認為受害人同意性交，並非因為她相信 had everything to do with ending her 可修理好車輛，而是因為她相信被告人 frightening and wretched situation. 的說法，即性交能釋放被告人體內的毒 D should have been charged with HKSAR v Mistun [2013] 5 HKLRD 256 素(亦即射精)，而(就如控方所指)她相 procuring another, by threats or Court of Appeal intimidation, to do an unlawful sexual 信被告人的腿部可因而恢復氣力，令他 act under Section 119 of the CO. 可以開車送她回家。被告人則辯稱，原 Criminal Appeal No 264 of 2012 審法官認為被告人向受害人作出虛假申 Lunn JA, Line and McWalters JJ The submission of no case based on a lack of deception told the prosecution 述，而受害人相信了該虛假申述，是不 10, 16 October 2013 正確的。 that their particulars were not made Dangerous drugs — distinction out by evidence and should have told 裁決 - 撤銷定罪，除其他事項外： between telling suspects them that they had the wrong charge reason for arrest and and prompted an application for 指稱的虛假藉口，只不過是指性交會導 identifying actual crime amendment. This was not a technicality, 致或協助射精的申述，而這申述既非虛 but a fundamental and obvious failure to 假，亦沒有促使受害人進行性行為。 — observations that Court of prosecute a serious case properly. Appeal hampered by counsels’ 由於被告人選擇不作供，有關定罪無法 lack of knowledge of what 以不同的虛假作為依據而得以維持。假 上訴法庭 occurred at trial 如控罪已包括額外的層面，即射精能恢 高等法院刑事上訴2012年第60號 The defendant (“D”), an Indonesian 復被告人雙腿的氣力，使他能夠開車和 national, was convicted of trafficking in 高等法院上訴法庭法官倫明高、高 釋放受害人，則審訊就會有針對這種說 a dangerous drug. When D was arrested 等法院原訟法庭法官貝珊及高等法 法的盤問出現。不過，辯方論據及盤問 by Customs officers and told that she 院原訟法庭法官賴磐德 僅限於狹窄的基礎上，就是控方未能確 was suspected of having committed an offence under the Dangerous Drugs 2013年9月12、24日 立其具體列出的虛假藉口或申述。 Ordinance (Cap. 134). She subsequently 受害人同意進行性行為，就只是為了結 answered questions in a post-recorded 以虛假藉口促致他人作非法性 束那可怕和不幸的狀況。被告人本應被 statement, and acknowledged the 行為 控以《刑事罪行條例》第119條以威脅或 accuracy in a video-recorded interview (“VRI”). Before closing speeches, the 恐嚇手段，促致另一人作非法的性行為 被告人被裁定《刑事罪行條例》（第

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印尼籍的被告人被裁定販運危險藥物罪 名成立。被告人被海關人員拘捕時，獲 告知她涉嫌觸犯一項《危險藥物條例》 （第134章）下的罪行。其後，她在補 錄口供中回答提問，並在錄影會面中確 認補錄口供的準確性。結案陳詞開始之 前，下級法院法官就應否給予謊言指引 徵詢雙方代表律師的意見。被告人的律 師最初反對給予謊言指引，但最終同 意，因為這或有助被告人的論據，即她 撒謊的目的是保護男友。

被告人就定罪提出上訴許可申請，指原 審法官犯錯：一，未有把補錄口供及錄 影會面的證據豁除，理由是有關人員未 有明確告知被告人她涉嫌販運可卡因； judge in the lower court canvassed with side had in the papers before the Court 二，在沒有人要求的情況下給予謊言指 counsel whether a lies direction should mentioned that the giving of a lies 引，此舉「給予陪審團強力推論指申請 be given. D’s counsel initially opposed direction was the subject of discussion, 人有撒謊」。 it, but eventually agreed one should be before the judge and that defence 裁決 - 駁回申請，除其他事項外： given, as it might help D’s case that she counsel had agreed that it be given. lied to protect her boyfriend. Yet, D’s counsel had settled this ground 第一點並無任何可取之處。重要的是， D applied for leave to appeal against of appeal complaining of the giving of 要清楚告知被告人，她涉嫌觸犯的是有 the direction when he must have known conviction, arguing, inter alia, that the 關毒品的罪行。有關人員以淺白簡單的 that he had agreed to it. Likewise, the judge erred in: (a) failing to exclude 用語，即令被告人能夠明白的方式，告 evidence of the post-record and VRI on failure of the prosecution dramatically 知她被捕的原因。 the basis of the failure to specifically revealed the mischief of the Department tell D she was suspected of trafficking of Justice’s practice of conducting 至於第二點，問題並不是謊言指引是否 cocaine; and (b) giving a lies direction criminal appeals by new counsel without 出於所求，而是給予標準指引是否有可 consulting trial counsel. As was common when it was not called for and by doing 能對被告人造成損害。法庭則認為答案 practice, trial counsel was never even so, “gave a strong inference. . . to the 是不可能。 jury that the applicant had lied”. shown the grounds of appeal. This Court was too often hampered by counsel 附帶意見：雙方提交予上訴法庭的文件 Held, dismissing the application, that, displaying a lack of knowledge of what 中，均沒有提到謊言指引的給予是在原 inter alia: occurred at trial. 審法官席前的討論主題，亦沒有提到辯 There was no merit in (a). What was 方律師曾就給予該指引作出同意，這實 important was making clear to D 高等法院刑事上訴2012年第264號 在令人難以置信。然而，被告人的代表 she was suspected of committing a 律師必已知悉他曾就給予該指引作出同 dangerous drug offence. D had been 高等法院上訴法庭法官倫明高、高 told in plain and simple terms, in a way 等法院原訟法庭法官賴磐德及高等 意，卻仍然決定提出以原審法官給予該 she would be expected to understand, 法院原訟法庭法官麥偉德 指引作為上訴理由。同樣地，控方的失 the reason for her arrest. 2013年10月10、16日 誤大大揭示了律政司的做法存在問題， As for (b), the question was not whether 就是新的代表律師在沒有諮詢原審代表 the lies direction was called for but 律師的情況下處理刑事上訴。原審代表 毒品–告訴疑犯逮捕理由與確定 whether giving the standard direction 律師從不獲告知上訴的理由，亦是慣常 could conceivably have done any harm 實際罪行之間的區別–代表律師 的做法。上訴法庭往往因代表律師對審 to D. It could have not done so. 對審訊過程不知情令上訴法庭受 訊過程不知情而受阻。 Obiter: It beggared belief that neither 阻

72 www.hk-lawyer.org April 2014 • CASES IN BRIEF 案 例 撮 要

ELECTIONS 選舉 Under Section 22(1) of the Hong Kong 上訴法庭 Court of Final Appeal Ordinance (Cap. 484) (“HKCFAO”), “an appeal shall lie to 高等法院民事上訴2013年第5號 Yu Chi Shing Paul v Or Sin Yi Windy the Court – ... (c) at the discretion of the [2013] 5 HKLRD 326 高等法院首席法官張舉能、高等法 Court, from – ...(v) a determination of 院上訴法庭法官關淑馨及高等法院 Court of Appeal the Court of First Instance under s.55 of 原訟法庭法官區慶祥 Civil Appeal No 5 of 2013 [the DCO] …” 2013年8月15日、9月5日 Cheung CJHC, Kwan JA and Held, striking out the Notice and Thomas Au J appeal, that, inter alia:

15 August, 5 September 2013 X’s appeal was incompetent for want of 針對駁回選舉呈請的上訴–上訴 jurisdiction. The introduction of Section 只可在獲得許可的情況下向終審 Appeal against dismissal of 22(1)(c)(v) of the HKCFAO established a 法院提出，而非上訴法庭 election petition — appeal lay discretionary leap-frog appeal directly only to Court of Final Appeal from a determination of the Court of 在2011年的區議會選舉中落選的候選人 with leave and not Court of First Instance under Section 55 of the X，提出經修訂的上訴通知書（下稱「該 Appeal DCO to the Court of Final Appeal, but 通知書」），就原訟法庭某法官駁回他 not the Court of Appeal. By an amended notice of appeal (the 根據《區議會條例》（第547章）第55 “Notice”), X, an unsuccessful candidate Further, the right of access to the courts 條提出的選舉呈請提出上訴，指當選者 in the 2011 District Council election, under Article 35 of the Basic Law was 並非妥為選出。當選者現申請剔除該通 sought to appeal against the dismissal not engaged. The Basic Law did not 知書，理由是上訴只可在獲得許可的情 by a judge in the Court of First Instance state in terms that a constitutional right 況下向終審法院提出，而非上訴法庭。 of his election petition under Section of appeal existed against decisions of 55 of the District Councils Ordinance the courts. The right of access to the 根據《香港終審法院條例》（第484章） (Cap. 547) (“DCO”), contending that the courts was different from a right of 第22(1)條，「在以下情況下，可向終審 returned candidate (“W”) was not duly appeal against decisions of the courts. 法院提出上訴─ ...... (c) 如上訴是就原訟 elected. W now applied to strike out the 法庭...... (v)根據[《區議會條例》]第55條 Notice, arguing that an appeal only lay 所作的裁定而提出的...... 則終審法院須酌 to the Court of Final Appeal with leave, but not the Court of Appeal. 情決定是否受理該上訴。」 裁決 - 同時剔除該通知書及上訴，除其他 事項外：

X的上訴因缺乏司法管轄權，在法律上不 符合資格。《香港終審法院條例》引入 第22(1)(c)(v)條，制訂了一個酌情的越 級上訴機制，容許上訴人就原訟法庭根 據《區議會條例》第55條所作的裁定， 越過上訴法院，直接向終審法院提出上 訴。

此外，這裡不涉及《基本法》第35條下 向法院提起訴訟的權利。《基本法》並 沒有明文訂定有對法院判決提出上訴的 憲法權利。向法院提起訴訟的權利，有 別於對法院的判決提出上訴的權利。

www.hk-lawyer.org 73 • April 2014

EMPLOYMENT 僱傭法

Sit Wing Yi Sibly v Berton Industrial Limited [2013] 5 HKLRD 225 Court of Final Appeal Final Appeal No 3 of 2012 (Civil) Chan and Ribeiro PJJ and Bokhary, Hartmann and Lord Hoffmann NPJJ 22 April, 10 May 2013

Employees’ compensation — where cause of injury unknown, injury could not be “by accident” X, the deceased, was discovered slumped on the floor of a toilet at work with blood in his mouth and nose, and As for Section 5(1), the expression 她同時依據第5(4)(a)條所定的假設，即 died before reaching hospital. His cause “injury by accident” encompassed cause 「僱員在受僱工作期間遭遇的意外，如 of death could not be determined. X’s and effect. The accident must be distinct 無相反證據，須當作亦是因工遭遇的意 widow (“ P”) applied for employees’ from the injury, with the accident being 外」，指當有僱員於工作期間受傷，僱 at least a contributory cause and injury compensation on the ground of 主有舉證責任去證明僱員受傷並非因意 “personal injury by accident arising out being the effect. Here, without a known 外所致。 of and in the course of the employment cause of death, the injury could hardly is caused to an employee” under Section be by accident. 裁決 - 駁回上訴： 5(1) of the Employees’ Compensation 僱員是否因意外而受傷，與其是否因工 Ordinance (Cap. 282). 終審法院 或在受僱期間受傷，是兩個截然不同的 She also relied on the presumption 終院民事上訴2012年第3號 問題。第5(4)(a)條的假設未有觸及前者 under Section 5(4)(a) that “an accident 的獨特問題，就是僱員是否因意外而受 arising in the course of an employee’s 終審法院常任法官陳兆愷、終審法 employment shall be deemed, in the 院常任法官李義、終審法院非常任 傷，故此這項假設對上訴人沒有幫助。 法官包致金、終審法院非常任法官 absence of evidence to the contrary, also 至於第5(1)條，「遭遇意外以致身體受 to have arisen out of that employment”, 夏正民及終審法院非常任法官賀輔 傷」包含成因和結果。意外與受傷必然 arguing that where injury occurred at 明勳爵 不同，意外至少是促成原因之一，而受 work, the employer had the onus of 2013年4月22日、5月10日 adducing evidence to show the injury 傷則為其結果。本案中，在死因不明的 was not caused by an accident. 情況下，難以確定受傷是意外所致。

Held, dismissing the appeal, that: 僱員補償–若受傷原因不明，則 受傷並非「因意外所致」 The question of whether the injury was by accident was distinct from any 死者被發現倒臥在工作場所的洗手間 question of whether what had happened 內，口鼻流血，送院前證實不治。他 For full summaries and judgments, arose out of or in the course of the please refer to Westlaw and Hong 的死因不明。死者的遺孀（下稱「上訴 employment. The presumption under Kong Law Reports & Digest at 人」）根據《僱員補償條例》（第282 Section 5(4)(a) did not go to the distinct www.westlaw.com.hk and earlier question of whether the 章）第5(1)條，僱員「在受僱工作期間 就完整的摘要和判決書，請到 injury was by accident and so did not 因工遭遇意外以致身體受傷」，提出僱 www.westlaw.com.hk assist P. 員補償申請。 參閱Westlaw及《香港法律彙報與 摘錄》。

74 www.hk-lawyer.org April 2014 • PROFESSIONAL MOVES 會 員 動 向

PROFESSIONAL MOVES 會員動向

Newly - Admitted Members 新 會 員

CHAN KA PO KWOK WING NGAN HIU TING PRISCILLA SHAN 顏曉婷 陳嘉寶 郭穎珊 HO & ASSOCIATES DLA PIPER HONG SIDLEY AUSTIN 何氏律師事務所 KONG 盛德律師事務所 歐華律師事務所

CHEUNG POK YIN LAM HOI LUN WONG SHA BON HELEN CAROLINE 張博彥 林海倫 王 莎 FUNG & CO., DAVID TANNER DE WITT BIRD & BIRD Y.Y. 鄧偉德，戴源恆律 鴻鵠律師事務所 馮元鉞律師行 師行

CHOW MAGGIE LI HO YAN YAO TSANG 周玟璣 李灝欣 姚 錚 ROBERTSONS DLA PIPER HONG DLA PIPER HONG 羅拔臣律師事務所 KONG KONG 歐華律師事務所 歐華律師事務所

FUNG MEI KI LIANG YAN YU 馮美琪 梁妍鈺 AU WING HANG ALEX 區永恆 YIP, TSE & TANG 葉謝鄧律師行 CHEN JIE 陳 頡 STANDARD CHARTERED BANK (HONG KONG) LIMITED

KAUR NG SHAN SHAN CHEN TALENT HARMANDEEP VICTORIA 陳天麟 吳姍珊 HOWSE WILLIAMS DUNDONS BOWERS HOWSE WILLIAMS 鄧富津律師行 何韋鮑律師行 BOWERS 何韋鮑律師行 HO KA MAN 何嘉敏

www.hk-lawyer.org 75 • April 2014

HU BOB Partnerships and Firms FRESHFIELDS BRUCKHAUS DERINGER changes received as from 1 February 2014 富而德律師事務所 合夥人及律師行變動 取自2014年2月1日起香港律師會所提供之最新資料 KONG KA YEE NATALIE 江家宜 SIMMONS & SIMMONS 西盟斯律師行 • BOTTOMLEY STEPHEN JOHN • CHOW STANLEY ceased to be a partner of Mayer ceased to be a partner of Latham & LAU PUI WING AZA Brown JSM as from 01/03/2014. Watkins as from 01/03/2014. 劉佩穎 自2014年3月1日辭去孖士打律師行合 周鏡華 伙人一職。 LEE BO RAM 自2014年3月1日辭去瑞生國際律師事務 C/O NORTON ROSE FULBRIGHT (ASIA) 所合夥人一職。 LLP • CHAN SIU WING SELWYN joined Christine M. Koo & Ip as a • CORNELL MARK NICHOLAS LEE KA MING partner as from 10/02/2014. became a partner of Reed Smith 李家鳴 陳兆榮 Richards Butler as from 10/02/2014. GALE & CO., J.S. 自2014年2月10日加入顧張文菊、葉 自2014年2月10日成為禮德齊伯禮律師 莊驥律師事務所 成慶律師事務所為合伙人。 行合夥人。

LEE SIN KWAN CYNTHIA • CHEUNG CHI YU • GERSHON SAMANTHA CLAIRE 李倩伸 became a partner of Katherine Y.W. ceased to be a partner of Robertsons C/O NORTON ROSE FULBRIGHT (ASIA) Or & Co. as from 03/03/2014. as from 25/02/2014. LLP 張志宇 自2014年2月25日辭去羅拔臣律師事務 所合夥人一職。 PONG CHIU SUN SUNNY 自2014年3月3日成為柯玉華律師事務 龐朝燊 所合夥人。 • HO KUN LOK LO, WONG & TSUI ceased to be a partner of Mayer Brown • CHIU WAI HING IDY 盧王徐律師事務所 JSM and remains as a consultant of the ceased to be a partner of Keith Lam firm as from 01/03/2014. SHAHANI POOJA Lau & Chan as from 01/03/2014, 何觀樂 CHIU VICTOR TSANG & PARTNERS and joined Christopher Li & Co. as a 自2014年3月1日辭去孖士打律師行合 趙曾律師事務所 Consultant on the same day. 趙惠卿 夥人一職，而轉任為該行顧問。 SMITH JASON GREGORY 自2014年3月1日辭去劉林陳律師行合 施積善 • HODGSON JOHN LYNDON 夥人一職，並於同日加入李子明律師行 commenced practice as the sole TANG YUT YEE JULIA 擔任顧問。 practitioner in the name of Hodgson & 鄧月儀 Co. as from 17/02/2014. • CHO SOO CHANG ALBERT 自2014年2月17日獨資經營HODGSON HUTCHISON WHAMPOA LIMITED ceased to be a partner of Kirkland & & CO.。 TSE KIT WAI Ellis as from 05/02/2014. 謝潔慧 自2014年2月5日辭去凱易律師事務所 • IP KA LUN CHEUNG, TONG & ROSA 合伙人一職。 became to be a partner of Henry Wai & 張秀儀，唐滙棟，羅凱栢律師行 Co., Solicitors as from 01/03/2014. • CHOI CHUN NG CLARA JANE 葉嘉麟 WAN MING MING became a partner of Slaughter and 尹明明 May as from 01/03/2014. 自2014年3月1日成為韋業顯律師行合夥 人。 PAU & COMPANY, LOUIS K.Y. 蔡珍吾 包建原律師事務所 自2014年3月1日成為司力達律師樓合 • LAM KA LAI 夥人。 ceased to be a partner of Jimmie K.S. YEUNG MING HO STELLA Wong & Partners as from 01/03/2014. 楊明皓 林嘉麗 SHEARMAN & STERLING 謝爾曼‧思特靈律師事務所 自2014年3月1日辭去黃嘉錫律師事務所 合夥人一職。

76 www.hk-lawyer.org April 2014 • PROFESSIONAL MOVES 會 員 動 向

• LAU SIEW LEE JOELLE • MC DAID JAMES DECLAN • WONG KYLIE MARIE became to be a partner of Jones Day as joined Norton Rose Fulbright ceased to be a partner of Chan Lawyers from 21/02/2014. Hong Kong as a partner as from and remains as an Assistant Solicitor of 劉秀麗 01/02/2014. the firm as from 11/02/2014. 自2014年2月21日成為眾達國際法律事 馬德能 黃燕紅 務所合夥人。 自2014年2月1日加入諾頓羅氏富布萊 自2014年2月11日辭去陳氏律師行合夥人 特香港為合夥人。 一職，而轉任為該行助理律師。 • LAU YAT FAN ceased to be a partner of Wong & Fok • PANG KUN HAO ARNOLD • WONG LAI LIN PHYLLIS as from 10/03/2014. became a partner of Peter Yuen & commenced practice as a sole 劉一帆 Associates as from 20/02/2014. practitioner in the name of P. Wong 自2014年3月10日辭去黃霍律師行合夥 彭堃豪 & Co., Solicitor as from 01/03/2014 and remained as a partner of Choi & 人一職。 自2014年2月20日成為阮葆光律師事務 Associates. 所合夥人。 • LEE JAE CHUL 王麗蓮 ceased to by a partner of DLA Piper • RUSSO ANGELA ROHMAN 自2014年3月1日獨資經營王麗蓮律師事務 Hong Kong as from 01/03/2014, and ceased to be a partner of Kirkland & 所，但仍繼續擔任蔡王律師事務所合夥人。 joined Pang & Co. as a partner on the Ellis as from 03/03/2014. same day. 自2014年3月3日辭去凱易律師事務所 • WU MAN-TSUEN ALFRED 李在哲 合夥人一職。 became a partner of Fried, Frank, Harris, 自2014年3月1日辭去歐華律師事務所合 Shriver & Jacobson as from 01/03/2014. • TAN KUANG HWEE 夥人一職，並於同日加入PANG & CO.為 胡文俊 commenced practice as the sole 合伙人。 自2014年3月1日成為法朗克律師行合夥 practitioner in the name of Tan & Co., 人。 • LIANG WAI LING Solicitors as from 13/02/2014. became a partner of Chan, Evans, 陳光輝 • YEUNG NATALIE Chung & To as from 01/03/2014. 自2014年2月13日獨資經營陳光輝律師 became a partner of Slaughter and May 梁慧玲 事務所。 as from 01/03/2014. 自2014年3月1日成為陳伊鍾杜律師行合 楊藹欣 夥人。 自2014年3月1日成為司力達律師樓合夥 人。

www.hk-lawyer.org 77 • April 2014

AS “AFRICAN” CHINESE PARK MONEY IN HONG KONG, BEIJING TARGETS “NAKED” OFFICIALS 內地人取道非洲移民香港， 中央積極打擊「裸官」

By Yimou Lee Reuters 路透社

Some Mainland Chinese are taking up African residency so as to shift assets to Hong Kong. Reuters explore.

78 www.hk-lawyer.org April 2014 • ASIDE 隨 筆

considered for promotion, state media and the perks that go with it: lower reported. taxes, better welfare benefits and less government scrutiny of personal assets. Also, China’s anti-graft body has asked newly promoted officials to disclose The scheme, which some agents their assets and any foreign residency, say offers a 5% annual interest while late last month, some 2,000 rate, welcomes investment from village chiefs in Guangzhou had to foreign nationals, including hand over their passports to stop those from Taiwan and Macau, corrupt officials from fleeing, Hong but specifically bars nationals Kong’s South China Morning Post of Afghanistan, Cuba, North Korea and reported. Mainland China.

Many officials have been taking According to the latest annual Hurun advantage of a Hong Kong investment Report, close to two thirds of China’s scheme to squirrel away more than millionaires have emigrated or plan US$1 million (HK$7.8 million) each, to do so. Of those, however, only 15% which includes buying “residency” are looking to give up their Chinese in faraway African nations, since the nationality. Most just want permanent scheme is not open to mainland overseas residency. Chinese residents.

A record number of mainland Chinese Moving assets offshore have gained permanent residency in The estimated number of mainland places such as Gambia and Guinea- officials and their family members Bissau for themselves and their shifting assets offshore varies among families, although most will never visit academics, with some putting it at these countries and often choose to live more than one million in the past elsewhere. five years. One Hong Kong-based immigration agency said about a third In downtown Hong Kong, Asia’s AS “AFRICAN” CHINESE PARK of the 500 applicants it processed last financial centre, agents openly tout year were mainland Chinese officials or for wealthy mainland Chinese to legislators. join the scheme - at a fee of around MONEY IN HONG KONG, BEIJING “A huge number of Chinese officials HK$200,000 - that requires them each to invest HK$10 million. have moved family members and assets offshore, but continue to Launched by the Hong Kong TARGETS “NAKED” OFFICIALS work for the Chinese government,” government over a decade ago to said Guobin Zhu, a law professor stimulate an economy battered at City University of Hong Kong. “Hong tep by step, Chinese authorities by the Severe Acute Respiratory Kong’s investment scheme is a means are making life tougher for officials Syndrome crisis, the Hong Kong Capital S for Chinese officials to move assets looking to spirit assets and family Investment Entrant Scheme has overseas.” members out of the country to avoid proved a hit with mainland Chinese close scrutiny and strict currency who, though technically barred, see “Beijing can’t tolerate this phenomenon controls. it as a means to invest money near any more. They must feel a sense of crisis.” As part of President Xi Jinping’s home without the tight controls crackdown on pervasive imposed by Beijing. Although governed China’s Foreign Ministry spokesman corruption, China’s so-called “naked by Beijing, Hong Kong has a high Hong Lei said he was unaware of the officials”, those who have moved their degree of autonomy. details of the issue, but noted: “You spouses, children and assets overseas The investors see it as an eventual will have noticed that recently we have while they remain at home, will not be way to procure Hong Kong residency issued a whole series of anti-corruption

www.hk-lawyer.org 79 • April 2014

measures. I’m certain these will be don’t need to declare effective.” the source of their assets and can “retain In Hong Kong, a female agent carries their China household a billboard reading “Invest and registration status” immigrate to Hong Kong” and hands - which means their out flyers telling applicants they don’t mainland business have to declare the source of their interests and identity assets - a key selling point to those remain unaffected. seeking to skirt capital controls and hide assets from prying state eyes. “It’s so easy,” said an agent at immigration Applicants for the scheme more than service firm Worldway doubled to a record 3,380 in the third Group’s office in the quarter of 2013 from a year earlier, southern Chinese city official data show. There are now of Guangzhou. “You more than 17,000 mainland Chinese simply buy residency in investors with foreign residency in these African countries,” the programme, accounting for 87% she added, asking not of all investors, according to Reuters’ to be named due to the calculations based on Immigration sensitive nature of the Department data. issue. Agents say part of their fee goes All it takes for an entire towards buying would-be investors family to gain residency residency in countries such in Guinea-Bissau is as Gambia and Guinea-Bissau. a copy of a Chinese Investors claiming to be resident in passport, birth and those two African nations made up marriage certificates, a 13,300 of the total - most of whom will clean criminal record, 12 never have stepped foot on their new- passport photos and 15 found domicile. working days, according “Immigration to Hong Kong is way to Worldway. easier than to many other countries,” Immigration agents said there were said a 45-year-old applicant several ways to bypass China’s from Shenzhen who gave his last name a civilian,” said one Hong Kong-based capital control limit - individuals can’t as Liu. He acquired Gambia permanent immigration agent, who didn’t want to exchange more than the equivalent residency along with his wife and child be identified. of US$50,000 a year in foreign in 2011. “It only takes six months to get Hong Kong’s Security Bureau, currency - and shift money into Hong my Hong Kong identity card, and I will a law enforcement body, said it Kong: through underground banking apply for a Hong Kong passport after was aware of the large number of networks, by hiring people to open the (seven-year) time limit,” he said. Chinese buying permanent residency multiple bank accounts in Hong Kong, from Gambia and Guinea-Bissau to Officials at the Immigration or simply by moving cash across the qualify for the scheme, which, it said, it Department in Gambia were not willing border, often strapped to the traveller’s was reviewing. n to talk about the issue. body. (Additional reporting by Alexandra Hoegberg Fast-track to Hong Kong Some agents said mainland officials will always find a way to dodge China’s and Clare Baldwin) Hong Kong-based Weng Li passport controls. International Immigration Consultants Ltd says on its website that applicants “Many of them have two identities - one as a government official and one as

80 www.hk-lawyer.org April 2014 • ASIDE 隨 筆

有內地居民入籍非洲，以轉移資產到香港， 路透社將在本文作出探討。

內地官員為避開嚴密的監察和外 報是否持有任何外國戶籍。據香港《南 和幾內亞比紹等國家的永久居留權，人 有匯管制，將資產和家人轉移到境 華早報》上月底報道，廣州當局為防貪 數更創下新高，不過其中大部分人永 外，惟有關當局正逐步加強打擊力度。 污官員外逃，要求二千多名村官交出護 遠不會踏足這些國家，往往另選地方居 照。 住。 據內地官方媒體報道，「裸官」將不予 提拔重用，這是國家主席習近平打擊貪 一直以來，不少官員利用香港的投資移 在香港這個亞洲金融中心，中介公司公 污腐敗措施的其中一環。「裸官」是指 民計劃將資產轉移，人均達百萬美元 開兜攬內地富裕人士參加移民計劃。 那些將配偶、子女和資產轉移到海外， （780萬港元）以上。由於計劃並不對 計劃規定移民本港的投資門檻為每人 而自己則留在國內的官員。 內地居民開放，他們需要先購買非洲國 1,000萬港元，而中介收取的費用約20 家的居留權。 萬港元。 另外， 內地的反貪機關已採取措施，要 求新提拔的官員披露資產狀況，以及稟 許多內地居民為自己和家人取得岡比亞 港府在十多年前推出「香港資本投資

www.hk-lawyer.org 81 • April 2014

者入境計劃」，以刺激因「沙士」疫症 些意圖避開資金管制和隱藏資產的人而 世貿通集團廣州辦事處的一名中界稱： 而受重創的經濟。計劃廣受內地人士歡 言，是關鍵的賣點。 「這是多麼容易。」該公司在內地專營 移民服務。她補充，「你需要做的就只 迎，雖然他們理論上不得申請，但依然 根據官方數字，香港投資移民計劃的申 是購買這些非洲國家的居留權」，但她 認為這個途徑讓他們既可在鄰近地區投 請人數在2013年第三季按年增長逾一 資，又可避過中央的嚴格管制。香港雖 倍，創下3380人的紀錄。路透社以香 因此事敏感，不願透露姓名。 受中國管轄，但享有高度自治。 港入境事務處發表的數據計算，目前以 據世貿通指，想舉家獲得幾內亞比紹的 這些投資者認為可藉著計劃最終取得居 外國居民身份參與該計劃的內地居民已 居留權，只須提交中國護照副本、出生 港權，並享受隨之而來的好處，包括低 超過1.7萬名，佔該計劃全部投資者的 證、結婚證、無犯罪紀錄證明和12張護 87%。 稅制、完善的福利及政府對個人資產的 照照片，15個工作日便可完成。 監控較寬鬆。 有中介機構表示，他們的收費某部分 有移民中界指，要繞過中國的資金管制 用作為投資者購買岡比亞和幾內亞比 據一些中介機構指，計劃提供的年利率 上限(個人每年不能兌換超過五萬美元等 紹等國家的居留權。參與該計劃的投 有5%，歡迎台灣和澳門等地區的外地人 值的外幣)，把資金轉移至香港，方法有 資者中，宣稱是這兩國居民的人數達 士來港投資，但阿富汗、古巴、北韓及 幾種，包括透過地下錢莊匯款、聘人在 1.33萬，其中大部分人永不會踏足這 內地人士不得參加。 港開立多個銀行賬戶、或者乾脆攜帶現 些國家。 金過關(常見方法是把現金綁在身上)。 根據最新的《胡潤百富》年度報告，近 一名來自深圳自稱姓劉的45歲申請者表 三分之二的中國富豪已移民海外或正有 有些中界表示，內地官員總能找到方法 示：「移民香港比移民其他國家容易得 此意。然而，其中只有15%有意放棄中 避過內地的護照管制。 多。」他在2011年與妻兒取得岡比亞的 國國籍，大部分只不過是想取得外地永 一名不願透露姓名的香港移民中界說： 居留權。他指：「只需六個月就可以取 久居留權。 「他們大多擁有兩個身份，一為政府官 得香港身份證，而且我會在(七年)期限 員，二為平民。」 轉移資產到海外 屆滿後申請香港護照。」 香港的保安局指，他們已得悉有大量內 至於有多少內地官員及其家屬將資產轉 岡比亞移民局的官員不願就此事置評。 地居民藉著購買岡比亞和幾內亞比紹的 移至海外，各界眾說紛紜，有專家認為 永久居留權，以符合參與香港投資移民 過去五年已逾百萬人。一所香港移民中 移民香港的捷徑 計劃的資格。他們亦表示正在對該計劃 介機構指，他們去年處理的500名申請 香港永利國際投資移民顧問有限公司在 進行檢討。 n 者中，約有三分之一為內地官員或人大 其網站上表示，申請人無需提供資產來 代表。 源證明，而且在獲得香港居民身份後， (Alexandra Hoegberg及Clare Baldwin補充報道) 香港城市大學法學教授朱國斌表示：「 「仍可保留原居住地的戶口」，這意味 現在內地有大量官員把家屬及財產轉移 著申請人在內地的事業和身份不會受到 到境外，自己卻在內地繼續為官。」「 影響。 香港的投資移民計劃是內地官員轉移資 產的其中一個途徑。」

「北京再已無法容忍這種現象，他們一 定感覺到有危機存在。」

中國外交部發言人洪磊表示不清楚詳細 情況，但指出：「你將會注意到，我們 最近推出了一系列反腐敗措施。我肯定 這些措施將發揮效用。」

香港的街上，有中介手持寫著「投資移 民香港」的廣告牌，向途人派發傳單， 指申請者無需申報資產來源。這對於那

82 www.hk-lawyer.org April 2014 • CAMPUS VOICES 法 學 院 新 聞

CAMPUS VOICES 法學院新聞

The Hon Andrew Li professional duties”, he added. it is ) 為重點的長期展覽，介紹香港的法 律制度及法律專業，並取名為「De Lege unveiling the display Professor Johannes Chan, SC (Hon), of court dress at the Dean of Law, said that the exhibition Lata」(即「the law as it is」的拉丁語)。 opening of the permanent would encourage further public 我們認為這是恰當之舉，因為「當下的 exhibition “De Lege Lata” understanding in the Hong Kong 法律」亦是我們的核心價值之一，正如 legal system. The display of the court 法治和司法獨立一樣。 on Hong Kong Legal dresses would also “serve as a constant System and the Legal reminder to each generation of law 學院十分榮幸獲前終審法院首席法官 Profession students their important and yet (1997-2010年)李國能先生捐贈法庭服 It is said that a good law school should honoured responsibility to uphold the 飾作展出。李國能先生在揭幕禮上感 rule of law and to safeguard vigilantly teach its students not only what the law 謝學院為他的司法和專業制服提供一 is, but also what the law ought to be. But our freedoms and liberty”. 個「長居之所」，這些服飾陪伴他「日 the Faculty of Law (the “Faculty”), which The exhibition, located on the 7/F of 復日達37年，包括13年任法官及24年 is ranked top in Asia and 18th in the Cheng Yu Tung Tower, is open to the 任大律師的生涯」。他補充，這些服飾 world in the 2014 QS World University public but visitors would first need to 「提醒法官和律師他們身負重要的專業 Ranking by Subject, would stress on “the notify the Faculty beforehand before law as it is” in its permanent exhibition being able to view the court dresses. 職責」。 on the Hong Kong legal system and the Such details will be shortly available on 學院院長暨名譽資深大律師陳文敏教 legal profession, aptly titled “De Lege www.hku.hk/law. We hope that the 授表示，展覽將有助加深公眾對香港 Lata” (Latin for “the law as it is”). This exhibition will prove to be a permanent is considered appropriate when we are and useful resource for secondary 法律制度的認識。展出法庭服飾亦將 referring to fundamental values just as school students as well as anyone 「不斷提醒每一代的法律學生，他們 the rule of law and the independence of interested in general legal education. 肩負維護法治及警惕捍衛自由這個榮 the judiciary. 幸的重任」。 The Faculty is honoured to receive and 前終審法院首席法官李國能 display the court dresses donated by 展覽設於鄭裕彤教學樓七樓，對外開 Judge Andrew Li, Chief Justice of the 為展覽「De Lege Lata」揭 放。訪客欲參觀法庭服飾，須事先通知 Court of Final Appeal (1997-2010). 幕並送贈法律學院法庭服飾 學院，詳情將於以下網站公布：www. During the unveiling, Mr. Justice Li 有人說，一所優秀的法律學院不但要 hku.hk/law。我們希望這項長期展覽能 thanked the Faculty for providing a 夠為中學生及任何對一般法律教育有興 “permanent home” for the judicial and 向學生教授當下的法律，亦要教授法律 趣的人士提供有用的資料。 professional uniform which he had worn 應該如何。不過，高居亞洲榜首及在 “day in and day out for 37 years: 13 years 2014年QS世界大學學科排名第18位 on the bench and 24 years at the Bar”. 的香港大學法律學院(「學院」)，就舉 Also the uniform “reminds the judge 行了一個以「當下的法律」(the law as and the advocate of their important

www.hk-lawyer.org 83 • April 2014 THE LAST WORD 趣 聞

Quirky points of law courtesy of Westlaw’s 另類法律的新奇觀點（摘錄自Westlaw的 Headnote of the Day 每日案例提要） Do note that these are offered as a diversion and may not necessarily 注意：以下內容純供消遣，所提及的未必是有效法律。 be good law: 1. 由一名小學二年級學生手抄的十誡所組成，用來推廣 1. Artwork consisting of a second grade student’s handwritten copy 電影的藝術作品，所蘊含的創意並不足以符合可享有 of the Ten Commandments, which was used to promote movie, 版權保護的資格，這藝術作品只不過是青少年以書法 did not embody a degree of creativity sufficient to make it eligible 呈現早已獻給公共領域的單詞和短語。 for copyright protection; result was nothing more than words and phrases, long since dedicated to the public domain, rendered in Murray Hill Publications, Inc. v. ABC Communications, juvenile penmanship. Inc., 264 F.3d 622 (6th Cir. 2001)

Murray Hill Publications, Inc. v. ABC Communications, Inc., 264 2. 僅僅在活動現場出現，或者僅僅跟別人以同樣方式行 F.3d 622 (6th Cir. 2001) 事，又或者僅僅與他人有關，並不能證明該人已經成 2. Merely being present at the scene of an event, or merely acting in 為幫兇及煽動者。 the same way as others or merely associating with others, does not United States v. Villarreal, 595 F. Supp. 2d 1039 prove that a person has become an aider and abettor. (D. Neb 2008) United States v. Villarreal, 595 F. Supp. 2d 1039 (D. Neb 2008) 3. 藝術家質疑禁止他在獲得准許前在有關城市的街道和 3. Artist’s paintings, which communicated his vision of the sanctity of nature, did more than propose a commercial transaction and 公園售賣藝術作品的法例屬違憲，而就此而言，該藝 therefore were not commercial speech, for purposes of the artist’s 術家所作的畫作是為了傳達他對大自然的神聖的看 facial challenge to city’s ordinances that prohibited him from 法，不止是提出商業交易這麼簡單，因此有關畫作並 selling his art on city’s streets and parks without first obtaining a 非商業言論。 license. White v. City of Sparks, 500 F.3d 953 White v. City of Sparks, 500 F.3d 953 (9th Cir. 2007) (9th Cir. 2007)

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

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

84 www.hk-lawyer.org April 2014 • TOME RAIDER - A BOOK REVIEW 新 書 速 遞

REFORMING LAW REFORM – Perspectives from Hong Kong and Beyond

Edited by Michael Tilbury, Simon NM Young and Ludwig Ng Hong Kong University Press 2014 編者 Michael Tilbury、楊艾文及伍兆榮 香港大學出版社 2014年出版

n this tome, renown experts worldwide discuss law reform, 部著作匯聚多 Iand make recommendations for strengthening the process of 這位世界知名的 law reform in Hong Kong and elsewhere. 專家，探討法律改革 Praise for the book: 這題目，並就香港及 “This important book should be a wake-up call to 各地如何加強法律改 lawmakers in Hong Kong and beyond on the urgent 革過程分享灼見。 need for effective law reform. It is especially important 此書獲高度評價： for Hong Kong whose competitive advantage is being harmed by institutional paralysis and official lethargy. 「這部著作非常重 The editors’ modest recommendations deserve urgent 要，提醒了香港及 action by Hong Kong’s governors to bring up to date its 其他地區的立法者，我們迫切需要有效的法律改革。這對 archaic and outmoded legislation.” 香港來說尤其重要，因為香港的競爭優勢正因體制癱瘓和 - Lord Lester of Herne Hill, QC 官方萎靡不振而受削弱。香港的領導者應加緊落實編者 在書中提出的審慎建議，令古老又過時的法律得以與時並 “Law reform is essential, especially in these fast- 進。」 changing times. The law reform agency plays an - 御用大律師Lord Lester of Herne Hill important role in this process. This work examines the experience of the agency in Hong Kong and elsewhere 「法律改革必不可少，尤其在這個瞬息萬變的時代。法律 and discusses how its effectiveness can be enhanced...” 改革機構在這個過程中扮演著重要的角色。此書探討香港 - The Hon. Andrew Li, Chief Justice of Hong Kong, 1997–2010 及各他法律改革機構的經驗，並研究如何能夠提高其效 益...... 」 “This is probably the first collection in Hong Kong of writings on law reform, examining clinically how law - 1997至2010年香港終審法院首席法官李國能法官 reform is, and can be processed with reference to other 「這可能是香港首部彙集法律改革文章的著作，透過參 law reform institutions, in the pursuit of effectively 考其他法律改革機構，以臨床方式探討法律改革的現行 meeting the often shifting needs of society and economy…” 及其他可行方法，從而有效地滿足社會和經濟上多變的需 要...... 」 - Stephen Kai-yin Wong, Secretary of the Law Reform Commission of Hong Kong - 香港法律改革委員會秘書長黃繼兒大律師

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Corporate Lawyer Litigation Lawyer Legal Counsel Legal Counsel ISDA & Derivatives Lawyer Funds Lawyer › 1 – 5 Years PQE › 1 – 5 Years PQE › 8+ Years PQE › 5 – 8 Years PQE › 2 – 5 Years PQE › 5+ Years PQE › Leading U.S. Law Firm › Leading U.K. Law Firm › Investment Holding Company (Hong Kong Listed) › Property Developer (Hong Kong Listed) › Leading Investment Bank › Reputable Bank Our client is a leading U.S. law firm and they are looking Our client is a top-tier leading U.K. law firm with a very Reporting to the Directors, you will be working on a full range This is a newly created position for a mid-level corporate Reporting to the Head of the team, you will work closely Reporting to the Deputy Head of Legal, you will oversee for a Corporate Lawyer with 1-5 years of PQE. This is well-established litigation practice in the region, with of legal work for the Group and its subsidiaries worldwide. lawyer to work independently on a full range of legal with the senior counsels in supporting the Global asset management, cross-border transactions and fund an exciting role with excellent career prospects within ability to offer excellent career prospects. They are You will be a seasoned corporate M&A lawyer with at least 8 and company secretarial duties for the listed Group and Markets business covering Fixed Income, Equity and investment agreements. You will be trusted to draft and a prestigious U.S. law firm. This role will work closely looking to recruit an outstanding litigation lawyer who years of PQE, ideally familiar with PRC related transactions. its subsidiaries. You will be responsible for maintaining Prime Brokerage. You will oversee all legal matters in review all relevant documents covering these areas, and with the Partners to oversee transactions in Hong Kong will be focusing mainly on financial services litigation as You will be well-versed with cross-border corporate corporate governance, ensuring compliance with the relation to derivatives, ISDA, masters and confirmation, update on legislative and regulatory requirements affecting and the U.S. Reporting to the Partner responsible for the well as contentious regulatory matters. The successful transactions, company secretarial and compliance matters Hong Kong Company Ordinance, SFO and Listing where you will work closely with the business and group operations as well as maintain regular liaison with Asia practice, you will work in a team of lawyers focusing candidate will join their leading practice and will have for Hong Kong listed companies. Prior in-house corporate Rules requirements. You will also be responsible for provide relevant legal analysis, legal advice as well as regulators. The ideal candidate will be a 5 years post-qualified mainly on high profile corporate finance, private equity the opportunity to work alongside leading Partners. The experience is preferred. Those with knowledge in M&A, drafting and reviewing general corporate and commercial negotiations. The successful candidate will possess at lawyer admitted in Hong Kong, with experience in the area of and M&A deals. The ideal candidate will be qualified in successful candidate must be Hong Kong qualified, with restructuring and management of overseas assets in the legal documents. You should have at least 5-8 years least 2 years of PQE in the area of derivatives and ISDA, funds, asset management, trust or sub-custody. Knowledge Hong Kong or a common law jurisdiction, and must have at least 1-5 years of PQE and must have obtained solid infrastructure industry will be highly regarded. You will have of PQE gained from a corporate finance practice of ideally with strong knowledge in drafting and negotiating in ETFs, QDII and QFII would be useful. You must be obtained solid experience from leading international law training and exposure from highly regarded international the ability of working with senior management and internal international / prominent local law firms will be highly agreements. Overall exposure in structured products independent, with a positive work attitude and organisational firms. You must be proficient in English and Chinese. law firms. You must be proficient in English and Chinese. stakeholders, as well as be proficient in English and Chinese. regarded. You must be proficient in English and Chinese. will be useful. Proficiency in Chinese would be a plus. skills. You must be proficient in English and Chinese. Ref: H1860700 Ref: H1958890 Ref: H2139590 Ref: H2170670 Ref: H2175160 Ref: H2167120

US Securities Associate Shipping Lawyer Intellectual Property Lawyer Legal Affairs Director Transactional Lawyer Technology / Outsourcing Lawyer › 2 – 5 Years PQE › 3 – 5 Years PQE › 5+ Years PQE › 8+ Years PQE › 6+ Years PQE › 6+ Years PQE › Prestigious U.S. Law Firm › Well regarded U.K. Law Firm › Prominent E-Commerce Business › Multinational Corporation › Leading U.S. Bank › Leading Investment Bank Our client is a prestigious U.S. law firm and they are looking A well regarded U.K. law firm is looking to hire a Shipping An exciting opportunity has arisen for a mid-level IP lawyer Our client is currently seeking for a mid to senior level lawyer, You will work closely and support all businesses in the Joining a well established bank, you will provide legal advice for a U.S. securities lawyer to join their expanding practice. Lawyer who possesses experience gained within a strong to join a prominent e-commerce business covering global to take on an independent legal role covering the Asia Pacific bank, with a focus on capital markets and products. You in all Technology, Outsourcing and Data Management & This is an excellent opportunity for any legal professional shipping practice. The selected candidate will work matters.. The successful candidate will be an IP lawyer region. You will be a seasoned corporate M&A lawyer with will be advising and participating in ongoing corporate Protection matters covering 13 jurisdictions within the region. who is looking to work on high profile transactions in alongside Marine Partners and be involved in a broad with 5 years of PQE, gained in the area of trademarks on at least 8 years of PQE, qualified in PRC and ideally with an transactions, with exposure to derivatives and other You are required to draft, review and negotiate a range of Asia. For this role, you must have gained substantial range of dry and wet shipping matters. You will also take an international scale. You must be familiar with trademark additional common law qualification. You will be familiar with transactional matters. You will work closely with business vendor contracts including software, hardware, platform, knowledge on private equity, restructuring, ECM and up a lead Associate position on a wide range of matters prosecution matters, particularly outside China. Working with cross-border corporate transactions, whether it is China or leaders in APAC and in U.S. across a variety of cross- outsourcing, market data services, corporate services and DCM work as well as the ability to work independently that include handling day-to-day client contact, as well as the legal department on acquisitions, you will advise various other jurisdictions. Prior in-house corporate experience is border transactions. You will possess at least 6 years corporate real estate agreements.You will work with senior with minimal supervision. The ideal candidate will be a making contributions to the firm’s business development. business units on brand protection and related management. preferred. Direct experience in acquisitions obtained in the of PQE in the area of corporate transactions and ideally management to analyse impact in structuring regional U.S. qualified lawyer along with a JD gained from atop- Experience from leading international law firms is preferred You will also manage trademark portfolios and participate in Manufacturing industry will be highly regarded. You must be with exposure to derivatives. Prior exposure gained and global technology projects to ensure compliance with tier U.S. Law School, plus at least 2-5 years of PQE gained and proficiency in Chinese would be an advantage but not ad-hoc IP as well as corporate exercises. You will be a Hong independent with the ambition to take on regional matters within financial institutions will be highly regarded. Strong applicable laws /regulations. You will possess 6 years of PQE from a leading international law firm. The ideal candidate essential. Registered Foreign Lawyers and outstanding Kong qualified lawyer, with experience gained with a sizable and work well with senior management and various internal communication skills and good commercial sense are highly in the area of technology and IT law, both contentious and non- must be proficient in English, Cantonese and Chinese. candidates with less experience will also be considered. IP practice. You must be proficient in English and Chinese. stakeholders. You must be proficient in English and Chinese. regarded. You must be proficient in English and Chinese. contentious. You must be proficient in English and Chinese. Ref: H1995480 Ref: H2083540 Ref: H2067620 Ref: H2174080 Ref: H2171100 Ref: H2179290

Get Connected. Stay Ahead. Olga Yung, Carolyn Woo, Samantha Fong, Get Connected. Stay Ahead. To apply, visit www.michaelpage.com.hk/apply quoting the reference number or contact the following consultants: Director, Michael Page Legal Manager, Michael Page Legal Consultant, Michael Page Legal To apply, visit www.michaelpage.com.hk/apply quoting the reference number or contact the following consultants: Director, Michael Page Legal Manager, Michael Page Legal Consultant, Michael Page Legal #14778 #14778 (+852) 2848 4791 (+852) 2848 4793 (+852) 2848 4792

Specialists in legal recruitment Legal www.michaelpage.com.hk EXCLUSIVE JOB OF THE MONTH Legal Advisor › 8+ Years PQE › Hong Kong Listed Conglomerate Our client is a Hong Kong listed business conglomerate. This is a newly created position for a mid to senior lawyer to join the Legal and Company Secretarial team. You will be familiar with providing a full range of legal support and services in relation to corporate finance, banking and general commercial work, as well as being well-versed with Main Board Listing Rules, SFO, banking ordinance and compliance. You will be a seasoned corporate or banking lawyer qualified in Hong Kong, with at MICHAEL PAGE LEGAL least 8 years of PQE in relation to securities and compliance of listed companies, securities, commercial lending and asset management. Prior in house experience is preferred though not mandatory. You must be proficient in English and Chinese. { SPECIALISTS IN LEGAL RECRUITMENT Ref: H2161820

We are a specialist legal team within the leading recruitment brand of PageGroup. Our strong client network sees us working closely with international and local law firms, global and local listed and private corporations, financial institutions, as well as Hong Kong regulatory bodies.

PRIVATE PRACTICE IN-HOUSE CORPORATE IN-HOUSE FINANCIAL SERVICES

Corporate Lawyer Litigation Lawyer Legal Counsel Legal Counsel ISDA & Derivatives Lawyer Funds Lawyer › 1 – 5 Years PQE › 1 – 5 Years PQE › 8+ Years PQE › 5 – 8 Years PQE › 2 – 5 Years PQE › 5+ Years PQE › Leading U.S. Law Firm › Leading U.K. Law Firm › Investment Holding Company (Hong Kong Listed) › Property Developer (Hong Kong Listed) › Leading Investment Bank › Reputable Bank Our client is a leading U.S. law firm and they are looking Our client is a top-tier leading U.K. law firm with a very Reporting to the Directors, you will be working on a full range This is a newly created position for a mid-level corporate Reporting to the Head of the team, you will work closely Reporting to the Deputy Head of Legal, you will oversee for a Corporate Lawyer with 1-5 years of PQE. This is well-established litigation practice in the region, with of legal work for the Group and its subsidiaries worldwide. lawyer to work independently on a full range of legal with the senior counsels in supporting the Global asset management, cross-border transactions and fund an exciting role with excellent career prospects within ability to offer excellent career prospects. They are You will be a seasoned corporate M&A lawyer with at least 8 and company secretarial duties for the listed Group and Markets business covering Fixed Income, Equity and investment agreements. You will be trusted to draft and a prestigious U.S. law firm. This role will work closely looking to recruit an outstanding litigation lawyer who years of PQE, ideally familiar with PRC related transactions. its subsidiaries. You will be responsible for maintaining Prime Brokerage. You will oversee all legal matters in review all relevant documents covering these areas, and with the Partners to oversee transactions in Hong Kong will be focusing mainly on financial services litigation as You will be well-versed with cross-border corporate corporate governance, ensuring compliance with the relation to derivatives, ISDA, masters and confirmation, update on legislative and regulatory requirements affecting and the U.S. Reporting to the Partner responsible for the well as contentious regulatory matters. The successful transactions, company secretarial and compliance matters Hong Kong Company Ordinance, SFO and Listing where you will work closely with the business and group operations as well as maintain regular liaison with Asia practice, you will work in a team of lawyers focusing candidate will join their leading practice and will have for Hong Kong listed companies. Prior in-house corporate Rules requirements. You will also be responsible for provide relevant legal analysis, legal advice as well as regulators. The ideal candidate will be a 5 years post-qualified mainly on high profile corporate finance, private equity the opportunity to work alongside leading Partners. The experience is preferred. Those with knowledge in M&A, drafting and reviewing general corporate and commercial negotiations. The successful candidate will possess at lawyer admitted in Hong Kong, with experience in the area of and M&A deals. The ideal candidate will be qualified in successful candidate must be Hong Kong qualified, with restructuring and management of overseas assets in the legal documents. You should have at least 5-8 years least 2 years of PQE in the area of derivatives and ISDA, funds, asset management, trust or sub-custody. Knowledge Hong Kong or a common law jurisdiction, and must have at least 1-5 years of PQE and must have obtained solid infrastructure industry will be highly regarded. You will have of PQE gained from a corporate finance practice of ideally with strong knowledge in drafting and negotiating in ETFs, QDII and QFII would be useful. You must be obtained solid experience from leading international law training and exposure from highly regarded international the ability of working with senior management and internal international / prominent local law firms will be highly agreements. Overall exposure in structured products independent, with a positive work attitude and organisational firms. You must be proficient in English and Chinese. law firms. You must be proficient in English and Chinese. stakeholders, as well as be proficient in English and Chinese. regarded. You must be proficient in English and Chinese. will be useful. Proficiency in Chinese would be a plus. skills. You must be proficient in English and Chinese. Ref: H1860700 Ref: H1958890 Ref: H2139590 Ref: H2170670 Ref: H2175160 Ref: H2167120

US Securities Associate Shipping Lawyer Intellectual Property Lawyer Legal Affairs Director Transactional Lawyer Technology / Outsourcing Lawyer › 2 – 5 Years PQE › 3 – 5 Years PQE › 5+ Years PQE › 8+ Years PQE › 6+ Years PQE › 6+ Years PQE › Prestigious U.S. Law Firm › Well regarded U.K. Law Firm › Prominent E-Commerce Business › Multinational Corporation › Leading U.S. Bank › Leading Investment Bank Our client is a prestigious U.S. law firm and they are looking A well regarded U.K. law firm is looking to hire a Shipping An exciting opportunity has arisen for a mid-level IP lawyer Our client is currently seeking for a mid to senior level lawyer, You will work closely and support all businesses in the Joining a well established bank, you will provide legal advice for a U.S. securities lawyer to join their expanding practice. Lawyer who possesses experience gained within a strong to join a prominent e-commerce business covering global to take on an independent legal role covering the Asia Pacific bank, with a focus on capital markets and products. You in all Technology, Outsourcing and Data Management & This is an excellent opportunity for any legal professional shipping practice. The selected candidate will work matters.. The successful candidate will be an IP lawyer region. You will be a seasoned corporate M&A lawyer with will be advising and participating in ongoing corporate Protection matters covering 13 jurisdictions within the region. who is looking to work on high profile transactions in alongside Marine Partners and be involved in a broad with 5 years of PQE, gained in the area of trademarks on at least 8 years of PQE, qualified in PRC and ideally with an transactions, with exposure to derivatives and other You are required to draft, review and negotiate a range of Asia. For this role, you must have gained substantial range of dry and wet shipping matters. You will also take an international scale. You must be familiar with trademark additional common law qualification. You will be familiar with transactional matters. You will work closely with business vendor contracts including software, hardware, platform, knowledge on private equity, restructuring, ECM and up a lead Associate position on a wide range of matters prosecution matters, particularly outside China. Working with cross-border corporate transactions, whether it is China or leaders in APAC and in U.S. across a variety of cross- outsourcing, market data services, corporate services and DCM work as well as the ability to work independently that include handling day-to-day client contact, as well as the legal department on acquisitions, you will advise various other jurisdictions. Prior in-house corporate experience is border transactions. You will possess at least 6 years corporate real estate agreements.You will work with senior with minimal supervision. The ideal candidate will be a making contributions to the firm’s business development. business units on brand protection and related management. preferred. Direct experience in acquisitions obtained in the of PQE in the area of corporate transactions and ideally management to analyse impact in structuring regional U.S. qualified lawyer along with a JD gained from atop- Experience from leading international law firms is preferred You will also manage trademark portfolios and participate in Manufacturing industry will be highly regarded. You must be with exposure to derivatives. Prior exposure gained and global technology projects to ensure compliance with tier U.S. Law School, plus at least 2-5 years of PQE gained and proficiency in Chinese would be an advantage but not ad-hoc IP as well as corporate exercises. You will be a Hong independent with the ambition to take on regional matters within financial institutions will be highly regarded. Strong applicable laws /regulations. You will possess 6 years of PQE from a leading international law firm. The ideal candidate essential. Registered Foreign Lawyers and outstanding Kong qualified lawyer, with experience gained with a sizable and work well with senior management and various internal communication skills and good commercial sense are highly in the area of technology and IT law, both contentious and non- must be proficient in English, Cantonese and Chinese. candidates with less experience will also be considered. IP practice. You must be proficient in English and Chinese. stakeholders. You must be proficient in English and Chinese. regarded. You must be proficient in English and Chinese. contentious. You must be proficient in English and Chinese. Ref: H1995480 Ref: H2083540 Ref: H2067620 Ref: H2174080 Ref: H2171100 Ref: H2179290

Get Connected. Stay Ahead. Olga Yung, Carolyn Woo, Samantha Fong, Get Connected. Stay Ahead. To apply, visit www.michaelpage.com.hk/apply quoting the reference number or contact the following consultants: Director, Michael Page Legal Manager, Michael Page Legal Consultant, Michael Page Legal To apply, visit www.michaelpage.com.hk/apply quoting the reference number or contact the following consultants: Director, Michael Page Legal Manager, Michael Page Legal Consultant, Michael Page Legal #14778 #14778 (+852) 2848 4791 (+852) 2848 4793 (+852) 2848 4792

Specialists in legal recruitment Legal www.michaelpage.com.hk your profession our passion

equity Derivatives Lawyer Disputes / investigation associate Legal Counsel (Litigation) Hong Kong. 3-5 pQe. Hong Kong. nQ-3 pQe. Hong Kong. 4+ pQe. The APAC global markets team of this large A US or UK qualified attorney (local A regulatory body is keen to expand its bank seeks an entry to mid level derivatives qualifications a plus) with disputes and legal team in response to the global trend lawyer. You should be a common law regulatory investigation experience is sought of increased scrutiny of publicly traded qualified lawyer, ideally with experience from for a growing international disputes practice. companies. You will be exposed to a wide a financial house. You will be familiar with You will be working with a strong team of range of financial regulatory work including structured securitised products and OTC Hong Kong and PRC based attorneys on non-contentious advisory. You will need derivatives, futures and options and cash PRC/APAC matters. Native Mandarin skills excellent analytical skills and the ability to brokerage. ref: DH 1050148 and a strong investigations background will give practical, well reasoned advice. You be advantageous. ref: DL 1048484 must have Hong Kong qualification and Legal Counsel (insurance) training from a top firm. ref: HH 1047613 Hong Kong. 4-7 pQe. M&a / pe associate Hong Kong. 3-6 pQe. senior Legal Counsel (Construction) Life insurance experience is ideal but not paris. 8+ pQe. essential for this role with an international A top global firm seeks an experienced financial house. You may also have a financial corporate associate to join its Hong Kong A common law qualified construction lawyer background and familiarity with the SFO and the office. You should be a US or HK qualified with extensive in-house experience is sought relevant local regulatory framework. You should lawyer with strong experience in M&A and/ by one of the world’s leading projects and be a Hong Kong qualified lawyer, with fluent or PE transactions, and be fully capable of infrastructure companies. You will negotiate, English and Chinese skills. ref: DH 1048086 leading a deal. Excellent academics and fluent draft and review civil, design build, grouping Mandarin skills are required. ref: DL 1049229 and commercial contracts for large scale Legal Counsel (Banking) international projects. You must be familiar Hong Kong. 5-10 pQe. Corporate associate with FIDIC contracts. Relocation is on offer. Hong Kong. 4+ pQe. A bulge bracket bank seeks a banking savvy ref: HH 1047270 generalist lawyer with Hong Kong experience to This global firm with a highly respected senior Legal Counsel (property) join its large Hong Kong legal team. Coverage corporate practice is seeking a Hong Kong Hong Kong. 8+ pQe. includes inter alia, syndicated loans and capital qualified associate from another highly ranked markets, leveraged finance, global corporate firm to join its local team. You will have at A major developer with operations across and investment banking, corporate debt least four years experience and will have led a Europe and Asia Pacific has an opportunity products and origination. ref: DH 1049245 wide range of corporate transactions including for an experienced property lawyer. You will public listings, M&A and private equity. Fluent advise on all aspects relating to development Debt Capital Markets associate Mandarin skills are preferred. ref: DL 1044285 and property management. You must be Hong Hong Kong. 2-5 pQe. Kong qualified with solid experience including Legal Counsel (food & Beverage) vis-à-vis leasing, management of large scale This highly respected global firm is seeking Hong Kong. 3-4 pQe. entry to mid level associates to join its developments and sale of residential and non- Hong Kong office’s debt capital markets This organisation is a major retailer, processor residential projects. ref: HH 1047877 team. You will be joining a busy group of and wholesaler of food and personal hygiene lawyers handling China facing work, so fluent products. Driven by continued expansion, it Mandarin skills are required. ref: DL 1045987 now seeks a Hong Kong qualified lawyer with strong commercial and drafting experience. You will play a key advisory role on a range of operational and compliance support activities. Strong English and Chinese drafting skills are essential. ref: HH1049247

for more information about these opportunities, contact a Hays Legal expert: Daryl Hodes - in-house (financial services) opportunities e: [email protected] Daryl Lee - law firm opportunities e: [email protected] Heidi Hui – in-house (commerce & industry) opportunities e: [email protected] or +852 2521 1460. unit 5803-07, 58/f, The Center, 99 Queen’s road Central, Hong Kong.

hays.com.hk

Legal Roles - Hong Kong Our recruitment consultants are highly experienced professionals (with native Cantonese and Mandarin language skills) and are experts in legal and compliance recruitment. Having operated in Asia for over 15 years, we have built an outstanding reputation among the legal network, working with the world’s leading law firms, and the in-house legal teams of multinational corporations, global & local banks, financial services institutions and household names. For the very best job opportunities in Hong Kong, across Asia and the world, contact us today. In-House ROLES Senior M&A Lawyer . 10-15+ years A private investment company now seeks a senior lawyer to independently handle M&A transactions and to work closely with the business team, providing strategic advice to senior management. Solid experience in M&A / PE and fluent Mandarin essential. Ref: 194490 Corporate Lawyer . 3-5+ years A Hong Kong listed conglomerate seeks a legal counsel to assist on a broad range of corporate and commercial matters including M&A, JV projects, general commercial and compliance matters. Hong Kong qualification and fluent Mandarin required. Ref: 193780 Capital Markets Lawyer . 5-10+ years International investment bank seeks an experienced capital markets lawyer for a role covering both equity (IPOs, private placement) and debt (leverage finance, investment grade) capital markets. Mandarin language skills required. Ref: 194440 Private Practice ROLES Litigation . 4-6+ years Top offshore law firm is looking to grow with an additional mid-level associate. Work will include high value complex litigation involving multi-jurisdictions. The ideal candidate will have top tier regional onshore experience. Ref: 192680 Corporate finance . 2-5+ years Top tier New York law firm is looking to hire a HK qualified associate who can work on a range of capital markets and M&A deals. The market has picked up and this team has plenty of deals in the pipeline. Fluent Mandarin speaker required. Ref: 193490 Funds . 5-9+ years Leading offshore firm with an established presence is looking for a good senior associate who can work on a range of corporate and found formation work. Candidates can be coming from an onshore background and do not need Chinese language skills. Ref: 193750 For legal roles In-House, call Hayden Gordine on +852 2973 6333 or email [email protected] For legal roles in Private Practice, call Mark Coates on +852 2973 6333 or email [email protected]

taylorroot.com

PART OF THE SR GROUP @TaylorRootLegal Brewer Morris | Carter Murray | Frazer Jones | SR Search | Taylor Root UK | EUROPE | MIDDLE EAST | Asia | AUSTRALIA | OFFSHORE taylor-root EA Licence Number: 12C6222 SPECIALIST PROFESSIONAL RECRUITMENT LEGAL PROFESSIONALS

FINANCIAL SERVICES

FUNDS COUNSEL DERIVATIVES COUNSEL LEADING ASSET MANAGER INTERNATIONAL INVESTMENT BANK OAA/529340 OAA/492110 This international asset manager with a global presence is seeking a funds A European investment bank with a growing presence in APAC is seeking a counsel to join its team in Hong Kong and work across the APAC region. derivatives lawyer to join the global markets business. Reporting directly to the Reporting to the Regional General Counsel, you will work on a variety of APAC General Counsel, you will work across a broad portfolio of asset classes funds products including but not limited to hedge, private equity and real and have exposure to a wide variety of the business. estate. Documents will include private placement memoranda, investment Key Requirements: management agreements, articles and bylaws, prime brokerage agreements Key Requirements: and ISDAs etc. ■ a qualified solicitor with a minimum of three years’ PQE, ideally from an international law firm with some in-house experience Key Requirements: international law firm with some in-house experience ■ strong background in a variety of derivative products and asset classes ■ a qualified solicitor with a minimum of four years’ PQE, ideally from an ■ fluency in English and Mandarin is essential international law firm or a financial services institution ■ strong background in a variety of funds products ■ fluency in English and Mandarin is essential

FINANCIAL SERVICES PRIVATE PRACTICE

REGIONAL COMPLIANCE OFFICER COMMERCIAL LITIGATION ASSOCIATE GLOBAL ASSET MANAGEMENT LEADING LAW FIRM LQL/529770 TXS/523120 A global asset manager which provides high standard investment management An international law firm with a first class reputation in commercial litigation is and risk analysis to their clients is looking to hire a Regional Compliance Officer now seeking an ambitious junior to mid-level associate to join its practice in to join the Hong Kong office. Reporting to the Head of Compliance in the US, Hong Kong. With an exposure to represent both regional and international you will look after all regulations related to the investment activities in Hong clients including various high net worth individuals and companies alike, you Kong. will be responsible for a broad range of commercial matters.

Key Requirements: Key Requirements: ■ a minimum of seven years’ compliance or legal experience ■ a minimum of two years’ PQE; Australia, Hong Kong, or UK qualified ■ practical experience with trade related compliance matters ■ experience in general commercial litigation with exposure to financial ■ knowledge of insider dealing laws and Hong Kong regulations litigation, shareholder disputes, and general insolvency preferred ■ previous regulator experience is welcome ■ fluency in English is essential with Mandarin skills as an advantage ■ fluency in Mandarin and Cantonese is beneficial but not essential

COMMERCE & INDUSTRY

LEGAL COUNSEL LEGAL COUNSEL GLOBAL LUXURY GROUP LEADING INTERNATIONAL CONGLOMERATE EQA/519200 EQA/530330 This global luxury group with famous brands in fashion, jewellery, wines, and This leading conglomerate with well established businesses in the property, fragrances is seeking an experienced Legal Counsel to join their growing logistics, hospitality and mining industries is now seeking an experienced legal team in Hong Kong. Reporting to the Head of Legal in Hong Kong, you will be assistant to join their growing team in Hong Kong. Reporting to the General responsible for a broad range of corporate commercial work. Counsel, you will be responsible for a broad range of legal advisory work for the PRC legal department. Key Requirements: Key Requirements: ■ a qualified solicitor with a minimum of five years’ PQE, ideally from an international law firm or multinational corporation; European law qualification ■ PRC qualified with a minimum of three years’ PQE, ideally from a top tier will be advantageous PRC firm or a sizable international company with operations in Greater ■ experience drafting, reviewing and advising on cross border business China transactions; experience working in a European legal environment is highly ■ solid experience working on a variety of commercial contracts advantageous ■ fluency in English and Mandarin is essential ■ fluency in English, French or Italian is essential

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

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

ASIA Banking & Finance 7+ PQE Hong Kong Banking/Finance 2-4 PQE Hong Kong This is an excellent opportunity for a midlevel UK qualified projects lawyer Stellar position for a lawyer with solid experience of banking & to join this US law firms Energy & Infrastructure team in Hong Kong. finance to join this market-leading team and work for a Solid analytical, drafting and presentation skills coupled with commercial regarded partner across a broad range of finance matters for judgment are needed. Fluency in both spoken and written English and institutional clients. Common law qualification & Mandarin Chinese including Mandarin is preferred but not essential. HKL1342 essential. HKL1362

Corporate TMT 3-5 PQE Hong Kong Corporate M&A 2-7 PQE Hong Kong Excellent opportunity to join this global law firm and work for a This premier corporate law firm is renowned for providing it’s corporate preeminent partner on high profile deals arising in the TMT sector. You solicitors with a broad, challenging and highly rewarding corporate will advise household named clients on complex commercial agreements workload acting on complex transactions with some of the most sought amongst other things. Mandarin required. HKL1361 after global clients. HKL1348

Derivatives 1-6 PQE Hong Kong Commercial Litigation 2-4 PQE Hong Kong Fantastic opportunity for a banking lawyer to join this collegiate team Stellar opportunity for a lawyer to join this premier practice and work on seeking to recruit an individual with derivatives and structured finance some of the largest cases in the region. You will act for leading financial experience. You will work with top financial institutions and corporates. institutions and be exposed to investigatory litigation within a close-knit Mandarin essential. HKL1103 team. No need for language. HKL1369

Capital Markets 2-3 PQE Hong Kong Banking Litigation 5+ PQE Hong Kong Advance your career within the premier practice of this global firm. Solid Leading global law firm seeks a lawyer with FSR experience to join this experience in debt and equity capital markets is required to join this strong, supportive disputes team. You will represent leading investment collegiate award winning team. You will work on a range of blue chip banks and other financial institutions on complex disputes. Mandarin is transactions. Mandarin essential. HKL1368 not essential. HKL1364

Corporate M&A/IPO 1-3 PQE Hong Kong Banking & Finance NQ+ Hong Kong This top tier US law firm has an excellent work practice in place, Stellar opportunity for a junior lawyer with exposure to banking and giving associates a good mix of M&A and IPO work in a stable work finance to work with pre-eminent partners on a variety of financial environment. You will represent household names in big ticket matters and innovative products with major banks and other corporate transactions. Chinese essential. HKL1372 institutions. Fluent Mandarin required. HKL1360

Competition 4+ PQE Hong Kong Tax 2+ PQE Hong Kong Develop your career at this global firm in their market leading practice. Superb opportunity for a tax specialist to join this highly regarded award You will advise household conglomerates within technology, retail, and winning firm and work with market-leading individuals on a range of energy on all aspects of competition law. Experience in multi-jurisdictional international tax matters for premier clients. Strong knowledge of HK/ mergers preferred. HKL1363 China tax and Mandarin essential. HKL1434

Corporate M&A/PE 3+ PQE Shanghai Corporate M&A/FDI 4-6 PQE Beijing This leading practice seeks a US associate with solid M&A/PE experience Fantastic opportunity to join this global law firm, working with highly to join their team with a respected and admired partner. You will work experienced partners advising on the full range of corporate matters with MNCs with an entrepreneurial spirit. Strong academics and fluent including cross-border M&A and FDI. PRC/US qualification and Mandarin Mandarin essential. HKL1098 essential. HKL1367

Project Finance 2-8 PQE Tokyo/HK Funds 2-5 PQE Shanghai/HK Fantastic opportunity with this premier firm for a lawyer to join its This market leading practice has an unrivalled reputation in funds highly regarded project finance team renowned for its market leading and are seeking an investment funds lawyer with strong exposure to advice on complex large-scale projects around the globe. No language formation, particularly in relation to international PE funds. You will work requirement. HKL1370 for a leading light.No language requirement. HKL1326

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

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

Hong Kong • Singapore • Beijing • Shanghai

Private Practice In-House PARTNER HONG KONG / SEOUL M&A/PE HONG KONG 8 – 14 PQE Our client is a Top-tier International law firm and they are keen to expand their A well regarded private investment group is seeking a lawyer to support portfolio existing Korean business.They are interested in Korean-speaking Partners with companies across sectors including; Real Estate, Luxury Goods, IT and Shipping. a strong network of Korean clients as well as relationships with regulatory Matters covered will include M&A, Restructuring, Corporate Finance, Wealth bodies. Open to various background including Corporate, Litigation and Management and General Commercial issues. Competitive compensation on Banking & Finance. (HKL 10491) offer. (HKL 10299)

CORPORATE / M&A SINGAPORE 4 – 6 PQE LEGAL DIRECTOR SHANGHAI 8+ PQE Major global firm is looking for a mid to senior level corporate associate to join A reputable hospitality group is looking for a legal director in Shanghai. The ideal their team in Singapore. This lawyer will be involved in advising on a wide candidate should have a minimum of 8 years of general corporate experience range of mergers and acquisitions transactions. The ideal candidate should from either law firm or MNC. Management skills are required for this position. come with strong transactional M&A experience gained from a top tier local (HKL 10380) or international firm, and be qualified in either UK, Singapore or Australia. (HKL 10435) CORPORATE COUNSEL HONG KONG 3 – 6 PQE Well known MNC seeks a strong corporate/commercial lawyer to advise on a M&A SHANGHAI 3 – 5 PQE broad range of commercial and operational matters for Greater China and support A leading Asian law firm, with a good collegiate culture is looking to hire a various business units including HR, finance and supply and distribution teams. mid level associate with experience in handling M&A work and joint ventures. Solid PRC exposure and fluent Mandarin are essential. (HKL 10283) Fluency in English and Chinese required. Candidates with domestic firm experience will be preferred. (HKL 10412) IT COUNSEL SINGAPORE 3 – 5 PQE We have an excellent IT counsel role with a leading MNC. This busy team FUNDS HONG KONG 2 – 6 PQE requires a ‘hands-on’ IT lawyer who has a good grounding in IT/IT outsourcing/ Top tier international firm has additional headcount for an experienced funds TMT corporate transactional work. You must have relevant Asia regional lawyer. Equity and hedge fund experience ideal. Busy team, offering diverse experience gained in-house or in private practice with a top tier international law work and an excellent career path. Strong academic results and international firm. (HKL 10295) law firm experience required. (HKL 10459) FUNDS COUNSEL HONG KONG 2 – 5 PQE TMT H O N G K O N G 2 – 6 P Q E Market leading asset manager requires additional counsel to support HK, China Rapidly expanding TMT practice is looking to grow and has a new position for and SG businesses on a range of matters. This is an opportunity to join a collegiate a junior to mid-level TMT Associate. The ideal candidate will be ambitious, team and re-training is available for the successful applicant; however those with eager to learn and keen to be part of a highly regarded and diverse practice. previous exposure to Regulatory or Funds matters will be preferred. No Chinese This is an excellent opportunity with a well-established international firm. required. (HKL10445) Competitive salary on offer. (HKL 10489) COMMERCIAL HONG KONG 1 – 3 PQE LITIGATION HONG KONG 1 – 4 PQE Well regarded professional services firm looking to appoint a junior to mid-level A leading US law firm is looking to appoint a Litigation Associate to join lawyer to their regional legal team in Hong Kong. The role will primarily focus their well-established Litigation Practice. Excellent opportunity to gain high- on general corporate/commercial matters, supporting various business divisions, profile international arbitration and investigations work. Ideal candidate is HK with a particular focus on Greater China matters. Previous experience in IP/IT qualified with 1-4 PQE from international law firms. Mandarin is a must. (HKL advantageous. Fluent written and spoken Mandarin essential. (HKL 10336) 10479) PARALEGAL HONG KONG PARALEGAL HONG KONG A highly regarded financial institution seeks a paralegal to support their Global A prestigious international law firm seeks a senior paralegal to support their Equities Derivatives Group in Hong Kong. At least 4-5 years of transactional Capital Markets team in Hong Kong. Candidates who are PRC qualified experience required, gained in an international law firm or financial institution. will be preferred. Excellent English and Chinese language skills, including Strong academic background and fluency in English and Mandarin is essential. Mandarin, are essential. (HKL 10174) (HKL 10439)

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

Hong Kong Singapore Beijing Shanghai (852) 2920 9100 (65) 6557 4163 (86) 10 6567 8728 (86) 21 6372 1058 [email protected] [email protected] [email protected] [email protected] Hong Kong • Singapore • Beijing • Shanghai

In-House Private Practice

SENIOR REGIONAL COUNSEL HONG KONG 12+ years US SECURITIES HONG KONG 7+ years/Counsel A senior legal counsel is required for a HK-based conglomerate with a An international law firm seeks a US Securities senior associate or global business in retail & outsourcing. The ideal candidate will be at counsel for its HK team. You must be US qualified, have a US JD or LLM least 12 years qualified with general commercial experience, prior in- & have fluent Mandarin. Ideally, you will have experience in PRC legal house experience & have fluent Cantonese & Mandarin. HKL4592 issues and transactions as well as strong drafting skills. HKL4642

CONSTRUCTION LITIGATION HONG KONG 7-10 years OFFSHORE FUNDS HONG KONG 6-8 years Global name in the hospitality sector seeks a mid to senior construction Reputable offshore firm with growing presence in HK is looking to further litigator to manage contentious matters across Africa, Europe & the Middle build its funds practice with the hire of a senior associate. Candidates with East. You will work closely with the business & have significant China focus existing offshore funds experience would be ideal but those onshore with & so Mandarin is required. Strong commercial acumen essential. HKL4656 general funds or M&A experience would also be considered. HKL4522

SENIOR COMPLIANCE HONG KONG 6-10 years CONSTRUCTION HONG KONG 3-6 years Global compliance consultancy seeks a senior principal consultant to Silver Circle firm seeks a mid-level associate for its top tier construction advise clients on HK compliance requirements & to work closely with the team. Ideally, you should have contentious litigation experience gained at SFC. Ideally, you will have at least 6 years’ experience in compliance another international firm. Excellent drafting skills & HK qualification are advisory & solid knowledge of SFO regulations. HKL4311 essential. Cantonese is preferred but not mandatory. HKL4645

CAPITAL MARKETS HONG KONG 8+ years LITIGATION/RESTRUCTURING HONG KONG 3-6 years Global bank seeks a senior IPO lawyer to join its legal team. The role Leading offshore firm with strong insolvency, restructuring & dispute will primarily cover ECM although some DCM experience would also be resolution practice seeks to expand its team. You will have 3-6 PQE & helpful. Solid transactional experience in a bank or top tier firm essential as be Commonwealth qualified. Proficiency in Mandarin is preferred but not well as a proven ability to run deals & work with the business. HKL4606 essential. Good work/life balance. HKL4595

IBD LEGAL - U.S. HONG KONG 5-10 years FINANCIAL SERVICES HONG KONG 2-5 years US i-bank with a strong regional IBD team is seeking a mid to senior Silver Circle firm seeks a mid-level associate for its top tier financial level lawyer to join HK legal team. You will be US qualified with broad services team. You should have experience in derivatives & structured ECM/DCM & M&A experience although a US lawyer with pure securities products work from other reputable firms or in-house. Mandarin skills are experience will also be considered. Mandarin a plus. HKL4542 a strong advantage. Pleasant team environment on offer. HKL4632

LEGAL COUNSEL (CONTRACT) HONG KONG 5+ years TMT/IP HONG KONG 2-5 years Financial services company seeks a contract lawyer to assist with existing One of HK’s largest international firms is expanding its TMT/IP practice & new projects. We will consider candidates with experience in general & seeks a junior to mid-level associate. Candidates with experience in commercial/financial services regulatory/insurance matters. Strong drafting TMT transactions &/or broad contentious & non-contentious IP from other skills are essential. This is a 12 month contract role. HKL4652 international firms would be highly regarded. HKL4616

ese are a small selection of our current vacancies. If you require further details or wish to have LITIGATION HONG KONG 4-7 years CORPORATE - NQ HONG KONG NQ - 1 year a condential discussion about your career, market trends, or would like salary information, then Bulge bracket bank seeks a VP level legal counsel for its litigation Premier UK firm seeks a corporate NQ to join its expanding team in HK. please contact one of the following consultants in Hong Kong: & regulatory team. The role will involve financial services litigation, Applicants must have trained with a leading international firm & have strong contentious regulatory work & cross-border matters. Chinese skills academics. This is a broad role & will involve substantial China-facing work Andrew Skinner, Jennifer Donnelly, Michael Godby, Kumiko Lam or Claire Park. advantageous & HK qualified lawyers preferred. HKL4594 so Mandarin is essential. HKL4617

Hong Kong Singapore Beijing Shanghai (852) 2920 9100 (65) 6557 4163 (86) 10 6567 8728 (86) 21 6372 1058 This is a small selection of our current vacancies. Please refer to our website for a more comprehensive list of openings. [email protected] [email protected] [email protected] [email protected] Please contact Lindsey Sanders, [email protected] + 852 2537 7409 or Jenny Law, [email protected] + 852 2537 7448 Jamie Milne, [email protected] + 852 2537 7419 or email [email protected]

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

Current Opportunities

Real Estate Partner – UK Law firm Corporate Lawyer – Leading UK firm Hong Kong Hong Kong 4–7 yrs PQE An international UK law firm is looking to hire a Real Estate UK law firm based in Hong Kong seeks a senior corporate Partner with local experience and a transportable book associate for its growing practice. Due to increased of business. The firm has a sophisticated global presence workflow, the firm are looking to hire for a role involving in this practice area and are looking for a Partner to high profile capital markets and cross border M &A. establish a similarly established Hong Kong team. The role offers a track for associates aiming for partnership.

Legal Counsel – Top Tier Investment Bank Corporate Lawyer - Top Construction Firm Hong Kong 3–6 yrs+ PQE Hong Kong 6–10 yrs+ PQE Our client is currently seeking an enthusiastic legal Leading European construction company seeks a Legal counsel to join their FRC business. You will be responsible Counsel to join its HK business. Due to expansion in Asia, for providing transactional and advisory support across this new role will have a large geographical scope Hong Kong and Greater China. You will also be involved involving a range of general commercial legal issues. in advising on equities related issues in China. The role offers the opportunity to excel in the construction sector.

For a confidential discussion about these opportunities please contact:

In-house C&I Hires Bridget Hougham ( +852 3469 5220 [email protected] In-house C&I Hires Karishma Khemaney ( +852 3469 5219 [email protected] In-house FS Hires Liam Richardson ( +852 3469 5207 [email protected] In-house FS Hires Michelle Ho ( +852 3469 5223 [email protected] PP Associate Hires Mike Wright ( +852 3469 5210 [email protected] PP Partner Hires Roz Etkind ( +852 3469 5214 [email protected]

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

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