Hon. David Doyle

HONG KONG LAWYER KONG HONG 2017 S eptember 香港律師律港香

h k - l a w y e r . org TORT 被詐騙款項電郵騙案：採取緊急行動以追討 Recovery ofFunds Email Scams:UrgentActionfor 侵權 INSURANCE INSURANCE 香港的新保險業監管制度 Regulatory Regime The NewHongKong Insurance 保險人島首席法官及司法機構首長 First Deemster andClerkof theRolls, Isleof Man Hon. David Doyle Face to Face with CoverStory FINTECH 務面對潘多拉盒子裡的各樣法律風險美國監管機構近期所採取的行動，使得本地虛擬貨幣業 Currency BusinessestoPandora’s BoxofLegalRisks Recent ActionsbyUSRegulators ExposeLocalVirtual 金融科技 S eptember 封面專題專訪

2017 HK$280 二零一七年九月

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 September issue Jenkin SF Chan 陳少勳九月期刊內容 Nick Chan 陳曉峰 Peter CH Chan 陳志軒 Heidi KP Chu 朱潔冰 Elliot Fung 馮以德 Steven Brian Gallagher Warren P Ganesh 莊偉倫 Gu Minkang 顧敏康 Julienne Jen 任文慧 Dave CK Lau 劉子勁 Byron TW Leung 梁東華 George YC Mok 莫玄熾 Michelle KM Tsang 曾憲薇 Adamas KS Wong 黃嘉晟 Tony YH Yen 嚴元浩 16 COVER STORY THE COUNCIL OF THE LAW SOCIETY OF HONG KONG 香港律師會理事會 President 會長 Thomas ST So 蘇紹聰 Vice Presidents 副會長 Melissa K Pang 彭韻僖 Amirali B Nasir 黎雅明 Council Members 理事會成員 Stephen WS Hung 熊運信 Huen Wong 王桂壎 Michael J Lintern-Smith 史密夫 Billy WY Ma 馬華潤 32 TORT Cecilia KW Wong 黃吳潔華 Brian W Gilchrist 喬柏仁 Denis G Brock 白樂德 Nick Chan 陳曉峰 Bonita BY Chan 陳寶儀 Mark Daly 帝理邁 CM Chan 陳澤銘 Serina KS Chan 陳潔心 Warren P Ganesh 莊偉倫 38 INSURANCE Simon SC Lai 黎壽昌 Roden ML Tong 湯文龍 Robert C Rhoda 羅睿德 4 EDITOR’S NOTE 編者的話 Jonathan Ross 羅彰南 5 PRESIDENT’S MESSAGE 會長的話 Secretary General 秘書長 Heidi KP Chu 朱潔冰 8 CONTRIBUTORS 投稿者

Law Society’s Contact: www.hklawsoc.org.hk 10 FROM THE COUNCIL TABLE 理事會議題與律師會聯繫 Tel: +852 2846 0500 律師會秘書處資訊 Annual Subscription 全年訂閱: HK$3,360 2 1 FROM THE SECRETARIAT

Thomson Reuters Hong Kong Limited 16 COVER STORY 封面專題 16/F, Cityplaza 3, Taikoo Shing, Hong Kong Face to Face with 專訪 Tel: +852 2847 2088 Hon. David Doyle Hon. David Doyle www.thomsonreuters.com First Deemster and Clerk of the Rolls, Isle of Man 人島首席法官及司法機構首長 ISSN 1025-9554

© Copyright is reserved throughout. No part of 24 LAW SOCIETY NEWS 律師會新聞 this publication can be reproduced in whole or part without the express permission of the editor. 32 TORT 侵權 Contributions are invited, but copies of work should Email Scams: Urgent Action for Recovery of 電郵騙案：採取緊急行動以追討被詐騙 be kept, as Hong Kong Lawyer can accept no Funds responsibility for loss. 38 INSURANCE 保險 The New Hong Kong Insurance Regulatory 香港的新保險業監管制度 Regime September 2017 二零一七年九月 HK$280

Editor 編輯 44 FINTECH 金融科技 Cynthia G Claytor Recent Actions by US Regulators Expose Local 美國監管機構近期所採取的行動，使得本地 [email protected] Virtual Currency Businesses to Pandora’s Box of 虛擬貨幣業務面對潘多拉盒子裡的各樣法律 Tel: +852 2841 5775 Legal Risks 風險 Managing Editor 執行主編 50 INDUSTRY INSIGHTS 業界透視 Ranajit Dam 鄧文杰 [email protected] 60 CASES IN BRIEF 案例撮要 Tel: +65 6870 3393 70 PRACTICE SKILLS 實踐技能 Design and Production 設計及制作 And/or – A Bad Case of Conjunctivitis 和/或 – 錯用連接詞的病例 Samson Pang 彭振生 [email protected] 72 PRACTICE MANAGEMENT 執業管理 Learn Your Firm’s Secrets: Conduct Exit Interviews 離職面談：曝露律師事務所的隱秘 Translation team 翻譯組 InfoPower 78 PROFESSIONAL MOVES 會員動向 Tang Mei Kwan 80 LAWYERS AT LEISURE 律師閒情 Special thanks to Hong Kong Law Reports & Turning a Slumbering Passion into a Second 興趣轉為第二事業：專訪由律師轉行為畫家 Digest and Reuters News Career: A Conversation with Mark Roberts, 的Mark Roberts 特別感謝香港法律彙報與摘錄及 Lawyer-turned-Painter 路透社新聞 84 LEGAL TRIVIA QUIZ 法律知識測驗 For marketing/promotion opportunities 86 CAMPUS VOICES 法學院新聞 please contact: Sales Manager 銷售經理 Henry Cheng 鄭裕康 [email protected] Tel: +852 2847 2016

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All information and views expressed by contributors and advertisements in Hong Kong Lawyer do not necessarily reflect the official opinion of The Law Society of Hong Kong. 72 PRACTICE MANAGEMENT Whilst every effort is made to ensure editorial and commercial integrity, no responsibility is accepted by the Publisher or The Law Society of Hong Kong for the accuracy of material appearing in this journal. Members are encouraged to contribute but the Editorial Board of The Law Society of Hong Kong reserves the right to publish only material it deems appropriate. 80 LAWYERS AT LEISURE WHERE GREAT MINDS LIVE

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210x280v3.indd 1 25/8/2017 下午4:17 • September 2017

EDITOR’S NOTE 編者的話

Do you know the real reasons why lawyers and staff are leaving your firm? 你知道律師及職員離職的真正原因嗎？他們想要更好的 Do they want a better work-life balance? Or maybe they just aren’t cut 工作與生活平衡嗎？或者也許他們不適合在你的公司工 out for the job? Should you care about the real reasons why people are 作嗎？你是否應該關心他們離開的真正原因？ leaving? 進行離職面談的業務理由是為了知悉和改進可能對你公 The business justification for conducting exit interviews is to learn and 司產生不利影響的系統性、組織性或人際關係問題。在 improve any systematic, organisational or interpersonal issues that may be 人性化方面，離職面談是向所有律師展示你的公司關心 adversely impacting your firm. On the softer side, exit interviews are a great 他們、他們的經驗和使公司變得更美好的地方。從離職 way to demonstrate to all lawyers that your firm cares about them, their experience and making the firm a better place. Collecting exit interview 的律師那裏收集離職面談信息是確保律師事務所的領導 information from departing lawyers is a good way to ensure law firm 者能了解他們公司發生什麽情況的好方法。為了幫助你 leaders are informed about what is happening at their firm. For tips to help 建立並充分利用“離職面談”流程的技巧，請參閱執業 you establish and get the most out of an “exit interview” process, check out 管理文章 (第74頁 )。 the Practice Management article (p. 72). 在9月號的其他地方，金融科技專欄(第47頁)研究美國監 Elsewhere in the September issue, the FinTech feature (p. 44) examines 管機構最近採取的行動，對在香港及內地經營的虛擬貨 recent actions taken by US regulators that pose myriad possible legal 幣業務造成無數可能的法律後果。保險專欄(第41頁)概 consequences for virtual currency businesses operating in Hong Kong and 述了律師和市場參與者如何積極主動地應對新的保險監 the Mainland. The Insurance feature (p. 38) outlines how solicitors and market participants can be proactive in addressing the necessary changes 管制度帶來的必要變化，因為新的「保險業監管局」於 brought about by the new insurance regulatory regime, as the new 2017年6月底正式接管「保險業監理處」，成為行業監 Insurance Authority formally took over from the Office of the Commissioner 管機構。 of Insurance as the industry’s regulatory body in late June 2017. 這還包括「實踐技能」文章(第71頁 )；其中研究了 Also included is the Practice Skills article (p. 70), which examines whether “及/或”這個結構的含義是否真的像往常的被認為是明 the meaning of the construct “and/or” is really as clear as it is often 確的，以及在草擬訴狀或其他法律文件時使用它是否一 assumed to be and whether it is a good idea to use it when drafting 個好主意。會長的話(第7頁)對香港政府提出的新法例， pleadings or other legal documents. The President’s Message (p. 5) 以便更加嚴格打擊洗錢行為，及更妥善地將本管轄權法 provides a timely and in-depth critique of the Hong Kong Government’s proposal to introduce new legislation to more stringently combat money 律與清洗黑錢財務行動特別織組頒布的全球性條例配合 laundering and better align the jurisdiction’s laws with worldwide 得更好的評論，是及時和深入的。 regulations promulgated by the Financial Action Task Force. 以輕鬆音調結束，律師閒情一欄(第82頁)特意與Mark Ending on a lighter note, the Leisure section (p. 80) features an interview Roberts進行了面談，他是由一名律師轉型的畫家，他講 with Mark Roberts, a lawyer-turned-painter, who speaks about his passion 述了他對水彩繪畫的熱情，並決定在離開法律界後再以 for painting with watercolours and his decision to pursue a second career 專業藝術家作為第二職業的追求。 as a professional artist after leaving the law.

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

4 www.hk-lawyer.org September 2017 • PRESIDENT’S MESSAGE 會長的話

PRESIDENT’S MESSAGE 會長的話

Regulation or Strangulation? and record keeping and is enforceable by sanctions which are effective, proportionate and dissuasive. Everyone, including the legal profession, (b) the current relevant legislation on has a responsibility to combat money money laundering and terrorist Despite the above, the Government laundering and terrorist financing. It is financing; apparently still wants to extend the strict regulations it has imposed on the important to stay vigilant and protect (c) the basic policies and procedures banks and financial services industry ourselves from being used by criminals required of law firms; to launder the proceeds of crime through in 2012 with respect to customer due the local financial system. (d) the relevant legal issues on legal diligence requirements and attendant professional privilege, client penalties. The Bill seeks to impose The Hong Kong Government is confidentiality, litigation, civil liability new obligations on the Law Society to considering introducing new legislation and confidentiality agreements; regulate the profession and the FATF’s to more stringently combat money (e) examples of suspicious transaction standards and requirements without laundering and better align the indicators and risk areas; and acknowledging that Practice Direction P jurisdiction’s laws with worldwide already takes these into consideration. regulations promulgated by the (f) suspicious transaction reporting. Although the Government recognises Financial Action Task Force (“FATF”), The Practice Direction had immediate the Law Society’s good work, it does an organisation based in Paris of which advisory effect when it was issued. On not seem to give credit to our past Hong Kong is a member. The FATF 1 July 2008, certain parts of it, notably efforts. If it overrides our independent assesses how effectively its members the guidance on client identification and self-regulatory function and imposes are implementing its regulations by verification, customer due diligence, the same standards on all professions, performing periodic checks referred to record keeping and staff training, including accountants and estate as mutual evaluations. Hong Kong is became mandatory. Any law firm, agents, it will ignore the peculiarities of scheduled to have its next evaluation in solicitor or foreign lawyer practising in each profession and the Law Society’s 2018 and our Financial Services and the Hong Kong who fails to comply with existing regulations. Treasury Bureau is very keen to impress the mandatory provisions will face FATF. disciplinary proceedings, in addition There is no evidence or indication that there is an increasing risk that solicitors The legal profession is self-regulatory to the risk of being subject to severe and foreign lawyers will be involved in and under the statute, the Law Society consequences of criminal prosecution money laundering or terrorist financing may exercise regulatory and disciplinary and loss of reputation as a result of activities, or that the Practice Direction powers over the profession. In support of any involvement in or facilitation of is not serving its purpose. Subjecting the effort to protect the global financial money laundering or terrorist financing solicitors and foreign lawyers to the system against money laundering and activities. regulatory regime of the Anti-Money terrorist financing, we issued a Practice With the implementation of the Practice Laundering and Counter Terrorist Direction in as early as 2007 detailing, Direction, the Law Society has put in Financing (Financial Institutions) inter alia: place, for a decade by now, a legal anti- Ordinance (“AMLO”) will be out of (a) the mandatory requirements for money laundering (“AML”) mechanism proportion to the risk engendered by law firms on client identification which is binding, enforceable and solicitors and foreign lawyers in Hong and verification, client due diligence authoritative for our members. The Kong in relation to money laundering exercises, record keeping; mechanism satisfies the international and terrorist financing. standards on customer due diligence

www.hk-lawyer.org 5 • September 2017

There is no doubt on the tremendous effort that the FATF has undertaken to set the global AML standards. Nevertheless, in deciding whether to adopt the standards, consideration must be given to the peculiarity of the local situation to ensure that the standards are appropriately applied in a cost effective manner. Less than a year ago, I asked members to share their experiences on opening bank accounts in Hong Kong, as there were widespread reports that businesses were facing undue difficulties in doing so. The experiences shared ranged from members’ own encounters to observations through their handling of matters on behalf of their clients or employers. The general sentiment was that many of the account opening procedures and requirements adopted by banks were unnecessarily excessive and complicated, inflexible and time consuming. Without having access to a bank account, a business cannot successfully function here. The frustrating experience in one of the requirements will unnecessarily escalate The Law Society is studying the preliminary steps in establishing a regulatory costs on legal practices and Amendment Bill carefully and will business here is driving business owners create more obstacles for law firms to be making further representations away from Hong Kong. expand and attract new clients. to the Government and the LegCo While we fully appreciate the need The Anti-Money Laundering and as appropriate. Members are also of financial institutions to tighten Counter-Terrorist Financing (Financial encouraged to study the Amendment compliance measures to address Institutions) (Amendment) Bill 2017 was Bill and forward any comments you may concerns about money laundering and gazetted on 23 June. The Law Society have. terrorist financing, we are also aware has vigorously objected to the inclusion Many member firms have their own strict of the obstacles to genuine businesses, of solicitors and foreign lawyers as customer due diligence requirements in which are hurting Hong Kong as an one of the DNFBPs (designated non place. Changing them or adapting them international financial centre and a legal financial businesses and professionals). will be burdensome and costly. Members service hub. However, with its focus solely on the who feel that their views are not being The legal profession is the only FATF evaluation, the profession’s view listened to by the Government are profession which already has enforceable had been ignored. The Government invited to approach and write directly to AML regulations. The existing pressed ahead with the Amendment the Financial Services and the Treasury mechanism has been working well. Bill on the basis that it did not consider Bureau. There is no basis to upset the status that the current regime could satisfy the quo by tightening measures that are FATF requirements, despite the general disproportionate to the AML risks concern that an across-the-board encountered by the legal profession. implementation of stringent statutory Further, the codification of customer AML requirements could adversely affect due diligence and record keeping the business environment of Hong Kong. Thomas So, President

6 www.hk-lawyer.org September 2017 • PRESIDENT’S MESSAGE 會長的話

規管還是扼殺？

所有人均有責任打擊清洗黑錢和恐怖分法反清洗黑錢機制。該機制符合客戶盡融資的問題，但我們也清楚，這些措施子融資，包括法律界。我們必須保持警職調查和備存記錄的國際標準，透過有對真正的企業構成障礙，損害香港作為惕，以免被犯罪分子利用，透過本地財效、適度和阻嚇性的制裁執行。國際金融和法律服務中心的地位。政制度清洗犯罪收益。儘管如此，政府似乎希望擴展2012年頒法律界是唯一已經具強制執行反清洗黑香港政府正考慮引入新法例，加強打擊佈對銀行和金融服務業客戶盡職調查和錢的行業。現行的機制運作良好，無理清洗黑錢活動，令有關法例與清洗黑錢附帶罰則的嚴格規定。《條例草案》對由以收緊措施破壞現狀，亦與法律專業財務行動特別組織(「特別組織」)頒佈的律師會施加新的責任，規管法律專業，面對的反清洗黑錢風險不相稱。此外，世界性法規更加一致。該組織的總部位執行「特別組織」的標準和要求，而忽把客戶盡職調查和備存記錄要求納入法於巴黎，而香港是其成員之一。「特別視了執業指引P已顧及這點。雖然政府承例，將不必要地提高法律執業的監管成組織」通過進行定期檢查，評估成員實認律師會的工作有效，但似乎並無肯定本，並為律師行擴大業務、吸引新客戶施法規的有效性。對香港的下次評估預我們過去的努力。若其凌駕我們的獨立創造更多障礙。計將於2018年進行，財經事務及庫務局自我監管職能，而對包括會計師和地產《2017年打擊洗錢及恐怖分子資金籌集銳意令該組織留下深刻印象。代理人在內的所有行業施加劃一標準， (金融機構)(修訂)條例草案》已於6月23 就會忽視了每個專業的特殊性和律師會法律專業實行自我規管，根據法例，律日刊憲。律師會大力反對將律師和外地的現行規定。師會可對專業行使監管和紀律處分的權律師列為「指定非金融企業及行業」。力。為支持全球金融體系打擊清洗黑錢沒有證據顯示，律師和外地律師參與清然而，《修訂條例草案》只著重「特別和恐怖分子融資，我們早於2007年已發洗黑錢或恐怖分子融資活動的風險日益組織」的評估，而忽視了行業的觀點。出執業指引，當中特別指出：提高，又或執業指引無法達致目的。迫儘管普遍關注全面實施嚴格的法定反清使律師及外地律師受《打擊洗錢及恐怖洗黑錢要求，可能會對香港的商業環境 (a) 強制要求律師行識別和驗證客戶身分子資金籌集(金融機構)條例》規管，與產生不利影響，但政府認為目前制度不份、進行客戶盡職調查和備存記錄；香港律師和外地律師有關清洗黑錢和恐能滿足「特別組織」的要求，決意推行 (b) 有關清洗黑錢和恐怖分子融資的現行怖分子融資帶來的風險不成比例。《修訂條例草案》。法例；「特別組織」毫無疑問不遺餘力制訂全律師會正詳細研究《修訂條例草案》， (c) 對律師行的基本政策和程序要求；球反清洗黑錢標準。然而，在決定是否並會進一步向政府和立法會交涉。律師 (d) 有關法律專業特權、客戶保密、訴採納該標準時，必須考慮本地情況的特會亦鼓勵會員研究《修訂條例草案》，訟、民事責任和保密協議的法律問殊性，以確保標準以最具成本效益的方就其表達意見。題；式適當落實。許多會員律師行均設有嚴格的客戶盡職 (e) 可疑交易指標和風險領域的例子；不足一年前，我請會員分享在香港開設調查要求。要求他們改變或適應，將對 (f) 可疑的交易報告。銀行賬戶的經驗，因為有廣泛報導指企他們構成沉重而昂貴負擔。會員可直接業在這方面面對困難。會員分享了親身致函財經事務及庫務局，向政府反映意執業指引發佈後即具諮詢效果。當中某經驗或代表客戶或僱主處理事宜時的觀見。些部份，特別是就客戶識別和驗證、客察。會員反映的一般情況是，銀行開戶戶盡職調查、備存記錄和員工培訓方面手續和要求不必要地繁複、缺乏彈性而的指引，由2008年7月1日起強制實行。耗時。企業無法開立銀行賬戶，就無法律師行、律師或在香港執業的外地律師在香港成功運作。在香港建立業務的準若不遵守強制規定，可能遭受紀律處備步驟令人沮喪，令企業放棄在香港建分，甚或因涉及協助清洗黑錢或恐怖分立業務。子融資活動而被刑事檢控，喪失聲譽。雖然我們完全明白金融機構有需要收緊執業指引落實10年以來，律師會建立了合規措施，以解決清洗黑錢和恐怖分子對會員具約束力、可執行和具權威的合蘇紹聰會長

www.hk-lawyer.org 7 • September 2017

CONTRIBUTORS 投稿者

Nick Luxton Nick Luxton Gilt Chambers, Barrister Gilt Chambers,大律師 Nick Luxton is a barrister at Gilt Chambers, practising in Luxton先生是Gilt Chambers的大律師，從 commercial law, insurance and maritime law. Mr. Luxton 事商業法，保險和海事商法。他在澳大利 was called to the Bar after almost 15 years’ experience as 亞和香港作為處理商業糾紛的事務律師有 a solicitor handling commercial disputes in Australia and Hong Kong. He has experience in fraud matters, insolvency 近十五年經驗之後，獲認許成為大律師。 disputes, contract claims, employment law and banking 他在欺詐事宜，破產糾紛，合約申索，僱 law, together with related injunction applications. He 傭法和銀行法以及有關的禁制令申請方面 regularly appears in admiralty actions in the Hong Kong 解具有經驗。他經常參與在香港高等法院 High Court and in maritime arbitrations. 的海事訴訟和海事仲裁中。

Peter Gregoire Peter Gregoire AIG Insurance Hong Kong Limited, 美亞保險香港有限公司法律總顧問 General Counsel Gregoire先生是美亞保險香港有限公司的總 Mr. Gregoire is the General Counsel of AIG Insurance 法律顧問，負責公司所有的法律、監管和公 Hong Kong Limited, responsible for all legal, 司管治問題。他同時也作為美國國際集團在 regulatory and corporate governance issues at the company. He double-hats as commercial lines legal 亞太區商業事務的法律顧問。Gregoire先生 counsel for AIG across the APAC region. Mr. Gregoire 是香港大學的名譽講師,擔任學士後法律證 is also an Honorary Lecturer at Hong Kong University 書(PCLL)課程「商業爭端解決」選修科的兼 where he served as a part-time tutor for the 職導師。他在業餘時間寫小說，已出版了兩 Commercial Dispute Resolution Elective on the PCLL 部。 course. In his spare time, he writes fiction and has published two novels.

8 www.hk-lawyer.org September 2017 • CONTRIBUTORS 投稿者

Benjamin Sauter Benjamin Sauter Kobre & Kim LLP, Principal 高博金律師事務所主要負責人 Benjamin Sauter, a US-based lawyer at Kobre & Kobre＆Kim律師事務所的美國律師Sauter先生 Kim LLP, routinely represents companies in high- 經常以律師身份代表涉及商品、期貨、掉期和 stakes litigation involving commodities, futures, 其他證券及衍生工具的高風險公司的訴訟。他 swaps, and other securities and derivatives. His representations often involve clients confronting 代表的當事人往往涉及面對監管和刑事執法程 regulatory and criminal enforcement proceedings. 序。他是「數碼貨幣和分類帳防禦聯盟」的一 He is part of the Digital Currency & Ledger Defense 分子，這是一個由50多位致力於保護美國區塊 Coalition, a group of over 50 lawyers dedicated to 鏈創新者的律師團。 protecting US blockchain innovators.

John Han 韓星 Kobre & Kim LLP (Hong Kong), Principal 高博金律師事務所主要負責人 John Han is a dual-qualified Hong Kong and US civil 韓先生是Kobre＆Kim的擁有雙重資格香港 litigator at Kobre & Kim focusing on cross-border disputes 和美國民事訴訟人，專注於涉及美國、香 and government enforcement actions involving the US, 港和中國的跨境糾紛和政府執法行動。他 Hong Kong, and China. He regularly represents Hong 經常代表香港和中國的機構，處理步及美 Kong and China-based institutions in US regulatory and criminal enforcement proceedings and civil litigation 國監管和刑事執法的程序，以及涉及復雜 involving complex financial instruments including 金融工具(包括證券，衍生工具和商品)的民 securities, derivatives, and commodities. 事訴訟。

www.hk-lawyer.org 9 • September 2017

FROM THE COUNCIL TABLE 理事會議題

Consultation on the Securities and Futures (Open-ended 有關《證券及期貨(開放式基金型公司)規 Fund Companies) Rules and Code on Open-ended Fund 則》及《開放式基金型公司守則》的諮詢 Companies 證券及期貨事務監察委員會(「證監會」)於2017年6 The Securities and Futures Commission (“SFC”) on 28 June 2017 launched 月28日發表了有關《證券及期貨(開放式基金型公司) a consultation on the “Securities and Futures (Open-ended Fund Companies) 規則》及《開放式基金型公司守則》的諮詢文件。在 Rules and Code on Open-ended Fund Companies” (“Consultation Paper”). 諮詢文件中，證監會提出了規管香港開放式基金型公 In the Consultation Paper, the SFC proposed rules and codes to regulate 司結構的法則與法規。這些法則與法規是繼2016年6 the open-ended fund company (“OFC”) structure in Hong Kong. These rules and codes were introduced following the promulgation of the 月頒佈《證券及期貨(修訂)條例》後提出的，授權證 Securities and Futures (Amendment) Ordinance in June 2016, which inter 監會制定附屬法例，並就規管開放式基金型公司發出 alia, empowers the SFC to make subsidiary legislation and to issue codes 法規和指引。 and guidelines in relation to the regulation of OFCs. 諮詢文件附載了《開放式基金型公司規則》(《公司規 The draft Securities and Futures (Open-ended Fund) Companies Rules 則》)的草擬本。《公司規則》列明以下事宜的法定要 2017 (“OFC Rules”) was set out in the Consultation Paper. The OFC Rules 求：公司的組成與營運、開放式基金型公司的主要經 provide for statutory requirements on matters such as company formation 營者、公司註冊處的職能、傘子基金及子基金結構的 and maintenance, the key operations of the OFC, the functions of the Companies Registry (“CR”), the segregated liability feature for umbrella 法律責任分隔特點和開放式基金型公司的子基金交叉 and sub-funds structures and cross-investments of sub-funds of OFCs, 投資、安排及妥協，及適用於開放式基金型公司及其 arrangements and compromises as well as offences applicable to OFCs 主要經營者的罪行。諮詢文件亦附載了建議的《開放 and their key operators. Also included in the Consultation Paper was a 式基金型公司守則》(《公司守則》)，載列了適用於 set of proposed Code on OFC Companies (“OFC Code”). The OFC Code 開放式基金型公司及其主要經營者在經營開放式基金 contains a set of general principles with which all OFCs and their key 型公司時必須遵守的一般原則。 operators will be expected to comply in the management and operation of their OFCs. 《公司規則》和《公司守則》的其中一項主要特點， One of the main features in the OFC Rules and OFC Code is the proposal 是建議開放式基金型公司採取一站式申請的做法。根 of a one-stop approach in the OFC application. Under this proposal, the 據建議，開放式基金型公司的申請人只須向證監會遞 applicant for an OFC only needs to submit all the documents and fees 交證監會及公司註冊處規定的所有文件及費用。證監 required by the SFC and the CR to the SFC. The SFC’s registration would 會的註冊將在公司註冊處發出公司註冊證明書當日生 take effect upon the issuance of a certificate of incorporation by the CR. In 效。簡而言之，申請人只需與證監會聯繫以進行一切 short, the applicant would only have to deal with the SFC for all registration processes. 註冊和登記事宜。 The above consultation was considered by the Council with the assistance 理事會在投資產品與金融服務委員會的協助下研究了 of the Investment Products & Financial Services Committee of the Law 該諮詢文件。理事會審視並通過了由委員會撰寫的意 Society. The Council reviewed and endorsed the draft submission prepared 見書草擬本，以回應該諮詢文件。在意見書中，律師 by the Committee to respond to the Consultation Paper. In the submission, 會表達了支持在香港的制度引入開放式基金型公司。 the Law Society expressed support for the introduction of OFC to the Hong 若能適當執行規則和條例，香港的開放式基金型公司 Kong regime. Subject to proper implementation of rules and regulations, the OFC structure in Hong Kong should be a welcome development to 架構應是值得歡迎的發展，有助香港發展成為提供全 position Hong Kong as a full-service international asset management 方位服務的國際資產管理中心及基金的首選註冊地。 centre and preferred fund domicile. 意見書全文請瀏覽律師會網站： The full submission on the above can be found on the Law Society’s http://www.hklawsoc.org.hk/pub_e/news/ website: http://www.hklawsoc.org.hk/pub_e/news/submissions/20170816.pdf. submissions/20170816.pdf。

10 www.hk-lawyer.org September 2017 • FROM THE COUNCIL TABLE 理事會議題

Consultations on “The New Board Concept Paper” and 有關建議設立創新板及檢討創業板及修訂 on the “Review of The Growth Enterprise Market (GEM) 《創業板規則》及《主板規則》的諮詢 and Changes to the GEM and Main Board Listing Rules” 香港聯合交易所有限公司(「聯交所」)於2017年6月 The Stock Exchange of Hong Kong Limited (“SEHK”) issued two 16日分別發出建議設立創新板的諮詢文件(創新板諮詢 consultation papers on 16 June 2017 respectively on “The New Board 文件)及檢討創業板及修訂《創業板規則》及《主板規 Concept Paper” (“New Board Paper”) and “Review of The Growth Enterprise Market (GEM) and Changes to the GEM and Main Board Listing 則》的諮詢文件(創業板諮詢文件)。 Rules” (“GEM Paper”). 創新板諮詢文件介紹了聯交所在香港設立的全新上市 The New Board Paper introduced the proposal of setting up a new 板塊(「創新板」)的建議，以接納目前無資格在聯交 listing board in Hong Kong (“New Board”) under SEHK to accommodate 所主板或創業板上市的公司。 companies that are currently not eligible to be listed in either the main board of SEHK (“Main Board”) or Growth Enterprise Market (“GEM”). 根據建議，「創新板」將分為創新初板和創新主板。 Under the proposal, the New Board will be divided into two segments, 創新初板的對象為未符合創業板或主板財務或營業紀 namely, “New Board PRO” and “New Board PREMIUM”. New Board PRO 錄條件的初創公司，將只開放予專業投資者，因此首 will be targeted at earlier stage companies that do not meet the financial 次上市規定較為「寬鬆」。創新主板的對象為已符合 or track record criteria for GEM or the Main Board. It will only be open 主板財務及營業紀錄規定，但由於採用非傳統的管治 to professional investors, and accordingly it will adopt a “lighter touch” 架構，目前並不符合在港上市條件的公司，將開放予 approach to initial listing requirements. The New Board PREMIUM is for companies that meet the existing financial and track record requirements 散戶參與，因此會採取更加嚴格的監管方針。 of the Main Board, but which are currently ineligible to list in Hong Kong 創業板諮詢文件建議改革《創業板規則》和《主板規 because they have non-standard governance structures. New Board 則》，以回應市場近期對創業板申請人及主板上市 PREMIUM will be open to both professional and retail investors; therefore a more stringent regulatory approach has been proposed. 發行人的質素及表現的關注。創業板諮詢文件內的主要建議包括：(i)重新定位創業板，從作為主板「踏腳 The GEM Paper proposed changes to both the GEM and Main Board Listing Rules to address recent concerns on the quality and performance 石」，變為一個獨立板塊，創業板轉至主板的申請人 of GEM applicants and Main Board issuers. Major proposals under the 將要委任保薦人及刊發達到「招股章程標準」的上市 GEM paper include: (i) repositioning GEM from being a stepping stone to 文件；(ii)保留現行不要求符合主板上市規定的創業板 Main Board to become a “stand-alone” board such that GEM applicants, if 申請人在主板(而非創業板)上市的做法；及(iii)提高上 they want to transfer to the Main Board, will need to appoint a sponsor and 市發行人證券在上市時的最低公眾持股市值：創業板 issue a “prospectus-standard” listing document; (ii) retaining the current practice of not requiring a GEM applicant that can meet the Main Board 發行人由3,000 萬港元增至 4,500萬港元；主板發行 admission requirements to list on the Main Board instead of GEM; and 人由5,000萬港元增至1.25億港元。創業板諮詢文件 (iii) increasing the minimum public float value of a GEM issuer’s securities 亦提出其他修訂，以反映目前可被接納的市場準則。 from HK$30 million to HK$45 million, and from HK$50 million to HK$125 million for a Main Board issuer’s securities. Other amendments have also 在企業委員會的協助下，律師會提交了意見書，分別 been proposed in the GEM Paper to reflect currently acceptable market 回應兩份諮詢文件。律師會表示支持提高創業板及主 standards. 板誠信和吸引力、打擊「種殼」而採取的措施。但 With the assistance of the Company Committee, the Law Society has 是，認為聯交所在取消創業板轉移至主板的機制上， prepared submissions to respond to the two consultation papers. The Law 應持開放態度。至於引入「創新板」，律師會則表示 Society expressed full support for steps that would be taken to improve 保留。 the integrity and attractiveness of the GEM and Main Board as well as combating shell planting. However, the SEHK should keep an open mind 律師會意見書全文可瀏覽： on the removal of the transfer mechanism from GEM to Main Board. As to 設立創新板的諮詢文件：http://www.hklawsoc.org. the introduction of New Board, the Law Society expressed reservation. hk/pub_e/news/submissions/20170818a.pdf。 The Law Society’s submissions on the above can be found at the links below: 創業板諮詢文件：http://www.hklawsoc.org.hk/ pub_e/news/submissions/20170818.pdf。 New Board Paper: http://www.hklawsoc.org.hk/pub_e/news/ submissions/20170818a.pdf. GEM Paper: http://www.hklawsoc.org.hk/pub_e/news/ submissions/20170818.pdf.

www.hk-lawyer.org 11 • September 2017

FROM THE SECRETARIAT 律師會秘書處資訊

Ms. Heidi Chu, Secretary General 秘書長朱潔冰律師

Code of Good Practice in Recruitment of Trainee 招聘實習律師良好實務守則 Solicitors 在香港要取得律師資格，通常需要7年，其中接近三 It normally takes seven years to qualify as a solicitor in Hong Kong through 分之一時間(即兩年)必須在律師行擔任實習律師。 the trainee solicitor route. Out of this period, nearly one-third (ie, two years) 實習期為實習律師提供機會，學習法律執業和法律 must be spent in a traineeship with a law firm. 專業相關基本技巧和特點。這個獲取律師資格過程 A traineeship provides a Trainee Solicitor with the opportunity to learn basic 的重要階段，不僅讓實習律師觀察和建立當資深律 skills and characteristics associated with the practice of law and the legal 師所需的熟練技巧，亦讓律師行的主管有機會培養 profession. This important stage in the solicitor qualification process allows not only a Trainee Solicitor to observe and develop the technical proficiency 和示範行業內備受尊重的態度、習慣和美德。實習 of experienced lawyers, but also gives the Principal an opportunity to 期的經驗能塑造新血的專業發展，令他們成為行業 nurture and role model the attitudes, habits and virtues that characterise 未來的領導者。 the long-respected traditions of the profession. The traineeship experience 律師行之間爭奪合適的實習律師的競爭激烈，PCLL can significantly shape the development of professionalism for new entrants, who will become the future leaders of our profession. 畢業生之間爭奪吸引的實習職位的情況亦然。一方面，律師行為聘得最佳人選，往往會提早開始招 Competition among law firms for suitable trainees, and among PCLL graduates for attractive training offers, is fierce. On one hand, to secure the 聘。另一方面，畢業生為加入心儀的律師行，往往 best candidates, law firms started recruitment earlier. On the other hand, to 為了更吸引的職位而放棄已接受的聘約。 get into their dream firms, candidates renege on training offers they have 為協助律師行和畢業生進行有效、公開、公正的招 accepted for other offers that appear more attractive to them. 聘程序，律師會於2013年發表了《招聘實習律師良 To assist both law firms and candidates to achieve an effective, open and 好實務守則》(《守則》)。 fair recruitment process, the Law Society published a Code of Good Practice in the Recruitment of Trainee Solicitors (“Code”), which has been available 《守則》建議律師行不遲於實習合約開始前兩年的 since 2013. 8月1日，向實習律師提供聘約(書面或口頭)，並給 Law firms are advised to make offers (written or verbal) for employment 予申請人最少兩週時間確認是否接受。一旦申請人 of trainee solicitors no earlier than 1 August of the year which is two years 接受聘約，就必須通知所有其他提供聘約或邀請面 prior to the intended year of commencement of the training contract, and 試的僱主，他不再提出實習合同申請，並拒絕任何 to give applicants at least two weeks to accept an offer. Once an applicant 其他聘約(《守則》第9條)。 has accepted an offer, he or she must inform all other employers who have made an offer or extended an invitation to attend an interview, make no 實習期某程度上可決定個人的法律職業道路。申請 further applications for a training contract and reject any further offers 人在接受聘約前，必須慎重考慮。如需要更長時間 (para. 9 of the Code). 考慮，他們應尋求律師行同意延長答覆期限。 To a certain extent, a traineeship can be determinative of one’s career path 另一方面，正如《守則》指出，律師行應至少給予 in law. Applicants must carefully consider an offer before accepting it. If 申請人兩週時間確認是否接受聘約，若申請人有 more time is required, they should seek agreement from the law firm to extend the deadline for reply. 合理理由要求延長答覆期限，律師行應從寬考慮。

12 www.hk-lawyer.org September 2017 • FROM THE SECRETARIAT 律師會秘書處資訊

On the other hand, as stated in the Code, law firms should give candidates 不過，有學生曾反映，他們只獲很短的答覆期 at least two weeks to confirm whether or not they wish to accept an offer and 限，有時甚至要在同一天內確認聘約。對申請 sympathetic consideration should be given to a request for a time extension 人非常不公平，可能會迫使申請人作出不確定 provided there is a good reason. However, there have been informal reports 的決定，更容易被隨後的聘約吸引。 by students that they were given only a very short period to reply and in some cases, confirmation was required on the same day an offer was made. This is 不過，申請人必須注意，一旦接受聘約，聘約 grossly unfair to the candidates. It may rush them into making a decision which 就變成履行法律責任的承諾。違背承諾令人質 they feel unsure about, making them more vulnerable to being attracted to 疑個人履行承諾的誠信、浪費律師行在招聘過 subsequent offers. 程的資源、剝奪其他申請人獲該律師行提供聘 Nevertheless, candidates must note that once accepted, an offer becomes a 約的機會，同時擾亂該律師行的運作，因為律 commitment to a legal obligation. Reneging on it sheds doubt on the personal 師行必須重新分配人手和資源以填補突如其來 integrity to honour commitments, wastes all the resources the recruiting 的空缺。 firm has spent on the recruitment process, deprives other candidates of the opportunity of an offer from the firm and disrupts the operation of the firm 儘管《守則》有所規定，律師會自2013年發表 which has to reallocate manpower and resources to fill the sudden vacancy. 《守則》以來收到3間律師行關於申請人為了 Despite the provisions in the Code, since its publication in 2013, the Law Society 接受其他聘約而違反實習僱傭合約的通知。為 has received three notifications from law firms on candidates breaking the 確保實習律師在申請註冊實習律師合約時，律 trainee employment contract for other offers. To ensure that any such conduct 師會知悉此類行為，「實習律師合約註冊申請 is drawn to the attention of the Law Society at the time when a trainee applies to register his or her trainee solicitor contract, the Application for Registration 書」自2017年6月5日起已作出修訂，要求申請 of Trainee Solicitor Contract has been amended with effect from 5 June 2017 to 人聲明是否已遵守《守則》第9條。 require an applicant to declare whether he or she has complied with para. 9 of 律師會在考慮申請人是否適合註冊為實習律師 the Code. 時，會考慮所有情況，包括申請人違反《守 All circumstances including non-compliance with the Code will be taken into 則》的情況。 account when the Law Society considers whether an applicant is suitable for registration as a trainee solicitor. 大多數國際律師行均有系統化的招聘活動，並在潛在申請人法律本科畢業前一年，即實習 Most of the international firms have structured recruiting exercises and they recruit two years before the commencement of the training contracts when 合約開始前兩年進行招聘。律師會已向3間法 potential candidates are in their penultimate year of the undergraduate law 律學院提供《守則》，以供其法律學生參考。 programme. The Law Society has provided the three law schools with a copy of 《守則》、「實習律師合約註冊申請書」和其 the Code so their law students can remain informed. The Code, the Application 他相關文件，已載於律師會網站「Information for Registration of Trainee Solicitor Contract and other relevant documents are Package for Trainee Solicitors」一欄。我們建 contained in the Information Package for Trainee Solicitors posted on the Law Society website. All law students about to go through the recruitment process 議即將進入招聘程序的法律學生仔細閱讀《守 are strongly advised to review the Code carefully. 則》。

www.hk-lawyer.org 13 • September 2017

Upcoming Deadlines 截止日期將至 • Solicitors to whom s. 5 of the Practising •《執業證書(特別條件)_規則》(第159 Certificates (Special Conditions) Rules (Cap. 159 章附屬法例)(「特別條件規定」)第 Sub. Leg.) (“Special Conditions Rules”) apply 5條對其適用的律師，須於申請執業 must give at least six weeks’ notice to the Law 證書之前的最少6星期前，向律師會 Society before applying for their practising 發出通知書。為確保2018年執業證 certificates. To ensure that the 2018 practising 書及時發出，申請執業證書的律師， certificates will be issued in time, the Notice of 須就其根據特別條件規定所發出的擬 Intention to apply for a Practising Certificate required under the Special Conditions Rules 申請執業證書通知書作出聲明，並於 should be declared and returned to the Law 2017年10月6日前將通知書交回律 Society by 6 October 2017. 師會。 • The professional indemnity cover for Hong Kong • 香港律師行2016/2017彌償年度 law firms for the 2016/2017 indemnity year will 的專業彌償保障將於2017年9月30 expire on 30 September 2017. The contribution 日屆滿。2017/2018彌償年度的供 for the 2017/2018 indemnity year which 款於2017年10月1日開始，並須於 commences on 1 October 2017 must be paid on 2017年9月30日或之前繳交。 or before 30 September 2017.

Monthly Statistics on the Profession 業界每月統計資料 (updated as of 31 July 2017): (截至2017年7月31日)：

Members (with or without practising certificate) 10,592 會員(持有或不持有執業證書) 10,592 Members with practising certificate 9,237 持有執業證書的會員 9,237 (out of whom, 6,892 (75%) are in private practice) (當中有6,892位 (75%) 是私人執業) Trainee Solicitors 994 實習律師 994 Registered foreign lawyers 1,337 註冊外地律師 1,337 (from 32 jurisdictions) (來自32個司法管轄區) Hong Kong law firms 882 (48% are sole proprietorships and 香港律師行 882 (獨資經營佔48%，2至5名合夥人的 41% are firms with 2 to 5 partners, 15 are limited liability 律師行佔41%，15間為按照《法律執業者條例》 partnerships formed pursuant to the Legal Practitioners Ordinance) 組成的有限法律責任合夥律師行) Registered foreign law firms 80 (9 are limited liability partnerships formed 註冊外地律師行 80 (9間為按照《法律執業者條例》 pursuant to the Legal Practitioners Ordinance) 組成的有限法律責任合夥律師行) 100 Civil Celebrants of Marriages 2,081 婚姻監禮人 2,081 Reverse Mortgage Counsellors 445 安老按揭輔導法律顧問 445 95

Solicitor Advocates 49 訟辯律師 49 75 (44 in civil proceedings, 5 in criminal proceedings) (民事程序：44位，刑事程序：5位) Student Members 221 學生會員 221

Registered Associations between Hong Kong law firms and 36 香港律師行與外地律師行 36 25 registered foreign law firms (including Mainland law firms) (包括內地律師行)在香港聯營 5

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16 www.hk-lawyer.org September 2017 • COVER STORY 封面專題

Face to Face with Hon. David Doyle First Deemster and Clerk of the Rolls, Isle of Man

By Cynthia G. Claytor

The Hon. David Doyle, First Deemster and Clerk of the Rolls of the Isle of Man (the Chief Justice of the island’s High Court of Justice), who spent his formative years in Hong Kong, reflects on his career in law and the utility of continued exchanges between the Isle of Man and Hong Kong.

n 1965, together with his parents and drinking 7UP® and Green Spot and has followed the developments in Hong Ithree elder sisters, the Hon. David trying to stay away from the sea urchins. Kong with great interest. When he was a Doyle, First Deemster and Clerk of the He remembers boat trips around the practising Manx advocate (1984–2003), Rolls of the Isle of Man, moved to Hong islands, walking his dog around Tai he had numerous clients in Hong Kong. Kong. His parents were from the Isle of Tam reservoir, the Dragon Boat races, As a Deemster, he has returned to Hong Man, a little island of some 572 square Chinese New Year, days off from school Kong on a number of occasions and kilometers in the middle of the Irish Sea. during typhoons, having curfews during at times, he has cited Hong Kong case In the 1960s, the Isle of Man’s economy the riots and playing and watching lots law as persuasive precedent as a sitting was struggling. With few jobs available, of football. He even met the famous Manx judge. The Deemster spoke to us many Manx people left the Island to Brazilian footballer, Pelé, at the Hong remotely about his career in law and build their careers abroad. Kong Hilton and got his autograph. the benefit of the continued exchanges between the two island jurisdictions. Deemster Doyle’s father moved his He also remembers many exciting and family to Hong Kong so he could take safe landings at the old Kai Tak airport, A Rebellious Streak a job with the Hong Kong Telephone in the early days on BOAC’s VC10s, with Company. “On the Isle of Man and in the approach past Lion Rock and seeing When reflecting on his decision to pursue England, he had been climbing up people in their flats brushing their teeth. a career in law, the Deemster noted the telephone poles,” the Deemster He was also able to go up around Hong that he had recently found an old yellow explained. “In Hong Kong, he Kong air space in a small aircraft, which programme entitled in blue “The Royal expeditiously climbed up the career encouraged him to take flying lessons in Hong Kong Jockey Club: Saturday ladder and ultimately became the Chief his 20s. 1 April 1978 $2” when rummaging Engineer of the Hong Kong Telephone through a stack of family papers. It “Hong Kong is special to me and I Company in 1975.” seemed to immediately transport him frequently feel a strong pull to come back to that Saturday afternoon in Hong The Deemster spoke fondly of his back. Although my home is in the Isle of Kong, when his family mingled amongst childhood in Hong Kong. He lived on Old Man, I still feel that a part of me belongs the likes of Sir Oswald Cheung CBE Peak Road and recalls passing many in Hong Kong,” he said. QC JP and Sir Denys Roberts KBE QC a day at Big Wave Bay, swimming and Since leaving in the 1980s, the Deemster JP, two honorary Race Day Stewards. attempting to surf, eating ice creams,

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As they arrived, Sir Douglas Clague, Subsequently, he became a partner It is frequently packed with surprises, another Manx family in Hong Kong, at Dickinson, Cruickshank & Co. and challenges and new legal issues to warmly greeted them as a Race Meeting later was appointed head of the firm’s determine. It is sometimes stressful, and Steward, and before the day was out, Sir Commercial Department. In September it is right to acknowledge that and to Douglas and his wife Peggy had signed 2002, he was appointed part-time take steps to deal with it, but it is always the now-faded programme with the Deputy High Bailiff (similar functions worthwhile. I know I am extremely following message: to an English District Judge) and fortunate to love my life, my family, Coroner of Inquests. He remained with my work and the island I live on,” the “To David – Why not law in the Island? Dickinson, Cruickshank & Co. (now Deemster said. Lot of future don’t you think?” known as Appleby) until March 2003 “I’d like to say that such comments when he retired from private practice Not So Different inspired me to become a lawyer and to take up the position, following an Hong Kong and the Isle of Man are then a judge in the Isle of Man, but the open competition, of Second Deemster. both internally self-governing island truth is that they simply nurtured a seed In December 2010, Deemster Doyle communities which are heavily that had already been planted in my was appointed by Her Majesty Queen influenced by those close to them – mind a few years earlier by my father,” Elizabeth II as the First Deemster in the Isle of Man’s case the United he said. and Clerk of the Rolls, again by open Kingdom and Ireland, and in Hong “I remember my father, when I was competition. In January 2015, he was Kong’s case China, the Deemster a rebellious teenager in Hong Kong, appointed a part-time Judge of Appeal explained. “Our constitutional structures having that awkward but essential of the Courts of Appeal of Jersey and are however a little different. The Isle fatherly talk which most fathers have Guernsey by Her Majesty the Queen. of Man is in effect an internally self- with their children at some stage. We “I thoroughly enjoyed my time in private governing dependency of the British were sitting on the balcony admiring the practice and I miss the comradery and Crown. We are not, and never have been, view of Hong Kong and discussing what I relative freedom, and I suspect that a part of the UK. We enjoy our internal was going to do with my life. His parental my family misses the long summer independence. We are not a member advice went along the following lines: holidays! But life on the judicial bench, of the European Union but, as we do a lot of trade within the British Isles and ‘Son, whatever you do with your life be although somewhat lonely and isolated Europe, Brexit will inevitably have an kind to others, don’t forget where you on occasions, has provided me with a impact on us and indeed the rest of the came from, try and make a contribution, great sense of personal satisfaction. world, including Hong Kong. The British put more in than you take out, and I nearly always drive to work early in Crown retains responsibility for the Isle most importantly do what you do to the the morning looking forward to the of Man’s defence and for ensuring the best of your limited ability whether you challenges of the day ahead and I never good government of the Island. We have are cleaning the streets or whether you drive home at night thinking ‘that was our own Parliament (Tynwald which end up as the Prime Minister. Oh, and a dull day’. Judicial life is never boring. do not be a lawyer or an accountant. They are simply financial parasites which live off the problems of others.’ I took most of that advice but rebelled against the last bit. I didn’t want to enter politics and I didn’t have the brains or numerical ability to be an accountant, so I chose to do a law degree,” he said.

From the Bar to the Bench Deemster Doyle was called to the English Bar in 1982. Afterwards, he worked in the litigation department of Slaughter and May in London, and then, in 1984, returned to the Isle of Man to become a Manx advocate, as he had always intended.

18 www.hk-lawyer.org September 2017 • COVER STORY 封面專題

is the oldest continuous parliament in “Hong Kong and the Isle of Man also the world dating back to 979 AD). We face a challenge in ensuring that our have our own legislature and our own communities are not complacent and executive government which respect the that they appreciate the value of the rule rule of law and the separation of powers. of law to the fair and just existence and We have our own judiciary and we have progression of a community. I do not our own laws. Our High Court judges are speak of the value in solely economic known as Deemsters. The first written terms. Yes, the rule of law is the vital reference to Deemsters can be traced backbone of economic growth but it is back to the early 1400s but the office of much, much more than that. It directly Deemster is probably much older dating impacts on the quality of all our lives. back to the Norse Kingdom and the It goes to the core of a fair and civilised origins of Tynwald in the 10th century,” existence. he said. Justice Tang, Permanent Judge of the Continuing, he explained that there are CFA, in a speech to law graduates on very many similarities between Hong 19 March 2016 captured the importance Kong and the Isle of Man, with the most of young people and the rule of law important being a mutually strong work to the future of a jurisdiction when he ethic and a desire to uphold the rule of stated: law. ‘I hope that you, who are the future However, in terms of population density guardians of our system, will be vigilant. and number of lawyers, the Deemster Do not think that small encroachments noted that Hong Kong far exceeds on the rule of law or on human rights the Isle of Man. The population of the do not matter. Or that because they do Isle of Man is around 85,000 and its not concern you directly, you should fused legal profession comprises 240 not be bothered. Just as, if the air is practising advocates. He also noted polluted, we all suffer, if the rule of law is that in special circumstances, English undermined we all suffer too. The future counsel can be temporarily licensed to belongs to you … Stand up for genuine deal with cases before the courts of the rule of law and effective protection of Isle of Man. By contrast, Hong Kong has our fundamental human rights[.]’ a lot more lawyers, with over 10,000 Hong Kong is very fortunate to have practising solicitors. independent judges who promote and protect the rule of law in its best Challenges Ahead interests. The big challenge for the legal Both the Isle of Man and Hong Kong professions and the public in the Isle of face similar challenges in many areas, Man and Hong Kong will be to support Deemster Doyle explained, but for the judiciary in upholding the rule of present purposes, he commented on just law.“ two: young people and the rule of law. “We both must ensure that our Role of Comparative Law respective jurisdictions remain attractive As the conversation switched to places for young people to live and work. more general topics of importance, It is trite, but the future of a jurisdiction Deemster Doyle reflected on the utility largely depends on its young people. of comparative law. He noted a lecture Hong Kong and the Isle of Man must that he delivered at Harvard Law School continue to ensure that the reasonable in 2007, where he stressed the value of aspirations of their young people can be countries looking to developments in fulfilled. It is only in that way that our foreign jurisdictions to assist them in economies and communities will remain developing their own domestic law. fresh and vibrant.” However, he acknowledged that it is not

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always easy to stay on top of everything Additionally, he visits judges and others Oxford. Succinctly, he explained: that is happening worldwide, which is interested in the law in jurisdictions • Judges decide the legal issues of why he finds judicial conferences so overseas, as well as hosting visits of the day in accordance with the law useful. “Firstly, all judges in common foreign judges and others at the Isle of and the judicial oath. Judges must law jurisdictions deal with similar issues Man Courts of Justice. “I believe that be impartial and independent and on a daily basis, and we have a lot to meeting with other judges, travel and cases should be determined fairly and learn from each other. Secondly, it is the international exchange of ideas justly within a reasonable time. This important to raise the Island’s profile are very important. Travel increases involves active case management and enhance its reputation as a good knowledge and understanding and is beginning as soon as the claim or place to do business and as a respecter vital particularly for judges in compact application is filed with the court. of the rule of law. Thirdly, it recharges island jurisdictions who might otherwise the judicial batteries and is, frankly and be confined to a local and sometimes • Judges develop the common law, but somewhat selfishly, a refreshing break somewhat insular court room. any judicial development of the law away from the immediate and seemingly International connectivity is extremely must be in conformity with justice, constant pressures of the day job. useful for me because the vast majority common sense, the spirit of the law, Fourthly, it helps in putting issues within of the cases I deal with at first instance principle and policy. It must also take their proper perspectives. Fifthly, in a job and appellate level have an international into account the competing needs which is frequently lonely and isolated, element, and visiting judges in other for certainty and flexibility and the there is comfort and support to be jurisdictions is just part of building up avoidance of illegitimate legislating obtained in discussing issues with other better international understanding from the bench. Judges should judges from other jurisdictions. There is and judicial cooperation. The role of develop the law in a way which is a lot of mutual respect between judges judges today must include interaction considered most appropriate for the and we can all assist each other in being with other judges, lawyers and the needs, requirements and interests effective and energised judges,” he said. public and stepping beyond their of their home country and the wider national boundaries to learn from, and international community of which Giving Lectures collaborate with, the rest of the world,” that home country is a part. Deemster Doyle is also a firm believer in he said. • Judges must embrace change and judges giving talks to others interested new technology. Essential Features of Judicial in the law and judges promoting and • Judges may highlight the benefits of Role protecting the rule of law locally and the judge’s home country. internationally. In addition to hosting Elaborating on his statement about the • Judges give guidance on local law visits to the Isle of Man Courts of Justice, role of judges, the Deemster highlighted and procedural issues. the Deemster also gives lectures to what he believes to be the essential trainee advocates, as well as secondary features of the judicial role, which he • Judges develop local jurisprudence students and others on the island. previously outlined in a 2017 lecture at in the best interests of their home country taking into account its responsible place within the world. • Judges promote the rule of law both locally and internationally. • Judges, where appropriate, refer to issues of policy relevant to the judge’s home country. • Judges get involved in legal education and, where appropriate, law reform. • Last, but not least, judges should be continually focused on the needs of all court users. These are standards to which he hopes all judges will aspire when administering justice in their respective jurisdictions. n

20 www.hk-lawyer.org September 2017 • COVER STORY 封面專題

專訪 Hon. David Doyle 人島首席法官及司法機構首長

作者 Cynthia G. Claytor

法官David Doyle在香港長大，是現任人島(Isle of Man)首席法官及司法機構首長。他接受本刊專訪，分享自己的法律生涯，回想不斷穿梭於人島和香港之間的好處。

官David Doyle，人島(Isle of Man) 法官Doyle細細回味在香港的童年時光。降落舊啟德機場。他也坐過小型飛機翱法首席法官及司法機構首長，1965 他住在舊山頂道，常去大浪灣游水、翔香港上空，從此得了鼓勵，在20多歲年與三位家姐隨父母移居香港。他父母滑浪、食雪糕、飲七喜、飲綠寶，…… 時上飛行駕駛課程。來自人島，人島是個小島，位於愛爾蘭，見到灘上有海膽要兜路走。他還記得「對我來說，香港是個特別的地方，我海中央，面積572平方公里左右。上世紀試過坐船環島遊，繞行大潭水塘遛狗，經常覺得有一股很強的吸力拉我回到這 60年代，人島經濟不振，工作機會少之觀看很多場足球賽，還有，香港有龍舟裏來。雖然人島是我的家，但我始終覺又少，島上人很多都離開，遠赴海外建競賽、農曆新年，懸掛颱風時學校會停得自己有一部分是屬於香港的。」立事業。課，暴動會戒嚴。他甚至在香港希爾頓遇見過巴西著名足球員比利，向他索取自從80年代離開之後，法官Doyle很有興法官Doyle的爸爸帶同家人移居香港，了親筆簽名。趣知道香港的發展情況。他在人島執業在香港電話公司找到一份工作。「在人做辯護律師的時候(1984–2003)，有很島和英國，他爬的是電話線杆，」法官他亦記得，很多次乘搭英國海外航空公多香港客戶。他做人島法官之後，偶爾 Doyle說，「在香港爬的是事業階梯。他司的VC 10s早機返港，飛機飛越獅子山有幾次返回香港，審理案件的時候，試爬得很快，1975年爬到最高位置，成為不久，就見到大厦單位內有人在擦牙，過援引香港案例法，以香港案例作為具香港電話公司總工程師。」經歷一番驚險刺激的場面之後，才平安有說服力的判例。法官Doyle分享他的法

www.hk-lawyer.org 21 • September 2017

律生涯，回想幾十年前的點點滴滴，以計師的頭腦，對數字也沒有天份，因此但是，因為我們與不列顛群島和歐洲交及不斷穿梭於兩個司法管轄區之間的好選擇了考取法律學位。」他說。易頻繁，脫歐無疑對我們有無可避免的處。影響，事實上，全球其他地方，包括香由大律師轉做大法官港在內，也是無可避免地受到影響。英生性反叛法官Doyle在1982年獲認許為英國大律國皇室保留負責管理人島的防務，並回想自己決定在法律領域發展事業的時師。後來，他在倫敦司力達律師樓訴訟有責任確保島上管治良好。我們有自己候，法官Doyle提到最近在家翻找東西部工作，1984年返回人島做辯護律師，的議會(Tynwald，全球現存最古老的時，從一大疊文件找到一份黃色的日程按照自己的計劃，完成一直想要做的事。議會，其起源追溯至979年)，也有自表，上面印有藍色的標題：「英皇御准己的立法機關，政府也有執法部門，並接著，他成為Dickinson Cruickshank & Co 香港賽馬會：1978年4月1日(星期六)$2 且尊重法治和權力分立。我們有自己的的合夥人，之後再獲委任為商業部門的」(The Royal Hong Kong Jockey Club: 司法機構，也有自己的法律。我們稱三總管。2002年9月，他獲委任為非全職 Saturday 1 April 1978 $2)。日程表仿佛名高等法院法官為Deemsters。最早記副司法長官(Deputy High Bailiff，職能與帶他重返香港那一天星期六的下午。當有Deemsters的文字可追溯至15世紀初英國地方法院法官的相近)兼死因裁判官天，他一家與馬會董事，包括張奧偉爵葉，不過Deemster一職更為久遠，大 (Coroner of Inquests)。他一直到2003 士CBE QC JP和羅弼時爵士KBE QC JP，概可追溯至10世紀斯堪的納維亞王朝年才離開Dickinson Cruickshank & Co(現會聚一堂，有講有笑。他們到場時，另 (Norse Kingdom)及人島議會(Tynwald) 稱為Appleby)，結束私人執業生涯，在一位同樣舉家從人島來港居住的祈德尊的起源。」公開招聘中脫穎而出，擔任人島次席法爵士，以競賽董事的身分，親切地上前官。2010年12月，他再次通過公開招法官Doyle接續說，香港和人島有很多相歡迎。活動結束之前，祈德尊爵士和太聘，獲英女皇伊利沙伯二世委任為首席似之處，最重要的一點是同樣有敬業的太Peggy在現在已經褪色的日程表上留言法官及司法機構首長。2015年1月獲英精神，渴望維護法治。簽名：女皇委任為澤西島及格恩西島非全職上但他指出，香港的人口密度和律師數目大衞：為何不在人島讀法律呢？你不覺訴法庭法官。遠遠超過人島。人島人口85,000左右，得在那裏前途一片光明嗎？「我完全享受私人執業的日子，念念不不分設大律師和事務律師的法律專業有法官Doyle說：「我會說，這句話激勵我忘昔日的同儕情誼和相對的自由，我 240名執業辯護律師。他亦指出，在特殊要成為律師，有朝一日做人島的法官，想，我的家人也懷念漫長的暑假！法官情況中，英國大律師可獲暫准在人島執但實情是，我爸爸早在幾年前已在我心的日子可不一樣，雖然有點兒寂寞，業，處理法庭案件。香港有10,000名執底埋下種子，激發我立志成為律師，這偶爾覺得孤單，但給我很大的個人滿足業事務律師，數目遠比人島的多。句留言是再次激勵我而已。」感。我差不多每次清早返工，都是一邊駕車，一邊期待那天有挑戰臨到，晚上未來的挑戰「我記得在香港，當我是反叛青年的時駕車回家，從未試過覺得『今天真悶』法官Doyle解釋，人島和香港有很多領域候，爸爸像大多數人的爸爸一樣，到了。法官的日子一點都不沉悶，經常是驚所面對的挑戰都是相類似的，不過，他某個時候，諄諄告誡兒子，言辭有點笨喜一籮籮，富有挑戰，有一大堆新的法今次只就兩點給予意見：年青人和法治。拙，但滿有慈父心腸。我們坐在露台，律問題等待決定。偶爾會感到壓力(先承一邊欣賞香港的景色，一邊傾談我的人「香港和人島都要確保各自的司法管轄認，後處理，是消除壓力的正確方法)，生計劃。他一臉慈容，語重深長地對我區仍然對年青人具有吸引力，是他們願不過這總是值得的。我知道，可以愛生說：意居住和工作的地方。這已是陳腔濫命，愛家庭，愛我的工作，愛我住的那調，不過，司法管轄區的未來相當依靠『不論你要在將來的日子做些甚麼，要個島，實在是我三生之幸。」年青人。香港和人島必須繼續確保年青友善待人，不要忘記你從哪裏來，總要人合理的志向可以實現。只有這樣，我努力貢獻，付出的要比收取的多，最大同小異們的經濟和社會才能繼續呈現朝氣和活重要的是，你將來掃街也好，做首相也他說：「香港和人島都是內部自治的，力。」好，都要盡己所能去完成要做的事。還深受鄰近國家的影響――影響人島的是有，不要做律師或會計師。他們只不過英國和愛爾蘭，影響香港的是中國。不「香港和人島亦面對一項挑戰，就是確是金子銀子的寄生蟲，依靠人家的問題過，我們的憲法架構有些少不同。人島保社會不苟且偷安，也要確保他們明白過日子。』」實際上是內部自治的英國皇室屬地，不社會的存在和進步之所以公平公正，全賴法治的價值。我所講的，不純粹是經「我聽從他大部分忠告，只是最後一句是英國的一部分，由始至終都不是。我濟的價值。不錯，法治是經濟增長的重聽不入耳。我不想涉足政治，沒有做會們享受內部獨立。我們不是歐盟成員，

22 www.hk-lawyer.org September 2017 • COVER STORY 封面專題

要支柱，但它的價值遠不止於此。法治直接影響我們所有人的生活質素。它觸及社會存在公平、文明的核心。」

終審法院常任法官鄧楨(鄧國楨)2016年 3月19日向法律畢業生發表的演說中，正正提到年青人和法治對未來司法管轄區的重要性：

「我希望你們，香港制度未來的守護者，打醒精神。不要以為輕微侵犯法治或人權無傷大雅。又或者事不關己，就己不勞心。就像天空污染了一樣，我們全部都是受害者。要是法治被削弱，我們全部身受其害。未來是屬於你們的……為真正的法治站起來，為有效保護我們的基本人權站起教學培訓案件應當在合理時間內得到公平公正來。」法官Doyle亦有一套堅定的信念，確信法官的裁定。這需要在當事人一提交申索或申請，就開始積極處理案件。香港很幸運，有獨立的法官推進並保護要向其他法律愛好者講學，也要在自己所法治，為香港謀求最大利益。支持司法在地和國際間推進並保護法治。除了招待 • 法官發展普通法，但司法機關或人機構維護法治是人島和香港的法律專業訪客參觀人島法庭之外，他亦向辯護律師員發展的法律，必須符合公義、常和社會大眾的一大挑戰。實習生，以及島上中學生等授課。理，以及法律、原則、政策的精神。但亦必須考慮到法官所需要的，既要此外，他前往海外司法管轄區，探訪當地確定無疑，但又要靈活可變，還需要比較法的角色法官及其他法律愛好者，以及招待外國法廢止不合理的法例。法官發展法律的當傾談一些更常見的重要話題時，法官官等參觀人島法庭。他說：「我相信，方式，應當是被認為最適合祖國的需 Doyle想到比較法的重要性。他提及自己與其他法官會面、出國、在國際間交流理要、規定及利益的方式，也是最適合 2007年在哈佛法律學院講課，在課堂上念，都是非常重要的。出國可以增長知祖國所處更遼濶國際社會的需要、規強調，國家值得借鏡外地司法管轄區的識，加深了解，小島司法管轄區的法官尤定及利益的方式。發展，以幫助發展自己本國的法律。其需要出國走一走，因為島上法庭的工 •法官必須樂意接受改變和新技術。不過他承認，我們總不能輕易地掌握天作空間有限，有時甚至有點兒與世隔絕的下萬事，而這正是他認為法官會議之所感覺。我處理的原審案件及上訴案件之 •法官能夠突顯自己祖國的好處。中，絕大部分包含了國際元素，所以對我以大有用處的原因。他說：「一、所有 • 法官就本地法律和程序問題給予指來說，保持國際聯繫是萬分重要的，而探普通法司法管轄區的法官，每天處理相引。近的問題，我們有很多可以彼此學習訪其他司法管轄區的法官只是增進國際了 •法官顧及祖國的全球責任，發展符合的地方。二、人島必須提升形象，增加解，促進司法合作的其中一環。法官今天祖國最大利益的本國法理。知名度，讓人知道人島是做生意的好地的職責，必定包括與其他法官、律師、社方，也是尊重法治的地方。三、它給會大眾互動交流，跨越國家界限，學習全 •法官在本地和國際間推動法治。球各地之長處，大家彼此合作。」司法人員充充電，坦白說，或許是有點 •在適當情況下，法官參考與自己祖國兒自私地說，法官會議給我們透氣的機法官職責非常重要的特色有關的政策爭議。會，離開一下每天似乎不斷積累的工作 • 法官參與法律教育，並在合適情況壓力。四、它有助於在恰當的觀點範圍法官Doyle詳談他關於法官職責的說法，下，參與法律改革。內提出問題。五、從事經常叫人感到特別提到他認為法官職責所絕對必要的特 •最後，法官應當不住地以所有法庭使寂寞，孤伶伶的工作，當與其他司法管色 — 他2017年在牛津講授法官職責絕對用者的需要為關注重點。轄區的法官討論爭議的時候，就可以得必要的特色時，已概述過一遍，現簡要說到安慰和支持。法官各有所長，互相敬明如下：他希望這些是所有法官在各自司法管轄重，我們大家可以彼此幫助成為效能 •法官按照法例及司法誓言，就眼前的法區秉行公義時所渴望達到的標準。 n 高，有活力的法官。」律爭議點作裁定。法官必須公正獨立，

www.hk-lawyer.org 23 • September 2017

LAW SOCIETY NEWS 律師會新聞

One-Day Conference in Gdansk At the invitation of the Hong Kong Economic and Trade Office – Berlin (“HKETO”), our representatives Vice President Amirali Nasir and Council member Cecilia Wong spoke at a one-day conference in Gdansk, Poland on 29 June. The conference (co-organised by HKETO, Consultative The Law Society and the Gdansk Bar signed a MOU during the conference. Office of the Hong Kong Trade Development Council in 律師會與Gdansk Bar在會議上簽署了諒解備忘錄。 Warsaw and the Bar of Attorneys in Gdansk (“Gdansk Bar”)) was entitled “China – Hong Kong – Poland: 赴波蘭格但斯克出席會議 Opportunities for Polish Businesses” and attracted 應香港特別行政區政府駐柏林經濟貿易辦事處邀請，律師會副會長黎雅 Gdansk lawyers and entrepreneurs who are interested in 明律師及理事會成員黃吳潔華律師於6月29日在波蘭格但斯克出席為期 doing business with Hong Kong/China businesses. It is worth noting that Poland was the only European country 一天的會議，並在會議上作演講。 to have achieved uninterrupted GDP growth from 2009 會議由香港駐柏林經濟貿易辦事處、香港貿易發展局駐華沙諮詢辦事處 through 2016. Hong Kong’s total exports to Poland grew 及Bar of Attorneys in Gdansk(“Gdansk Bar”)合辦，以「中國 - 香港 - by 10 percent to US$1.3 billion while its imports from 波蘭：波蘭業界的商機」為題，吸引有興趣與香港／中國企業開展業務 Poland increased by 9 percent to US$345 million in 2016. 的當地律師和企業家出席。值得注意的是，波蘭是2009年至2016年期間 Under the witness of Ms. Zhao Xiuzhen, Consul General of 國內生產總值持續增長的唯一歐洲國家。2016年，香港出口至波蘭的貿 the People’s Republic of China in Gdansk, a Memorandum 易總額增長了10%，達到13億美元，而香港從波蘭進口貨品的金額則增 of Understanding (“MOU”) was signed with the Gdansk 長了9%，達到3.45億美元。 Bar at the occasion. The Law Society looks forward to fostering a closer relationship with the Gdansk Bar and 在中華人民共和國駐格但斯克總領事趙秀珍女士的見證下，律師會與 creating more opportunities for professional exchanges Gdansk Bar簽署了諒解備忘錄。律師會期望與Gdansk Bar建立更密切的 among our respective members. 關係，為兩會會員創造更多專業交流的機會。

The conference was well-attended by over 100 legal practitioners and businessmen. 100多名法律從業員和商人出席了會議。

24 www.hk-lawyer.org September 2017 • LAW SOCIETY NEWS 律師會新聞

IHLC: Company Visit to Midea Group in 企業律師委員會：參觀美的集團順德總部 Shunde 包括企業律師和私人執業律師在內的20多名會員，於7月7日參 On 7 July, over 20 members comprising in-house lawyers 觀了美的集團在順德的總部。 and private practitioners joined a company visit to the headquarters of Midea Group (“Midea”) in Shunde. 美的集團是家用電器製造商，旗下上市公司和辦事處遍布大約 200個國家，是中國最大的白色家電生產和出口基地。行程首 Midea is a manufacturer of household electrical appliances. Owning a number of public companies and operating offices 站為參觀美的展廳，該處展示了美的多種產品。隨後參加者到 in approximately 200 countries, it is the largest white goods 美的歷史資料館作短站停留，了解集團成立於半個世紀前至今 production and export base in China. The tour started with 的發展。與美的法務部午宴後，其代表分享了企業律師在內地 a visit to the showroom of Midea, where different products 工作的經驗和挑戰。兩地的法律專才就日常法律工作交換了意 of the company were displayed, followed by a brief stop at 見和看法。是次活動以參觀美的全球創新中心作結，讓會員一 the history gallery introducing the development of Midea from its establishment around half a century ago. After a 睹美的的最新技術和創新產品。 lunch gathering with their legal team, representatives of 2017企業律師年會將於9月29日(星期五)舉行，屆時多名傑出 Midea shared their experiences and challenges working as 的講者將就不同議題分享見解，我們期待各位出席！ in-house lawyers in the mainland. Legal practitioners from both jurisdictions then exchanged ideas and views on their daily legal practices. The event was concluded by a visit to Midea’s Innovation Exhibition Hall where the latest technology and innovative products were showcased. The 2017 Annual Conference of In-House Lawyers will be held on Friday, 29 September. Prominent speakers will share their experience on different topics. We look forward to seeing you there soon!

Participants visited Midea’s Innovation Exhibition Hall which showcased the company’s latest technology and innovative products. 參加者參觀美的全球創新中心，該處展示了公司最新的技術和創新產品。

www.hk-lawyer.org 25 • September 2017

Exchanges with Mainland Students 與內地學生分享交流 On 6 July, the Greater China Legal Affairs Committee (“GCLAC”) under the Standing 汕頭大學法學院代表團於7月6日到訪律 Committee on External Affairs received a delegation from Shantou University Law School. 師會，對外事務常務委員會轄下的大中 Mr. Henry Wai, Vice Chairman of GCLAC, and Mr. Lawrence Yeung, member of GCLAC, 華法律事務委員會代表接待，副主席韋 spoke to approximately 20 law students about the functions and role of the Law Society and the legal system in Hong Kong. Upon the invitation of The Legal Education Fund 業顯律師和委員楊先恒律師向近20名法 Limited, President Thomas So attended its seminar on 10 July and delivered a keynote 律學生簡介香港律師會的功能和角色， speech on Professional Ethics and Integrity to over 40 law students from China University 以及香港的法律體系。應法律教育基金 of Political Science and Law, Zhejiang University, Shanghai University of International 有限公司邀請，蘇紹聰會長出席該機構 Business and Economics and Nanjing University. The speech was well received by the 於7月10日舉辦之研討會，向40多名 students, who enthusiastically raised questions. Ms. Catherine Mun and Ms. Alexandra 來自中國政法大學、浙江大學、上海對 Lo, members of GCLAC, also attended the event to interact with the students. 外經貿大學、南京大學等學院的法律學生，就「職業道德與專業操守」進行主題演講，同學們反應積極，就該題目踴躍發問。大中華法律事務委員會委員文理明律師和羅德慧律師亦出席活動與學生們交流。

President Thomas So spoke with Mainland law students about Professional Ethics and Integrity. 蘇紹聰會長與內地法律學生分享「職業道德與專業操守」。

Visits by Mainland Delegations Society. Mr. Neville Cheng, Vice Chairman of GCLAC, and Mr. Lawrence Yeung, member of GCLAC, met with the delegates On 10 July, the Law Society, the Guangdong Lawyers Association to discuss potential areas of collaboration between Beijing and the Macau Lawyers Association jointly organised a seminar to and Hong Kong. discuss their cooperation under the Belt and Road initiative and the Bay Area Development Plan. On 20 July, a delegation from the Additionally, a 15-member delegation from Chengdu Lawyers Department of Justice, Guangdong and the Guangdong Lawyers Association, led by its Vice President Mr. Li Zhengguo, also Association visited the Law Society. President Thomas So, Vice visited the Law Society on 2 August, taking the opportunity President Melissa Pang, Mr. Fred Kan, Chairman of the Belt and to discuss with the Law Society its experience on lawyer Road Committee, as well as Vice chairpersons and members of assessment, maintenance of legal rights, discipline and GCLAC received the delegation and further discussed efforts to professional conduct and external affairs. President So, Vice collaborate on infrastructure projects in the region. President Pang, Immediate Past President Stephen Hung, Mr. James Wong, Vice Chairman of GCLAC, and Mr.Yeung On 2 August, the Union of Beijing Business Services visited the Law received the delegation.

The Law Society, the Guangdong Lawyers Association and the Macau Lawyers Association discussed cooperation among the three places. 香港律師會、廣東省律師協會和澳門律師公會交流三地合作事宜。

26 www.hk-lawyer.org September 2017 • LAW SOCIETY NEWS 律師會新聞

內地代表團來訪問律師會。大中華法律事務委員會副主席鄭宗漢律師和委員楊先恒律師跟北京商務服務業聯合會代表會面，探討京香港律師會與廣東省律師協會和澳門律師公會於7月10日進行座港兩地之間的交流合作；而成都市律師協會副會長李正國談會，討論三地在「一帶一路」倡議和大灣區發展下的合作。其則率領15人律師代表團來訪，藉此次機會了解香港律師後，廣東省司法廳和廣東省律師協會於7月20日訪問律師會，律會在律師考核、維護法律權利、紀律及執業操守，以及對師會代表包括蘇紹聰會長、彭韻僖副會長、一帶一路委員會主席外事務的經驗。參與會面的律師會代表包括蘇紹聰會長、簡家驄律師，以及多位大中華法律事務委員會的副主席和委員，彭韻僖副會長、熊運信前會長、大中華法律事務委員會副進一步就上述議題進行洽商。主席黃江天律師和委員楊先恒律師。另外，北京商務服務業聯合會以及成都市律師協會亦於8月2日訪

Representatives of the Law Society met with the delegation from Chengdu Lawyers Association. 香港律師會代表與成都市律師協會代表會面。

POLA Summit in Sri Lanka 亞洲法律協會會長會議在斯里蘭卡舉行 The Presidents of Law Associations in Asia (“POLA”) is a forum for the leaders 「亞洲法律協會會長」是一個讓亞太區法律協會領袖 of law societies and bar associations from across the Asia-Pacific region to 互相交流，彼此分享的平台。作為成員之一，律師 exchange ideas and information. The Law Society of Hong Kong is a member 會會長於7月22日至24日出席在斯里蘭卡科倫坡舉 of POLA and the President attended the 28th POLA Summit in Colombo, Sri Lanka from 22 to 24 July. Representatives of law societies and bar associations 行的第28屆亞洲法律協會會長會議。與會者包括香 in Asia, including Hong Kong, Australia, New Zealand, Singapore, Malaysia, 港、澳洲、新西蘭、新加坡、馬來西亞、印度、中國 India, Mainland China, Taiwan, Japan, Korea and Mongolia, all updated one 內地、台灣、日本、韓國、蒙古在內的亞洲法律協 another on the major legal developments in their home jurisdictions. This was 會代表，透過論壇了解各個地區的發展，藉此寶貴機 a valuable opportunity for participants to forge new friendships and explore 會，建立友誼，並就共同關心的議題探討合作的可能 possible areas of collaboration on issues of mutual interest. Most of the 性。大多數與會者來自「一帶一路」沿線國家，藉此 participants were also along the Belt and Road and keen to foster closer ties 機會為迎接「一帶一路」倡議下的發展，建立更密切 paving the way for future co-operation under the Initiative. 的連繫。

President Thomas So was invited to present on the President Thomas So (third from right) and the Summit participants. topic “Attracting Foreign Investment – the Hong Kong 會長蘇紹聰律師(右三)與會議與會者合照。 Experience” at the Summit. 會長蘇紹聰律師獲邀在會議上就「吸引外商投資 - 香港的經驗」題目演講。

www.hk-lawyer.org 27 • September 2017

Members' Forum and Dinner Gathering 會員論壇暨晚宴 The annual Members' Forum serves as a major platform for Council 每年一度的會員論壇暨晚宴，是理事會與會員交流的 members to mingle with our general members. The Forum this year was 主要平台。今年的論壇於7月28日舉行，吸引了70多 held on 28 July. Well attended by around 70 participants, it afforded an 位會員出席。理事會成員藉此寶貴機會，聽取會員對 invaluable opportunity for the Council to hear the views of members on different issues of interest to the profession. 業界不同議題的意見。 Every year, a topic will be set for focal discussion at the Forum. The topic 每年的論壇均設專題討論。今年的題目是「在宣傳執 this year was "Use of Awards and Citations in Practice Promotion". At the 業業務時援引獎項或表揚訊息」。在論壇上，各會員 Forum, members shared their views on the pros and cons of using the 就獎項對律師或律師行帶來的影響，以及律師行援引 awards and citations given out by commercial operators for the purpose of 商業經營者頒發的獎項宣傳業務的利與弊，分享了他 practice promotion, and the impact of such awards on practitioners or law 們的看法。 firms. 會員亦積極參與了「對話環節」，向席上的理事會成 Members also actively participated by volunteering other comments and suggestions during the “Dialogue session” or to Council members seated 員提供其他意見和建議。 at their tables.

President Thomas So (second from right), Vice President Melissa Pang (first from right) and Vice President Ms. Shum Hin Han presented her views to the participants as the Amirali Nasir (third from right) listening to members’ questions during the “Dialogue session”. winner of the grand prize. 會長蘇紹聰律師(右二)、副會長彭韻僖律師(右一)及黎雅明律師(右三)在「對話環節」聽取會員的問題。大獎得獎者岑顯恆律師向與會者講解她對議題的看法。

Council members taking a selfie with participants at the Forum. 理事會成員在論壇上與參加者自拍。

28 www.hk-lawyer.org September 2017 • LAW SOCIETY NEWS 律師會新聞

The 6th Culinary Vacation: Experience Taipei through Cuisine Following the success of its culinary vacations in Lyon, Chengdu, Naples, Barcelona and Seoul since 2011, the Cookery, Food and Wine Appreciation Interest Group led a party of 45 foodies on 21–23 July to embark on a food- packed exploration of Taipei’s most loved culinary traditions, as well as the city’s latest food trends. The three-day tour kicked off with a dinner in a 1920s-esque, avant-garde re-done colonial house, now a restaurant specialising in vintage Taiwanese cuisine that showcased a taste of the history, the art of local dishes, and the charm of a bygone era. Every dish was made from fresh and organic ingredients and elegantly presented. The “molecular gastronomy” dish: Mango sphere with fois gras pastry. 分子料理：芒果伴鵝肝。 No trip to Taipei would be complete without a trip to at least one of its night markets. The group attended the famous "Millennium Feast", a seated 第6屆美食之旅：台北美食體驗 themed-dinner whereby over 20 signature dishes selected from the Ning Xia 烹飪、美酒佳餚鑑賞小組過往於里昂、成都、那不 Night Market were brought to the dining table for tasting. 勒斯、巴塞羅那和首爾舉辦的美食之旅均大獲好評。 We also gathered late at night at a Taiwanese pub bedecked with rustic and 今年，小組率領45位饕客，於7月21日至23日到台 vintage home décor, where grilled seafood, handmade sausages, and other delectable dishes were served with Taiwanese beer. 北，品嚐當地的傳統佳餚和探索最新美食潮流。 The highlight of the tour was the two-day cooking programme in which 在這為期三天的旅程中，小組成員員先在一家由20 participants put on their aprons to whip up local specialties including xiao 年代殖民地建築改建而成的餐廳享用晚餐。該餐廳供 long bao, oyster omelette, stir fried pumpkin rice noodles and innovative 應古早台灣菜和地道佳餚，展現了傳統的味道。每 “molecular gastronomy” dishes, under the guidance of Chef Dai Yu Yi, an 道菜均採用新鮮的有機食材，擺盆優美典雅。 award-winning chef. 台北之旅怎能缺少前往夜市的行程？小組成員享用了 The tour concluded with a dinner at one of Taipei’s trendsetting restaurants, which was on Asia’s Best 50 Restaurants 2017 list. It is a restaurant which 著名的寧夏夜市千歲宴，一次過品嚐20多款地道夜 crafts fine dishes from local Taiwanese ingredients and brings the concepts 市招牌菜。 of haute cuisine to Taipei in a chic and comfortable atmosphere. 逛過夜市後，小組成員在一家帶有鄉村風格的台灣酒 Members who are interested in joining the events organised by the 吧聚聚，邊吃燒海鮮、手工香腸和其他小吃，邊喝 Cookery, Food and Wine Appreciation Interest Group, please feel free to 台灣啤酒。 contact Wendy Fung of the Member Services Department at [email protected]. 美食之旅的亮點是為期兩天的烹飪課程。小組成員穿上圍裙，跟得獎名廚戴于益師傅學做地道美食，包括小籠包、蚵仔煎、南瓜炒米粉和創新的分子料理。

回港前，小組成員在台北一家人氣潮流餐廳吃晚飯。該餐廳是2017年亞洲50 最佳餐廳之一。餐廳環境時尚，氣氛舒適，以台灣當地食材，烹製精美的菜餚，將高級美食的概念帶到台北。

有興趣參加烹飪、美酒佳餚鑑賞小組活動的會員，歡迎電郵至wendyfung@ hklawsoc.org.hk與會員服務部聯絡。

Members of the Cookery, Food and Wine Appreciation Interest Group at the cooking class. 烹飪、美酒佳餚鑑賞小組成員參加烹飪課程。

www.hk-lawyer.org 29 • September 2017

YSG: 2nd Event of “CONNECTED” 2017 – Brewery Tour! The Young Solicitors’ Group (“YSG”) organised the 2nd “CONNECTED” event on 15 July. More than 80 mentors and young members spent a relaxing and fun afternoon at an award winning local brewery. The highlight of the event was the mentors’ sharing session during which Mr. Nick Chan, Mr. Alan Lau, Mr. Hugo Ngaw and Mr. Victor Yip shared their thoughts on the challenges that the legal profession Mentors supporting and attending the event. is facing, what skills set young 良師們鼎力支持，踴躍出席活動。 solicitors should develop in view of the challenges, and interesting ways to manage work-life balance. 年青律師組「法友聯盟」2017第二項活 Participants then enjoyed a brewery tour learning about the brewery’s philosophy while tasting some refreshing locally brewed beer. 動：參觀啤酒廠 By way of background, “CONNECTED” is a mentorship and buddy 年青律師組於7月15日舉辦了「法友聯盟」2017的第二 programme first launched in early 2011 to provide a platform for newly 項活動。80多位良師和年青會員在一間本地得獎啤酒廠 admitted members to meet with more senior members of the profession 渡過了一個輕鬆愉快的下午。 in developing a professional supporting network. YSG holds a number of CONNECTED events throughout the year to encourage participants to 是次活動的亮點是良師分享會，陳曉峰律師、劉錦倫律 regularly communicate with their mentors. 師、柯曉宇律師及葉善可律師與參加者分享他們對法律 We will hold our next CONNECTED 2017 event in September! Members 界面對的挑戰的看法、年青律師應建立什麼技能來面對 who are interested in joining the events organised/arranged by the YSG, 挑戰，以及達至工作與生活平衡的有趣方法。參加者隨 please feel free to visit http://www.hklawsoc.org.hk/pub_e/ysg, add our 後被安排導賞參觀釀造啤酒的過程，從而對此作出了 Facebook page (https://www.facebook.com/young.solicitorsgroup) or 解；並品嚐了令人精神一振的本地啤酒。 contact Assistant Director, Member Services at [email protected].

A Group photo of all participants. 參加者大合照。

30 www.hk-lawyer.org September 2017 • LAW SOCIETY NEWS 律師會新聞

「法友聯盟」師友計劃自2011年初開始舉辦，提供平台予年輕律師，令他們接觸和有機會接受較資深會員指導，建立專業支援網絡。年青律師組年內舉辦多項「法友聯盟」活動，鼓勵參加者定期與導師溝通。

「法友聯盟」2017下一項活動將於9月舉行！會員如有興趣參加由年青律師組所舉辦或安排之活動，歡迎瀏覽http://www.hklawsoc.org.hk/pub_e/ysg；加入我們的Facebook群組(https://www.facebook.com/young. solicitorsgroup)，或電郵至[email protected]與會員服務部副總監聯絡。

Participants enjoying the beer and the chat! 參加者品嚐啤酒和聊天！

YSG: Joint Professional Networking Party 2017– 年青律師組：森林派對為題的聯合專 Jungle of Parties 業聯誼派對 On 30 June, the Young Solicitors' Group (“YSG”), together with other 年青律師組與香港專業聯盟青年組的會員機構於6月30 member bodies of the Young Coalition Professional Group ("YCPG") 日在蘭桂坊合辦了一個聯合專業聯誼派對。這是香港專 of Hong Kong Coalition of Professional Services, co-organised a Joint 業聯盟青年組最令人期待的活動之一，來自10個專業 Professional Networking Party in Lan Kwai Fong. This was one of the most anticipated events of YCPG and was well attended by over 350 members 機構的350多名會員和朋友出席了是次活動。 and friends from 10 professional institutes. 是次派對以「森林派對」為主題，參加者穿著富異國情 The theme for the event is "Jungle of Parties", and participants dressed in 調的動物／植物／冒險服裝，以配合主題。參加者一 exotic party animal/plant/adventurer costumes to match the theme. All 邊享用美食，一邊與其他機構的會員朋友打成一片。為 participants were excited to mingle with friends from other institutes while 了令氣氛更加熱烈，大會加插了幸運大抽獎及最佳服飾 enjoying drinks and canapés. To spice up the event, there was a lucky draw with attractive prizes, as well as two best-dressed awards, which were 獎，在參加者走台步後選出兩位得獎者。 presented after a catwalk performance. 為切合為年輕會員的不同興趣，年青律師組定期與其他 YSG regularly organises networking events with other professional bodies 專業團體舉辦聯誼活動。這些活動為來自不同專業的年 with a view to serve young members with different interests. The events 輕人士提供了一個平台，相互融合，探索潛在的合作機 provide a platform for young practitioners from different professions to 會。 mingle with one another and explore potential collaboration opportunities.

Organising committee members comprising young representatives of the joint Participants mingling at the party. professional institutes. 參加者在派對上打成一片。來自不同專業機構的年青代表所組成的籌委會成員合照。

www.hk-lawyer.org 31 • September 2017

Email Scams: Urgent Action for Recovery of Funds

By Nick Luxton, Barrister Gilt Chambers

32 www.hk-lawyer.org September 2017 • TORT 侵權

ccording to the South China Morning Report to Hong Kong Police Post, international fraudsters used A Solicitors for the foreign company should Hong Kong bank accounts to steal almost consider reporting the email scam to the HK$1.5 billion in commercial email scams Hong Kong Police immediately on discovering in 2016. This included a single transaction the fraud. This may lead to the Joint of HK$500 million, stolen from a foreign Financial Intelligence Unit (“JFIU”) issuing bank (see International email scams involving a “no consent” letter to the relevant bank, Hong Kong hit HK$1.5 billion for the year so which informs the bank that the JFIU does far, South China Morning Post, 12 December not consent to dealings in the Hong Kong 2016). So far this year, email and phone account which received the funds scams have cost over HK$580 million (see (s. 25A(2)(a), Organized and Serious Crimes Dedicated Hong Kong police unit set up to Ordinance (Cap. 455)). However, the “no handle phone scams, South China Morning consent” letter does not operate at law as a Post, 21 July 2017). freeze of the Hong Kong account or protect In such email scams, the fraudsters the foreign company’s interest in the funds hack into the email accounts of targeted contained in the account. It remains for the companies (often outside Hong Kong) to relevant bank to decide whether to honour learn about their businesses, before using the instructions of their customers despite the information obtained to impersonate receipt of the “no consent” letter (Interush employees and suppliers, in order to arrange Ltd v Commissioner of Police [2015] 4 HKLRD transfer of funds. According to the Latest 706, paras. 50–52) (although, in practical Trend of Email Scams – CEO Email Scam terms, the bank will invariably comply with published by the Hong Kong Police Force, its obligations under anti-money laundering email scams typically take the following legislation). However, solicitors should not forms: rely on the Hong Kong Police to make a recovery on their client’s behalf. • Sale contract scam: fraudsters know from stolen emails about transactions Proprietary and Mareva between company A (the seller) and Injunctions company B (the buyer). The fraudsters, pretending to be company A, send Solicitors should advise foreign companies fictitious emails to company B, claiming to consider taking urgent action in the Hong that company A’s bank account has Kong Courts to prevent dealings in the Hong changed and requesting transfer of funds Kong account and seek recovery of its funds. to the new bank account in Hong Kong. The foreign company, as plaintiff, can apply on an ex parte basis for both a proprietary and • CEO scam: pretending to be senior Mareva injunction. management officers of victim companies, fraudsters send fictitious A proprietary injunction is issued to preserve emails to staff in the finance department, assets to which the plaintiff has a proprietary seeking the transfer of funds to overseas claim. If the plaintiff has been induced by an business partners or to make business email scam to transfer funds, the recipient investments on an urgent basis. The may hold such funds on constructive trust finance department staff are requested to for the plaintiff. In JS Microelectronics Ltd v transfer funds to a bank account in Hong Achhada [2016] HKEC 694, para. 60, it was Kong. stated: “[W]here property is received or obtained by Hong Kong solicitors may be contacted by fraud, equity imposes a constructive trust on foreign companies, wishing to take action the fraudulent recipient or on a recipient who to recover stolen funds which have been knowingly retains or receives the property transferred to Hong Kong bank accounts. of which the plaintiff has been unjustly This article discusses strategies solicitors deprived. The trust property is recoverable can employ to (i) prevent onward transfer of and traceable in equity.” funds, (ii) obtain information concerning the location of funds, and (iii) make recoveries for By contrast, a Mareva injunction is designed clients. to protect the plaintiff against the dissipation

www.hk-lawyer.org 33 • September 2017

of the defendant’s assets against which assets (Practice Direction 11.2). However, the second layer recipient, subject to it might otherwise execute judgment. in Pacific King Shipping Holdings Pte Ltd v a defence of bona fide purchaser or A Mareva injunction does not depend Huang Ziqiang [2015] 1 HKLRD 830, para. recipient for value without notice (Pacific on the plaintiff having a proprietary 30–32, the Court of Appeal held that Rainbow International Inc, at para. 64; claim against the assets which are to in relation to a Mareva injunction which Arrow ECS Norway AS v Xin Cheng be controlled. It has been said that a does not involve a proprietary claim, Holdings (International) Co Ltd [2016] proprietary injunction is a “better relief” the Court usually will not order further HKEC 1063, para. 13). Further, the plaintiff than a Mareva injunction if the property disclosure relating to the transfer or may obtain disclosure orders with respect has not been dissipated. Where there is dissipation of the defendant’s assets. An to the second layer recipient’s dealings a risk that such dissipation has occurred, exception exists where there is evidence with the funds (including whether the it is prudent to also apply for a Mareva that the defendant has breached the funds have been further transferred to injunction as “top up” protection (Falcon injunction. “third layer” recipients). Private Bank Ltd v Borry Bernard Edouard With respect to a proprietary injunction, Charles Ltd [2012] HKEC 953, para. 78). A potential difficulty is that the plaintiff’s where the plaintiff seeks to trace property solicitors have no knowledge of the A proprietary injunction has the following which in equity belongs to him, the Court transaction between the defendant and advantages when compared with a may order that the defendant disclose the the second layer recipient, including standard Mareva injunction: whereabouts of the property. In addition, whether there is any business relationship the Court may order that a third party • The threshold for obtaining a between them. In various recent Hong bank give discovery of documents with proprietary injunction is lower. In an Kong cases, second layer recipients have respect to a defendant’s bank account, application for a proprietary injunction, sought to discharge injunctions on the which was allegedly used for the fraud the court will readily find that the basis that they entered into legitimate (see Pacific King Shipping Holdings Pte balance of convenience favours the transactions with the defendant. Ltd, para. 29). preservation of the fund pending For example, it has been argued by trial. Further, it is not necessary to Under s. 21 Evidence Ordinance (Cap. 8), second layer recipients that they received demonstrate a real risk of unjustifiable the Court may order that the plaintiff funds from the defendant in transactions dissipation of assets, as is required is entitled to inspect and take copies of for the sale of shoes, electronic goods or for a Mareva injunction. Finally, the entries in a banker’s record (including frozen meat, and in the “grey market” plaintiff only needs to show a serious bank statements). Such an order can exchange of RMB for Hong Kong dollars issue to be tried on the merits (see be made at an early interlocutory stage or United States dollars. In certain cases, Pacific Rainbow International Inc v of the proceedings, including at the ex the second or third layer recipient’s Shenzhen Wolverine Tech Ltd [2017] parte hearing (see CTO (HK) Ltd v Li Man explanation was sufficient to discharge HKEC 869, paras. 37–39). Chiu [2002] 2 HKLRD 875, para. 7–12; for the injunction (eg, Arrow ECS Norway • With respect to the funds which are an example of a disclosure order made AS; Limited Liability Company Umitoys v subject to a proprietary injunction in an ex parte application, see Golden Nice Fame Trading Ltd [2017] HKEC 1295, (and which are allegedly held on Brothers Inc v Medicare Asia Ltd [2016] where a first layer recipient discharged constructive trust), the defendant is HKEC 2246). The advantage of such a the Mareva injunction). In other cases not ordinarily entitled to use the funds disclosure order against a third-party the evidence of the transaction was for its legal costs or ordinary business bank is that it allows the plaintiff to considered inadequate (eg, Pacific expenses (Wharf Ltd v Lau Yuen How quickly learn where its funds have been Rainbow International Inc). [2010] 1 HKLRD 783). By contrast, transferred. such an exception for the use of the In Arrow ECS Norway AS, para. 30, it was Second Layer Recipients defendant’s assets is incorporated stated that the mere receipt of funds into the standard form of Mareva If the plaintiff’s solicitors discover that through an underground banking system injunction in Hong Kong. the defendant has itself transferred “is not sufficient in itself to find guilt. It funds onwards (to a “second layer” • The plaintiff may obtain disclosure has to be proved that the recipient knew or recipient), then they will need to advise orders against the defendant which had reason to believe that the money had their client whether to apply for a assist in determining where the an illicit source.” However, this analysis proprietary injunction and a Mareva plaintiff’s funds have been transferred. has been criticised on the basis that a injunction against the second layer finding of “guilt” is unnecessary when Disclosure Orders recipient. If the funds received by the granting an interlocutory injunction. In The standard form of Mareva injunction second layer recipient were the proceeds Ferrari North America Inc v Changhon of an apparent fraud, the plaintiff will allows for the Court to order that the International Energy Co Ltd [2017] HKEC be entitled to make a proprietary claim defendant disclose its assets, giving the 1324, paras. 19 and 25, it was stated: value, location and details of all such in equity to the funds in the hands of

34 www.hk-lawyer.org September 2017 • TORT 侵權

“I accept that by itself the mere fact that a payment to a bank account came from an unrelated source may not necessarily be sufficient to raise a suspicion of dishonesty. But if viewed in its whole context, that fact raises a suspicion of dishonesty, it is not necessary for the court, at the Mareva stage, to require a plaintiff to show ‘guilt’ on the part of the recipient of the fund. … Circumstances where, following an Internet email fraud, a substantial sum is deposited in the account of one company, and then distributed, immediately, in apparently random sums, to a number of other companies, each with no apparent relationship to the distributor, have become commonplace in the courts. Equally 電郵騙案：採取緊急行 commonplace is the suggestion by the ultimate recipients of the funds that the amount received precisely matches 動以追討被詐騙款項 a transaction undertaken at the time the deposit was made. These are 作者 Nick Luxton 大律師 Gilt Chambers ‘coincidences’ which cannot be ignored by the courts.” Each case will turn on its own facts 南華早報報導，國際詐騙犯在 • 銷售合約騙案：騙徒根據盜取得來 regarding whether the second layer 據2016年的商業電郵詐騙案中，的電郵，得知A公司(賣方)與B公司 recipient received the funds for value 利用香港的銀行賬戶，合共騙取了幾 (買方)的業務往來情況。其後，騙徒 without notice. The Court will be 近15億港元，而當中的一宗交易，導假扮A公司發送虛假電郵予B公司員 required to assess whether there is credible evidence of the relevant 致一家外國銀行被盜取了5億港元(參見工，訛稱A公司的收款銀行賬戶號碼 transaction, having regard to the International email scams involving Hong 已經更改，要求B公司員工將應付的 transaction documents, business history, Kong hit HK$1.5 billion for the year so 款項存入一個在香港新開設的銀行賬 contemporaneous exchanges, and the far, 南華早報，2016年12月12日)。今年戶。 timing and amount of the fund transfer. 到目前為止，電郵及電話騙案已帶來了超 • 假冒公司高層：騙徒假冒受害公司的 Conclusion 過5.8億港元的損失(參見Dedicated Hong 高層管理人員，向該公司的財務部門 Once solicitors are instructed by a foreign Kong police unit set up to handle phone 員工發出虛假電郵，訛稱要緊急匯款 company with respect to an email scam, scams, 南華早報， 2017年7月21日)。給外國生意伙伴或進行業務投資，並 they should act quickly to prevent the onward transfer of funds. The Hong 騙徒在這些電郵騙案中，入侵目標公司的指示該公司的財務部門員工將款項存 Kong Courts have been willing to grant 電郵賬戶(該等賬戶一般是在香港以外的入一個在香港開設的銀行賬戶。 proprietary and Mareva injunctions 地方登記)，目的是為了更深入了解有關在這情況下，外國公司也許會要求香港 (together with ancillary disclosure 公司的業務，然後根據所取得的資料，偽的律師提供協助，追討該等被盜取及存 orders) on an urgent basis, in order to 冒該公司的職員和供應商，以達致騙取該 assist the foreign companies to protect 入了香港銀行賬戶的款項。本文將討論 their assets. However, the more time that 公司款項之目的。根據香港警務處所刊香港律師可以採取如何的策略，以：(i) passes, the greater the likelihood that 登的《「電郵騙案」最新手法 - 假冒行防止騙徒所盜取的款項被相繼轉移；(ii) funds will be transferred to second layer 政總裁電郵騙案》(Latest Trend of Email 查找該等款項的下落；及(iii)協助當事人 and third layer recipients, or leave Hong Scams – CEO Email Scam)資料，電郵騙追討有關款項。 Kong entirely. This may complicate the 案的騙徒一般會採取以下犯案手法： process of making recoveries from the wrongdoers. n

www.hk-lawyer.org 35 • September 2017

向香港警方舉報留或收受它們的人，衡平法將對其施加披露命令受外國公司委託的律師一旦發現了欺詐情法律構定信託，而在衡平法下，該等信標準格式的「資產凍結令」，容許法庭向況的存在，便應當考慮立即向香港警方舉託財產將可予以追討和追尋。」被告人發出披露命令，規定被告人須就報有關的電郵騙案，此舉可促使「聯合另一方面，法庭頒發「資產凍結令」，是有關資產的價值、位置所在及其他詳情財富情報組」(Joint Financial Intelligence 旨在保障原告人，以免被告人的資產在執提供相關資料(《實務指示第11.2項》)。 Unit)向有關銀行發出「不同意」書，告行法庭的判決前遭到耗散(dissipation)。然而，上訴法庭在Pacific King Shipping 知該銀行「聯合財富情報組」並不同意「資產凍結令」的頒發，並不取決於原告 Holdings Pte Ltd v Huang Ziqiang [2015] 其處理該存入了有關款項的香港賬戶中人對該些將會受到管控的資產，是否享有 1 HKLRD 830, para. 30–32一案中，裁的交易(《有組織及嚴重罪行條例》( 第所有權方面的申索。因此一般的看法是，定任何「資產凍結令」倘若並不涉及所有 455章)第25A(2)(a)條)。然而，該「不同有關的財產倘若未被耗散，那麼與「資產權申索，法庭通常不會就被告人資產的轉意」書並不具備法律效力，可以凍結該凍結令」比較，「所有權強制令」應當是移或耗散，發出進一步披露的命令；但倘香港銀行賬戶，或是保障該外國公司在「較佳的濟助方法」。倘若該等財產有被若有證據證明被告人違反了相關強制令，該賬戶的款項中的權益。因此，即使該耗散的風險，那麼較為審慎的做法，就是情況則屬例外。銀行收到了「不同意」書，它仍有權決同時向法庭申請頒發「資產凍結令」，就「所有權強制令」的頒發而言，原告人定是否執行其客戶的指示 (Interush Ltd v 從而進一步「加強」對該些財產的保護如要求追尋在衡平法上屬於他的財產，法 Commissioner of Police [2015] 4 HKLRD (Falcon Private Bank Ltd v Borry Bernard 庭可命令被告人披露該等財產的下落。 706, para 50–52)(儘管在實際運作上， Edouard Charles Ltd [2012] HKEC 953, 此外，法庭也可以命令第三方銀行披露銀行始終會履行其在反清洗黑錢法例下的 para. 78)。與該被指涉及欺詐用途的被告人銀行賬義務)。但不管如何，律師不應倚賴香港與標準的「資產凍結令」比較，「所有權戶有關的文件(參見 Pacific King Shipping 警方為其當事人進行追討。強制令」具有下列優點： Holdings Pte Ltd, para. 29一案)。

「所有權強制令」和「資產凍結 • 「所有權強制令」的申請門檻較低。《證據條例》(第 8章)第21條規定，法庭強制令」法庭在審理「所有權強制令」申請可下達命令，賦權原告人查閱銀行紀錄律師應當建議該等外國公司考慮在香港法時，於權衡利便後，通常會認定適當內的任何記項，並製取有關副本(包括銀院提起緊急法律程序，以防止銀行處理該的做法，是保存有關款項，直至有關行結算單)。這項命令可以在相關法律程等涉及香港賬戶的交易，並設法追討有關的審訊程序展開。此外，申請人並不序的早期非正審階段作出，包括單方面的款項。此外，作為案中原告人的外國公需要證明有關資產存在被不合理耗散聆訊(參見 CTO (HK) Ltd v Li Man Chiu 司，也可以單方面同時向法庭申請「所有的真實風險(像「資產凍結令」所要 [2002] 2 HKLRD 875, para. 7–12一權強制令」(proprietary injunction) 和「求的情況般)。最後，原告人只須根案；法庭根據單方面申請而作出披露命令資產凍結強制令」(Mareva injunction)(以據實際情況，證明存在重大問題而須的例子，可參見 Golden Brothers Inc v 下簡稱「資產凍結令」)。對其加以審理(參見Pacific Rainbow Medicare Asia Ltd [2016] HKEC 2246 International Inc v Shenzhen Wolverine 一案)。向第三方銀行發出披露命令的好法庭頒發「所有權強制令」的目的，是為 Tech Ltd [2017] HKEC 869, paras. 處，是可以讓原告人迅速得知其款項的下了保存該等原告人可對其提出所有權申 37–39一案)。落。索的資產。原告人若遭遇電郵詐騙而被誘使匯出款項，收受了有關款項的人，可 • 被告人在一般情況下，不得將受制於第二層收受人被視作以「法律構定信託」(constructive 「所有權強制令」的款項(該等款項原告人的代表律師如發現被告人已將 trust)方式，為原告人持有該些款項。被指稱是以「法律構定信託」方式持有關款項轉移(轉予「第二層」收受人在JS Microelectronics Ltd v Achhada 有)，運用於法律費用的支付或日常業 (“second layer” recipient))，他們須就 [2016] HKEC 694, para. 60一案中，法務支出 (Wharf Ltd v Lau Yuen How 應否要求法庭向第二層收受人發出「所官指出： [2010] 1 HKLRD 783)。相反，標準有權強制令」和「資產凍結令」，向其當格式的香港「資產凍結令」載有此等「任何財產若是透過欺詐手段而被收受事人提供法律意見。假如第二層收受人運用被告人資產的例外情況。或取得，對於運用欺詐手段而取得此等所收受的款項，顯示源於欺詐所得，那財產的人，又或是明知此等財產是藉不 • 原告人可以要求法庭向被告人下達披麼原告人有權就第二層收受人所持有的款公平手段剝奪原告人而得來，但仍然保露命令，以協助追尋原告人款項的下項，根據衡平法提出所有權申索，惟須落。

36 www.hk-lawyer.org September 2017 • TORT 侵權

受制於並不知情的真誠購買人所作的有值如，Pacific Rainbow International Inc一 (存入的金額數目似屬隨機性質)，而這交易 (Pacific Rainbow International Inc, 案)。些公司與存款人之間並沒有明顯的關 at para. 64; Arrow ECS Norway AS v 係。同樣，另一種經常發生的情況是，法庭在Arrow ECS Norway AS, para. 30 Xin Cheng Holdings (International) Co Ltd 這些款項的最終收受人會聲稱，他們所一案中指出，如果只是透過某地下銀行系 [2016] HKEC 1063, para. 13)。此外，收受的款項，與存款之時正在進行的某統收受有關款項，「這並不足以認定當中原告人可就第二層收受人如何處理有關宗交易恰好吻合。這些都是法院應當關存在不法行為。控方必須證明收受人知道款項(包括該等款項是否已經轉予「第三注的『巧合情況』。」或有理由相信，有關款項涉及不法來源」層」收受人(“third layer” recipients))，。然而，該項分析備受各方批評，理由第二層收受人在收受有關款項時，是否並要求法庭頒發披露命令。是法庭並非以認定當中存在「不法行為」不知悉當中實情，而且是以有值方式進行然而，當中的潛在困難是，原告人的律師，作為頒發非正審強制令的必要條件。有關交易，這須視乎每宗個案的實際情況對被告人與第二層收受人之間的交易(包在Ferrari North America Inc v Changhon 而定。法庭須審視有關的交易文件、業務括雙方是否存在任何業務關係)是一無所 International Energy Co Ltd [2017] HKEC 紀錄，雙方進行交易時是否銀貨兩訖，以知。在香港的一些近期案例中，第二層收 1324, paras. 19 and 25一案中，法庭指及轉移有關款項的時間和所涉及的金額，受人聲稱其與被告人之間所進行的純屬合出：並據此評估是否存在有關該宗交易的任何可靠證據。法交易，故要求法庭解除有關的強制令。「本席同意，如果僅因存進銀行賬戶的其中的一個例子是，第二層收受人辯稱，款項，是來自一個不相關的來源，這並結語不足以質疑當中是否存在某些不誠實行他們只是在涉及鞋類、電子產品和凍肉銷律師一旦受外國公司委託處理其所涉及的為。然而，如果根據其整體狀況觀察，售的交易方面，以及在將人民幣兌換成為電郵騙案，便應當即時採取行動，以免所該等事實可以讓人質疑當中存在不誠實港幣或美元的「灰市」交易中，收受被告涉及的款項被相繼轉移。香港法院向來願行為，那麼在「資產凍結令」的階段，人的款項。在若干案件中，第二層或第意協助保護外國公司的資產，因此對於緊法庭無需強制原告人必須證明該等款項三層收受人所提供的解釋，足以解除相關急的「所有權強制令」和「資產凍結令」的收受人涉及「犯罪行為」。的強制令(例如，在Arrow ECS Norway (並連同附帶的披露命令)的發出，通常會 AS; Limited Liability Company Umitoys … 給予積極考慮。但時間越久，有關款項轉 v Nice Fame Trading Ltd [2017] HKEC 法庭經常察覺到的一種情況是：在發生移至第二層及第三層收受人，又或是被完 1295一案中，當中的第一層收受人獲了互聯網電郵詐騙後，經常會有大筆全移離香港的可能性便越高；這樣一來，得法庭解除「資產凍結令」)。在其他案款項存入某家公司的賬戶中，然後，該向不法者進行追討的法律程序亦變得越複件中，法庭裁定有關的交易證據不足(例筆款項會馬上被分散存入其他一些公司雜。 n

www.hk-lawyer.org 37 • September 2017

The New Hong Kong Insurance Regulatory Regime

By Peter Gregoire, General Counsel AIG Insurance Hong Kong Limited

38 www.hk-lawyer.org September 2017 • INSURANCE 保險

change has occurred in Hong outweighs the Levy amount. for these purposes. This requires, Kong’s insurance regulatory regime. among other things, details of the key A With the commencing rate set at On 26 June 2017, the new Insurance person’s reporting lines and where they The New Hong Kong Insurance 0.04 percent of premium due on each Authority formally took over from the fit in within the insurer’s management insurance policy and graduating to Office of the Commissioner of Insurance organisation. It also requires 0.1 percent by 2021 (subject to an overall as the industry’s regulatory body. The demonstration that the proposed key Regulatory Regime cap), some would say the Levy falls within transition marks the blossoming to life person meets the “fit and proper” a de minimis range. Nevertheless, the of a seed planted back in 2010 when requirements laid out in the revamped system changes its demands on insurers, the first consultation paper on the Guideline issued by the Insurance making it a priority for them to update subject was circulated, citing the need Authority on the subject. policy documentation and communicate to modernise Hong Kong’s insurance it in advance to policyholders, whilst The “key persons” regime is where we regulatory regime. advising Finance, IT and business see the true substance of the modernised For those who have followed the passage teams on the minutiae of the detail. As regulatory regime at work. Being a of the legislation, which has seen the old a concept, the application of the Levy key person comes with the prospect of Insurance Companies Ordinance be given sounds simple, but Hong Kong is a personal liability, in the event the insurer a 21st century make-over to become the market where insurance policy design itself is found to have committed an Insurance Ordinance, the empowerment is not dictated by the regulator, but offence under the Insurance Ordinance of the new Insurance Authority marks the subject to the common law principle and this is attributable to any neglect end of a very long road. For the insurance freedom of contract. The wide diversity or omission on the part of a key person industry, however, this is merely the end of innovative coverage structures to (see s. 124 of the Insurance Ordinance). of the beginning. Insurers and insurance which this has given rise, serves as one Extending personal liability to individual intermediaries operating in Hong Kong of the Hong Kong insurance market’s members of senior management beyond now face the hard work of implementing strengths. However, it also means that Directors and the Chief Executive Officer the changes needed to align their implementing the Levy is no easy task, is a principle mechanism by which the governance, practices and processes with considering the plethora of different new regime seeks to restrain unlawful the new requirements in the legislation. scenarios to which the Levy must apply and undesirable behaviour within the So where to begin? Looking through the (multi-year policies, policies involving insurance industry. Indeed, we see lens of a lawyer working in an insurance different currencies, treatment of this same mechanism being used by company, the following should be cancellation and reinstatement, etc). other industries (eg, the new Manager- priorities. Legal practitioners would do well to In-Charge regime instituted by the equip themselves to advise on these Securities & Futures Commission in its The New Levy issues. circular of 16 December 2016). As with everything in Hong Kong, For the substance, as well as the form, finances come first and funding the Key Persons in Control of the key-person regime to be adopted, new regulator takes priority. Unlike its Functions legal practitioners would do well to assist predecessor, the Insurance Authority Of more significance to legal practitioners their insurer clients with the following meets international standards of is the requirement for insurers to obtain practical tips, as well as assisting with the regulation because it is deemed approval from the Insurance Authority for submission of the Form 1As: operationally “independent” from their “key persons in control functions”, Government. A significant part of that per the new s. 13AE of the Insurance (1) Sit down with each key person and independence comes from the fact that Ordinance. The key persons in this explain the personal responsibility the Insurance Authority’s long-term respect are the individuals employed by and expectations that comes with the funding is not to come from tax payers, the insurer, who are responsible for the role of being a key person. Stress the but from the insurance industry and performance of the control functions of importance of adopting common-sense insurance policyholders. All insurance risk management, finance, compliance, techniques such as the need to document policies (with certain exceptions) internal audit and intermediary discussions, decisions and sign-offs and incepting on and from 1 January 2018, management. the rationale behind them. will attract a Levy on premium which The applications for approval for existing (2) An appropriate letter of appointment will be used to fund the Insurance key persons in each of these functions should be drawn up for the key person Authority’s existence. The Levy is payable (apart from intermediary management) role. A one-line e-mail confirming that by policyholders, but is to be collected must be submitted to the Insurance the person is now a key person will set by insurers, although insurers do have Authority by 30 September 2017. There the wrong tone and treats the approval a discretion to shoulder it themselves is a new Form A1 which has been issued process as a “tick-the-box” effort. A if, for example, the cost of collecting it letter of appointment, however, setting

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the parameters and expectations for means of spotting problems, before they carrying on “regulated activities”. In this the role, not only correctly documents materialise into something substantive. regard, “regulated activities” are widely the appointment, but gives it the defined. They include virtually all core (6) Finally, ensure that all key persons appropriate status within the corporate insurance processes, such as arranging, are announced to the company, so governance framework. (For future hires negotiating or inviting persons to enter everybody knows their role as gate- of key persons, these matters should be into insurance policies, giving advice on keepers and the importance of it to the embedded as part of their employment applying for insurance, exercising a right company’s everyday functioning. This contract). under an insurance contract, and making will give key persons the platform they and settling insurance claims. Employees (3) Ensure that the key person is need to communicate awareness of the of insurance companies who carry empowered to perform their role. This expected standards of behaviour that out these activities now without being is more than about drawing reporting all employees should adopt in order to individually licensed may therefore need lines on a chart. It is about ensuring the stay within the lines, thereby building to be licensed in future. key person is given the opportunity to the right culture. Key persons can also raise issues directly to the board. Make instil this culture by making sure it is The two-year hiatus is intended to the need for the key person to report, known what information they expect give the industry breathing space to a standing item at board and board colleagues to provide when seeking “sign prepare, but the time lag creates its committee meetings. Key persons must off”. A request which simply says “can own problems as the industry is already also have untrammelled access to the you sign this off” demonstrates a lack undergoing significant change before Chief Executive Officer, so that issues of consideration for the requirements the new requirements are made clear. can be raised to the right levels of which matter. A request which includes New distribution channels embracing management as and when needed. In a description of the attributes of the technology are continually being short, all key persons need a substantive proposal which ensure fair treatment rolled out across the board to improve seat at the senior management table. of customers, demonstrates that the customer experience. Online platforms business is benchmarking itself against which automate quoting and binding of (4) Ensure the potential exposures of the the right standards from the outset. insurance contracts are set to become key person are properly managed from That’s when you know you have the the norm for more than just plain- the outset. Make sure the indemnity culture right. vanilla consumer insurance products. provisions in the company’s Articles of InsureTech is fast turning from buzzword Association are up-to-date and extend to As such, the appointment of key persons to reality. key persons. Similarly, legal practitioners is the first of the “new requirements” would do well to advise insurers that on the to-do list when it comes to the How can legal practitioners assist key persons should be insured persons governance requirements of the new in aligning these new distribution under the company’s own Directors’ & Insurance Ordinance. Getting this right mechanisms with the spirit of the new Officers’ insurance coverage. Preparing will set your insurer clients up for success legislation when its details have yet to for the worst, ensures that key persons going forward. be formulated in much needed codes are not constantly in defensive mode, but and guidelines? A good starting point are given the courage to operate pro- Growing Focus on Sales would be by looking to where the new actively and practically in the business Practices and Fair Customer provisions of the Insurance Ordinance environment. Corporate governance Treatment originated, namely the Insurance Core becomes nothing more than words on Beyond the immediate changes which Principles (“ICPs”) promulgated by the a page, if those operating the corporate came into effect on 26 June 2017, International Association of Insurance governance regime are not given the looms the most significant expansion of Supervisors. The ICPs are, after all, the leeway to be practical. regulatory power wrought by the new international standards with which the Insurance Ordinance seeks to align. (5) Encourage all key persons to make legislation. So significant in fact, that time to sit down with each other the industry has been given a two-year A golden thread which runs through regularly and exchange views on what hiatus to ready itself. the ICPs, is the need to ensure “fair they are seeing in the organisation. A At some point within this two-year treatment of customers”. As such, regular meeting like this quickly embeds period, the current self-regulatory regime legal practitioners would do well, when best-practices across the organisation, for insurance agents and insurance advising on the new purchase pathways ensures nothing falls through the cracks brokers will be replaced with direct and other mechanisms that technology is and creates a esprit de corps amongst regulation by the Insurance Authority. enabling, to benchmark these processes the control functions which makes Further, this new licensing regime is against some basic customer fair the whole substantively stronger than expanding beyond existing brokers treatment principles. Certain common the sum of its parts. It also serves as a and agents to encompass any person sense questions which view the process

40 www.hk-lawyer.org September 2017 • INSURANCE 保險

from the customer’s standpoint should be asked, such as: • Is the prospective customer given the opportunity to review policy terms and conditions before making a purchase? • Are key terms and exclusions being brought to the customer’s attention? • Is the customer given a practical route by which he or she can ask questions on the coverage? • Does the security underpinning the platform ensure customer data is adequately protected? • What is the approach to handling complaints? Giving advice on legislation which has not yet come into force (and codes of 香港的新保險業監 conduct or guidelines that have yet to be issued) is no easy task. By going to the ICPs which have provided the basis of the new legislation, however, legal 管制度 practitioners can at least encourage insurers to set some common-sense benchmarks around the principle of 作者 Peter Gregoire 法律總顧問美亞保險香港有限公司 “customer fair treatment” when rolling out new systems, sales processes and products. This would certainly assist in 港的保險業監管制度正開始發生新保險徵費 setting the insurer up for success when 香變化。從2017年6月26日開始，在香港每做一件事情，都可說是無財不 the legislation finally bites. 新成立的「保險業監管局」取代了保險業行。故此，新成立的「保險業監管局」需 Conclusion 監理處的職能，成為新的保險業監管機要優先處理的問題，便是如何取得所需構。這一發展，標示自從香港於2010年 The new Insurance Ordinance and 的營運資金。該局與其前任機構的不同之 the new Insurance Authority mean 發表第一份保險業諮詢文件，指出香港的處，是它在運作上被視為「獨立」於政府 the beginning of a period of great 保險業監管制度須予現代化之後，今天終以外，而達到國際的監管標準。它能獨立 regulatory change for the insurance 於進入開花結果的時候。於政府以外的一項主要因素，是它的長 industry at a time when it is going through change itself through the 在這項條例的制定過程中，原有的《保險期營運資金並非來自納稅人，而是來自保 general embracement of technology. 公司條例》進行了21世紀的大革新，化險業界和保單持有人。於2018年1月1日 Legal practitioners have a key role 身成為《保險業條例》，再加上新成立並或以後簽訂的所有保單(除了若干例外情 to play in advising insurers in this 獲得賦予監管權力的「保險業監管局」，況)，皆需要按照其保費金額繳納徵費， changing environment. Those market 標誌一段漫長旅程的告終。然而，對於保而該等徵費將會作為「保險業監管局」的 participants pro-active in addressing the necessary changes are the ones 險業界來說，這卻是一個新階段的開始。營運資金。儘管該等徵費是由保單持有人 who will best adapt, survive and 香港的保險公司和保險中介人，現正面對承擔，但需要由保險公司向保單持有人收 thrive. n 著將改革落實的艱辛任務，目的是使保險取。因此假如收取徵費的成本超過所收取業在管治、實務、程序等各方面，都能符的徵費金額，保險公司有權決定是否自行合新法例的要求。然而，面對種種挑戰，承擔該等徵費。

業界要克服個中困難，應該從何著手呢？在起首階段，每張保單的徵費費率，須筆者試從一位在保險公司任職的律師的角按其保費的0.04%計算，而在2021年以度，論述保險業應當優先實行的舉措。前，將會逐步提升至0.1%(但不得超過一

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個總體上限)。可能有人會認為，該等徵於一名要員的疏忽或不作為，那麼，該名 (4)保險公司需要確保，要員從一開始，費只是在一個微不足道的範圍內。然而，要員將可能需要承擔個人法律責任(參見其所面對的潛在風險便獲得適當的管控。這制度確是改變了其對保險公司的要求。《保險業條例》第124條)。該新制度是此外，保險公司必須確保其組織章程細則在保險公司向財務、資訊科技、和業務隊遏止保險業內出現不合法及不適當行為的中的彌償條款，是屬於最新制定的版本，伍就細節問題提供意見時，它需要優先處一個重要機制，它將個人法律責任延伸並且伸延至適用於各要員。同樣地，法律理的事情，是更新保單文件及預先通知保至董事及行政總裁以外的高級管理層個別執業者亦須告知保險公司，要員應當是該單持有人。徵費的運用概念，表面上看似成員。事實上，我們發現在其他行業中也公司的「董事與高級人員」的保險覆蓋範簡單，但由於香港的保險單是依循普通法存在如此的機制(例如，證券及期貨事務圍內的受保人士。我們需要為最壞的情況的自由契約原則，由保險公司自行擬定，監察委員會在其於2016年12月16日刊發作準備，確保各要員無需經常處於一個須監管機構無權規管。這項原則使香港的保的通函中，提出了「主管」機制這一新議為自己申辯的境況；相反，他們應當獲得險公司得以推出許多不同類別，在承保結題)。給予鼓勵，能夠以積極和務實的態度在經構方面具開創性的保險產品，並構成香港營環境中運作。推動企業管治的人員，假要讓這一要員制度在實質和形式上被接保險市場的發展動力。然而，由於保險如未能獲得給予充分的運作空間，那麼所納，法律執業者可向其保險公司客戶作出徵費涉及眾多不同對象(包括：多年度保謂的企業管治也只能說是徒具空文。下列的適切提示，並協助它們提交《表格單、以不同貨幣計值的保單，以及取消或 1A》： (5)保險公司應當鼓勵所有要員騰出時恢復保單效力的處理，等等)，這意味著間，經常一起就他們所觀察到的公司情況保險徵費工作的執行殊非易事。因此，法 (1)邀請每一位要員坐下來，向他們解釋相互交換意見。此等會議的定期舉行，可律執業者對於這方面應當有充足的認識，一名要員所須承擔的個人責任和所肩負以迅速確立整個機構內的最佳運作模式，從而為其保險公司客戶提供適切意見。的大眾期望。此外，法律執業者也需要確保沒有任何重大事情被遺漏，以及在各向他們強調運用普通常識技術的重要性，項管控職能中建立起團隊精神，從而使它管控要員例如：將有關的討論、決定及協議記錄下在整體上，遠較其各部分相加起來強大。對於法律執業者來說，更重要的一點，來，以及其背後的理據。此外，該等會議也是一個發現問題所在的是《保險業條例》第13AE條規定，保險 (2)應當為每一名要員所肩負的職能，擬地方，使問題能有效解決於萌芽之際。公司需要就其管控要員 (key persons in 定一份適當的委任書。如果透過只載有單 (6)最後，保險公司需要確保其所有要員 control functions) 的委任，取得「保險業行文字的電郵，確認某位人士現在就是一的身份獲得對外公佈，讓其他人皆得知這監管局」的認可。此處所指的管控要員，名要員，這可能會導致其真正含義被扭些要員肩負著把關者的角色，以及他們對是指保險公司所聘用的個別人士，他們曲，並將有關的認可程序視作只是例行公公司日常運作的重要性。此舉可以讓各要被保險公司委派執行風險管理、財務、合事。事實上，一份設定了明確範圍和期望員獲得提供一個適當平台，就各員工應當規、內部審計及中介人管理等管控職能。的委任書，不但能有效述明該項委任，亦具備的行為標準，表達公司管理層對他們保險公司必須於2017年9月30日或以能讓該要員在企業管治架構中獲得一個適的期望，使他們免於墮入違規陷阱，並藉前，向「保險業監管局」提交各個負責有當位置。(對於在未來受聘的要員來說，此建立正確的企業文化。此外，各要員也關職能(中介人管理除外)的現有要員之認此等事宜應當明確載於其僱傭合約中，作應當讓其公司同事明確知悉，在他們計劃可申請，而為此目的而制訂的《表格A1 為相關合約內容的其中一部分)。和客戶簽訂合約前，他們應當先向其客戶》亦已發出。該表格規定(除其他事項外) (3) 為了確保各要員獲得授予充分權力以提供一些什麼資料。倘若他們只是簡略地保險公司須就有關要員的匯報途徑，以及履行其職務，保險公司不能只靠單純在圖對客戶說：「請在這份文件上簽名」，這該途徑在保險公司管治架構內的所處位置表上繪劃出其匯報途徑，而是必須確保顯示他們並沒有充分關注一些不可忽視提供詳細資料。此外，該表格也需要保險他們獲得充分給予直接向董事會提問的機的法律規定。在銷售產品時，銷售人員如公司證明該要員確符合「保險業監管局」會。保險公司應當在董事會及其轄下的能詳述其計劃書中的各項要點，確保其顧的經修訂《指引》中所載的「適當人選」委員會中，為要員設立一個常設項目，讓客能獲得公平對待，這可以顯示該機構規定。他們可以不時在該等會議中進行匯報。此的確是根據正確的標準來檢視自身的服務我們可以從這「要員」機制，看到一個投外，要員必須能夠不受妨礙地，與公司的水平，亦顯示它已確立一種正確的企業文入運作的現代化監管制度的真正內涵。倘行政總裁直接接觸，從而得以將相關問題化。若保險公司自身觸犯了《保險業條例》下向適當的管理層反映。簡而言之，所有要談到新《保險業條例》中的管治規定，在的違法行為，而此等情況的發生，是歸因員都應當在公司的高級管理層中佔有實質該「待辦事項清單」中的最首要工作，應的席位。

42 www.hk-lawyer.org September 2017 • INSURANCE 保險

該是對要員的委任。如果你的保險公司客確立以前，保險業自身其實已經在發生重 • 銷售人員曾否向顧客提及任何關鍵條戶對此處理得宜，在未來它將可取得業務大改變。該等涉及科技運用，並能增強客款和除外情況，並提醒他們注意？

上的重大成果。戶體驗的新分銷渠道，已經在相繼展開全 • 顧客是否獲得提供任何實際途徑，讓面性的使用。對於涉及非基本消費者保險其可以就保險的覆蓋範圍提問？更為重視銷售手法及公平對待顧產品的合約，現時在網上平台進行自動化 • 該平台的保障措施是否能確保顧客的客的報價和訂約處理，已經成為一種常態，資料獲得充分保護？令致保險業產生巨大改變的一刻，於而「保險科技」這個名詞正迅速地從一個 2017年6月26日到來後，相關的新法例流行術語轉化成為人們的現實生活。 • 是否有任何處理顧客投訴的途徑？也給保險業的監管帶來大幅度的權力擴當局仍未根據新法例的細節，制定需要業法律執業者需要就一項仍未全面實施的法張。由於影響甚深，故保險業界獲得給予界遵守的守則和指引以前，法律執業者如例(相關的行為守則或指引亦仍未發出)提兩年的過渡期為此作準備。何促使該新分銷機制與該新法例的精神一供法律意見，這確是誠非易事。然而，法保險代理人和保險經紀的現行自我規管制致呢？一個基本的方法，是參考《保險業律執業者若能更多提及為新法例提供基度，在該為期兩年的過渡期的某一個階條例》新條文的出處，亦即是由國際保險礎的「保險核心原則」，這至少可以鼓勵段，將會被「保險業監管局」的直接規管監督聯會所頒布的「保險核心原則」。事保險公司在實行和推出新的制度、銷售程所取代。此外，新發牌制度的實施範圍，實上，「保險核心原則」是香港的《保險序、產品時，應同時訂立一些符合「公平亦將擴展至現行的代理人和經紀以外的範業條例》所尋求遵循的國際準則。對待顧客」原則的普通常識基準，而此舉圍，而包括任何進行「受規管活動」的人在有關法例最終生效時，將能有助該保險「保險核心原則」的中心思想，是要確保士。在此等範疇的「受規管活動」，其含公司取得業務成果。能「公平對待顧客」。因此，當法律執業義十分廣泛，並包括所有核心保險程序，者需要就新銷售方式及其他涉及科技運結論例如：安排、洽談、或邀請任何人訂立保用的機制，向其客戶提供法律意見時，他險合約、就投保申請提供意見、行使保險《保險業條例》的通過與「保險業監管亦可以根據一些基本的公平對待顧客原合約下的權利，以及提出保險索賠和達局」的成立，標誌著在保險業監管方面，則，來對上述程序進行檢測，而所提出的成和解等。因此，現時進行此等活動，但正面對著一個重大的變遷；而另一方面，問題，應該是一些根據普通常識，並且是仍未個別獲得發給有關執照的保險公司員隨著科技的運用，保險業自身也在經歷著從客戶的立場來檢視有關程序的問題。比工，在未來將需要申領此等執照。另一種轉變。在這不斷變遷的環境中，法如：律執業者對保險公司的法律意見提供，扮法例為保險業提供一個兩年的過渡期，是 • 在準客戶作出投保決定之前，他們是演著一個不可或缺的角色，而對那些持積為了讓業界能有充分的時間做好預備。然否獲得提供檢視保單條款及條件的機極態度面對此等改變的市場參與者來說，而，這一時間上的滯差，也導致保險業面會？在未來它們必然是最具適應力和生存能對一些額外問題，原因是在相關的新規定力，能展現處處生機的一群。 n

www.hk-lawyer.org 43 • September 2017

Recent Actions by US Regulators Expose Local Virtual Currency Businesses to Pandora’s Box of Legal Risks

By John Han, Principal Kobre & Kim LLP Benjamin Sauter, Principal Kobre & Kim LLP

44 www.hk-lawyer.org September 2017 • FINTECH 金融科技

ore than 60 percent of businesses top regulator in the virtual currency US Commodity Futures Trading Moperating in the so-called virtual space: the US Securities and Exchange Commission currency space are reportedly based in Commission, the US Commodity Futures The US Commodity Future Trading Hong Kong and Mainland China. These Trading Commission, and the US Internal Commission (“CFTC”) has also planted businesses may be surprised to learn Revenue Service. its flag in the virtual currency space. that they can be exposed to possible US Securities and Exchange In June 2016, the CFTC brought an government enforcement actions and Commission enforcement action against the Bitfinex private litigation in the United States exchange for violating US law by allowing based on conduct taking place in their The US Securities and Exchange Commission (“SEC”) has stated virtual currencies to be traded on a local jurisdiction. The US government leveraged basis without first registering has recently taken aggressive steps unequivocally that it intends to regulate many new virtual currencies with the CFTC. The CFTC adopted a to police the global virtual currency view that virtual currencies constitute markets, taking a view that, in some as “securities” under US law. In a report published in July 2017, the SEC “commodities” and, therefore, Bitfinex circumstances, virtual currencies can was required to register. Bitfinex constitute “securities” and “commodities” indicated that virtual currency offerings (or “initial coin offerings” that exchange cooperated with the CFTC but ultimately subject to enforcement and prosecution paid a US$75,000 fine. under US law. These recent actions virtual currency for working capital) that open a virtual Pandora’s box of possible implicate US investors will, in most cases, The CFTC also recently took enforcement legal consequences for virtual currency be considered “securities” offerings action against another virtual currency businesses operating in the Greater China subject to SEC enforcement jurisdiction. exchange, TeraExchange, for engaging region. The classification of virtual currencies in prohibited trading practices in as “securities” creates important legal commodities derivatives. That action HK-Based Virtual Currency consequences for virtual currency was also predicated on an interpretation Businesses Are Exposed to businesses around the world – including of US commodities laws to cover virtual Government Enforcement potentially virtual currency issuers, currencies. Actions in the United States currency “miners”, investors, traders, In an important signal of future scrutiny The US government has been flexing exchanges, investment advisers and and oversight in this space, the CFTC has its muscles to police virtual currency brokers. The categorisation could impose just approved the first Bitcoin derivative markets around the world. They have the full body of US securities laws on trading in the US. The CFTC may now try recently brought a number of actions many virtual currency businesses and to assert authority over trading practices against businesses in Hong Kong and forbid a host of conduct for the first in underlying digital currency markets others parts of the world. time, such as insider trading or market (that provide reference prices for newly manipulation in virtual currencies or In 2016, a US government body brought approved derivatives products) or other securities fraud. an enforcement action against Hong markets that affect these prices through Kong-based virtual currency exchange Take the example of Bitfinex: “Spoofing” arbitrage. Bitfinex for failing to register with the and “wash trading” activity was recently US Internal Revenue Service government body. As recently as July reported on the Hong Kong-based Finally, virtual currency operators 2017, US prosecutors fined Russia-based exchange. “Spoofing” involves placing a around the world may be exposed to virtual currency exchange BTC-e US$110 large number of sell or buy orders to drive information requests and possible million for violating US anti-money the market price in a particular direction enforcement actions by the US Internal laundering laws. with the intent of canceling those orders Revenue Service (“IRS”) for facilitating before they are executed. “Wash trading” These enforcement actions against virtual transactions subject to US taxation. The involves trading with oneself to give a currency exchanges around the world IRS is in the midst of a campaign to catch misleading appearance of market activity. are predicated on conduct occurring tax evaders who failed to report capital outside the United States that has an These practices are generally considered gains on the immense appreciation in effect within the United States. While the illegal under US securities and Bitcoin from 2013 to 2015. As a part US government’s legal reach may not commodities laws but are currently of that campaign, in November 2016, be valid and is open to dispute, that may unregulated in virtual currency markets. it subpoenaed client and transaction be of little comfort to companies and However, that could all be about to records from virtual currency exchange individuals charged with illegal activity in change. There is a strong possibility that Coinbase. Hong Kong and Mainland the United States. this and other types of forbidden conduct China-based businesses may well face when “securities” are involved could be similar requests for records related to US Three US enforcement bodies are subject to enforcement actions by the taxpayers. leading the competition to become the SEC.

www.hk-lawyer.org 45 • September 2017

Virtual Currency Businesses Private parties have similar capabilities. • Challenges to Personal Jurisdiction. Are Exposed to Private A Bitcoin security research group recently Important potential defenses may Litigation in the United States demonstrated how to reverse engineer be available for non-US businesses blockchain transactions to identify and based in the Greater China region Hong Kong and Mainland China- tie individuals to virtual currency trades to challenge assertions of personal based companies that deal with US using (i) blockchain analysis (similar jurisdiction over them. Hong Kong counterparties can also be sued in the to that used by the US government) solicitors who represent virtual United States by private parties – for to identify accounts associated with currency businesses should also example, aggrieved investors – under trades and (ii) public records to link and analyse and consider these defence US securities and commodities laws locate individuals associated with those options when formulating a response or for common law claims such as accounts. strategy. fraud, negligence or breach of fiduciary • Challenges to Discovery Requests. duty. Litigants in the United States How Hong Kong Solicitors Document requests (by way of judicial have broad discovery powers that can Should Respond to US be weaponised and wreak havoc on or legal assistance) from the US Government Inquiries or government or private parties may businesses that must respond to onerous Private Lawsuits requests or face possible contempt of be subject to legal defenses and court sanctions or even default judgment Hong Kong solicitors and their clients objections under US procedure, such in US courts. Recent legislation gives confronting potential enforcement as the US attorney-client privilege, plaintiffs powerful new remedies, such actions or disputes in the US should or other legal privileges including as rescission of trades or, in some cases, consider the following when formulating those recognised under Hong Kong punitive damages. It is doubtful that a defense strategy at the outset of any law. Before producing documents, virtual currency operators can completely matter: information or testimony to the US eliminate these risks by using exclusive • Challenges to Application of government or US civil litigants, non-US choice-of-forum or choice-of- Securities and Commodities Laws lawyers for virtual currency operators law clauses in terms of service or client in the First Instance. The SEC’s should carefully assess what a request contracts. and the CFTC’s categorisation of requires and what legal defenses or virtual currencies as “securities” and privileges may apply under local or US Virtual Currency Businesses “commodities” for certain purposes law. cannot Rely on Technological has not been tested in court. These Hong Kong and Mainland China-based Anonymity to Protect against positions can be challenged. There virtual currency companies are exposed US Government Actions or are good arguments that the CFTC to overlapping legal risks in their Private Litigation does not have statutory jurisdiction home jurisdictions and in the United Clients cannot assume they are protected over virtual currency traders and States, from US federal agencies, US from US government or private actions that virtual currencies do not meet state regulatory bodies and private by the technological anonymity afforded the legal standard to constitute litigants. The penalties can be severe by blockchain technology. Governments “securities” under US law. Lawyers including disgorgement of profits, and private parties have ways to break the should develop arguments that injunctions to prohibit further conduct, anonymity surrounding virtual currency the specific facts of their case are revocation of registrations or licenses, trades that impact virtual currency not covered by US securities and and special remedies such as periodic exchanges, money transmitters, and commodities laws to start with. audits or monitorships or supervisory associated individuals. • Statutory Defences under US arrangements. Their attorneys must closely monitor the rapidly changing For example, in the recent BTC-e Securities and Commodities Laws. legal landscape in this space, both in the exchange matter, mentioned above, In order to properly advise their US and globally, so that, should a legal the US Department of Justice used clients, lawyers for virtual currency issue arise, they can properly advise their “blockchain analysis” to identify and businesses need to familiarise clients regarding potential options to locate a Russian national allegedly themselves with other defences mount an aggressive defense. n associated with a massive theft of Bitcoin. available under the US securities and The Russian defendant was accused commodities statutes. In the event of operating a Bitcoin exchange as an that a challenge to application of US international money laundering vehicle securities and commodities laws fails, and is currently under arrest in Greece these statutory defences can create an important line of defence against We would like to acknowledge the contributions pending an extradition request to the of Nan Wang, Associate, Kobre & Kim LLP, in United States. both government enforcement and preparing this article. private litigation.

46 www.hk-lawyer.org September 2017 • FINTECH 金融科技

美國監管機構近期所採取的行動，使得本地虛擬貨幣業務面對潘多拉盒子裡的各樣法律風險

作者韓星，主要負責人高博金律師事務所 Benjamin Sauter，主要負責人高博金律師事務所

報導，所謂的虛擬貨幣業務，全球美國向全球的虛擬貨幣交易平台採取執法控、證券欺詐等。目前有超過百分之六十，是在香港行動，是以有關的行為雖然在美國以外據就以Bitfinex為例：近期報導該在香港營運和中國大陸經營。令經營者可能會感到詫範圍進行，但在美國境內產生影響作為前的交易平台出現「幌騙」及「虛假買賣」異的是，它們也許會面對美國政府所採取提。儘管美國政府採取該等執法行動並非等活動。「幌騙」涉及發出數量龐大的買的執法行動，以及私人訴訟等各樣風險，必然有效，又或是無可爭議，但被美國控賣指令，將市場價格推往一個特定方向，理由是有關行為是在其司法管轄範圍內發告進行該等非法活動的公司或個人，絕不並在該等指令被執行之前將其撤消。「虛生。美國政府近期採取了積極行動，監控能對此掉以輕心。假買賣」則涉及與自身進行買賣交易，意全球的虛擬貨幣市場，並認為在某些情況美國現時有三個執法機構，爭相成為虛擬圖給市場活動造成一個具誤導性的表象。下，虛擬貨幣根據美國法例，是屬於美貨幣領域的主要監管機構，而它們分別根據美國的證券及商品法例，該等行為一國政府可對其採取執法行動和提出檢控的是：美國證券交易委員會、美國商品期貨般被視作非法，但它們現時在虛擬貨幣市「證券」和「商品」。大中華區的虛擬貨交易委員會、及美國國家稅務局。幣經營者可能會因著美國的此等行動，而場中卻不受任何監管。然而，此等情況在需要面對潘多拉盒子裡的各種可能法律後美國證券交易委員會未來可能會發生變化。倘若有關交易涉及果。「美國證券交易委員會」已明確表示，他「證券」，那麼「美國證券交易委員會」們打算根據美國法例，將許多新創的虛擬非常可能會對此類以及其他被禁止的行為香港的虛擬貨幣經營者正面對美貨幣視作「證券」而對其進行監管。該委採取執法行動。國政府的執法行動員會在一份於2017年7月發表的報告中表美國商品期貨交易委員會美國政府在監控全球虛擬貨幣市場方面，示，虛擬貨幣發售(或稱「首次代幣公開發與此同時，「美國商品期貨交易委員會」積極展示了它的執法力量。在近期，美國售」)是將虛擬貨幣轉換成為營運資金，而也開始介入虛擬貨幣這一領域。2016年6 政府向香港及世界其他地方的虛擬貨幣經在大多數情況下，就美國投資者而言，此月，該委員會向Bitfinex交易平台採取執法營者採取了一連串的行動。等發售應被視作「證券」發售，故須受該委員會的監管。行動，理由是該平台觸犯了美國法律，在 2016年，一個美國政府機關向在香港經沒有首先向其註冊登記以前，容許客戶以將虛擬貨幣歸類為「證券」的這一舉措，營的一個虛擬貨幣交易平台Bitfinex採取了槓桿形式進行虛擬貨幣交易。「美國商品為全球的虛擬貨幣經營者帶來重大的法執法行動，理由是它沒有向這個政府機關期貨交易委員會」認為虛擬貨幣構成了「律後果，當中包括：潛在的虛擬貨幣發行登記。最近，亦即是2017年7月，美國的商品」，因此Bitfinex需要首先進行登記。人、貨幣「採礦者」、投資者、交易商、檢控部門對一個在俄羅斯營運的虛擬貨幣對此，Bitfinex與該委員會採取了合作態交易平台、投資顧問及經紀。這一歸類，交易平台BTC-e處以1億1000萬美元的罰度，最後被判罰款75,000美元。款，理由是它違反了美國的反清洗黑錢法將一整套的美國證券法施加於許多虛擬貨此外，「美國商品期貨交易委員會」近期例。幣經營者身上，並禁止進行一系列的行為，包括：內幕交易、虛擬貨幣的市場操亦向另一虛擬貨幣交易平台TeraExchange

www.hk-lawyer.org 47 • September 2017

採取了執法行動，理由是它進行被禁止的虛擬貨幣經營者不能藉著運用技 • 根據美國證券法和商品法而可予提出商品衍生工具買賣交易。同樣地，採取該術性的匿名來免於面對美國政府的法定辯護理由。受虛擬貨幣經營者項執法行動的前提，是將美國的商品法例所採取的執法行動或私人訴訟委託的律師，應當熟知在美國的證券解釋為也涵蓋虛擬貨幣。客戶不能假設他們可以藉著運用區塊鏈科及商品成文法規下，他們可以提出的其他一些辯護理由，從而向其當事人「美國商品期貨交易委員會」剛批准了美技而進行技術性的匿名，從而免於面對美提供適當的法律意見。倘若他們就美國首宗比特幣衍生工具交易，這是他們未國政府的執法行動或私人訴訟。事實上，國的證券及商品法例之適用而提出的來在該領域進行審查和監督的一個重要標美國政府和私人訴訟方有辦法破解對虛擬質疑被法院駁回，這些法定辯護理由誌。該委員會現時也許會嘗試向數位貨幣貨幣交易平台、貨幣轉移者及相關人士造便可以針對美國政府的執法行動和私市場(該市場為新近通過的衍生工具產品提成影響的虛擬貨幣交易的匿名保護。人所提起的訴訟，構成一道重要的辯供參考價格)，以及通過套戥而影響此等價例如，在近期的BTC-e交易平台一案(見上護防線。格的其他市場之經營手法，提出其有權進文)中，美國司法部運用區塊鏈分析來辨 • 對屬人管轄權提出質疑。在大中華行監管的主張。識一名被指與一宗特大的比特幣盜竊案有區經營的非美國經營者，它們可以提關的俄羅斯公民，並尋獲他的匿藏地方。美國國家稅務局出重要的潛在辯護理由，對該等施加該名俄羅斯被告人被控經營一個比特幣交最後，全球的虛擬貨幣經營者，可能需要於他們身上的屬人管轄權主張提出質易平台，並以它作為國際清洗黑錢工具。面對美國國家稅務局的資料提供要求，以疑。受虛擬貨幣經營者委託的香港律他現時已在希臘落網，並正在等候美國提及其可能會作出的執法行動，以核查須被師，他們在制定回應的策略時，也應出遞解要求，以便將他移送到美國接受審課徵美國稅項的交易。美國國家稅務局現當分析和考慮這各項辯護理由。訊。正採取行動，緝捕在2013年至2015年期 • 對文件披露要求提出質疑。美國政府事實上，民間也擁有與此類似的能力。一間，因著比特幣的大幅升值而獲得資本收或私人訴訟方(藉司法或法律互助)提出個比特幣安全研究小組，近期展示了如何益，但卻並沒有向該局作出申報的逃稅的文件披露要求，可以根據美國的法運用以下方法，對區塊鏈交易進行逆向工者。作為上項行動的一部分，美國國家稅律程序而對其提出法定的抗辯和反對程，從而識別及連繫與虛擬貨幣交易有關務局於2016年11月傳喚了虛擬貨幣交易理由，例如：美國的律師－當事人保的人士：(i)運用區塊鏈分析(這與美國政府平台的客戶和有關的交易紀錄。至於香港密權或其他法定保密權(包括根據香港所使用的方法類似)來識別與交易有關的帳和中國大陸的經營者，它們也有可能會同法例而獲得承認的保密權)。在向美國戶；及(ii)利用公眾紀錄來連繫與該等帳戶樣面對該局要求提供相關美國納稅人紀錄政府或美國民事訴訟人提供有關的文有關的人士，並知悉他們所身處的地方。的要求。件、資料或證明以前，虛擬貨幣經營者的代表律師應當仔細評估，該等要虛擬貨幣經營者正面對美國的私香港律師應如何就美國政府所作求需要提供一些什麼作支持，以及在人訴訟的查詢要求或私人訴訟作出回應本地或美國的法例下，辯方可以適用與美國的虛擬貨幣經營者進行交易的香港香港律師以及該些正面對美國的可能執法什麼法定辯護理由和保密權。和內地公司，也可能會面對美國私人訴行動和爭議的客戶，在他們就任何相關事香港及內地的虛擬貨幣公司，正面對來自訟方(例如：蒙受損失的投資者)根據美國宜開始制定辯護策略時，應詳加考慮下列其司法管轄區及美國(當中包括：美國聯邦的證券及商品法例，或是普通法下的申索事項：機關、美國各州的監管機構、及私人訴訟 (例如：欺詐、疏忽、違反受信責任)而提 • 在原訴階段就證券和商品法例之適用提方)的雙重法律風險。有關的懲罰可以十起的訴訟。美國的訴訟人擁有廣泛的文件出質疑。美國的「商品期貨交易委員分嚴厲，當中包括強制交出其所得利潤、披露權力，並可以將它強化成為武器而給會」和「證券交易委員會」為某些目頒發禁止作出進一步行為的禁制令、撤銷對方造成嚴重傷害，迫使經營者必須回的而將虛擬貨幣歸類為「證券」及「有關的註冊或執照，以及其他特殊補救措應他們所提出的嚴苛要求，否則將要面對商品」，但它們的此舉並未獲法院的驗施，例如：接受定期審核、監控或監督安美國法院所可能作出的藐視法庭制裁，或證；亦因此，人們有權就該等委員會的排。因此，律師應當密切關注在這領域中甚至是因欠缺行動而作出的判決。近期的取態提出法律挑戰。現時有強力的論據急速變化的法律形勢(包括在美國和全球出法例賦予原告人強而有力的補救措施，例指稱，美國的「商品期貨交易委員會」現的變化)，從而得知有哪些有力的抗辯理如：撤銷有關交易；或是在某些情況下，對虛擬貨幣交易商並不擁有法定的管轄據可供其運用，以致當發生法律爭議時，判給懲罰性的損害賠償。虛擬貨幣經營者權，而根據美國法律，虛擬貨幣並不符他們能夠充分向其當事人提供適當的法律是否能夠在服務或客戶合約中，運用專門合構成「證券」的法定標準。因此，律意見。 n 將美國排除的「選擇訴訟地」或「選擇法師應該提出論據，指他們案件中的具體律」條款，而得以完全消除此等風險，這情況，從一開始便不被美國的證券及商 * 本文作者謹此向協助製作本文的高博金律師是令人值得懷疑的。品法例所涵蓋。事務所律師王楠所付出的努力表示謝意。

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INDUSTRY INSIGHTS 業界透視

CIVIL PROCEDURE master’s reasons were wrong in principle result of what they have authorised their rather than being a new hearing. solicitors to do (including involving a second solicitor for a similar task). For Solicitor and Own Client On the review before the judge, the sole their part, solicitors may have difficulty Costs objection to all 64 items was that both in rebutting the presumption (on a Hard facts can make for tough decisions. solicitors had done precisely the same solicitor and own client costs challenge) So might be said of the judge’s review of work. The challenge was based solely that “unusual” items of costs are a master’s decision on a solicitor and own on the “duplication” of work; not on the unreasonable unless they have warned client taxation in Lam & Lai (Solicitors) v amount charged or time spent (after their clients in advance that such costs Ho Chun Yau Albert, HCMP 555/2015, 5 taxation). may not be recoverable on an inter partes July 2017. As far as the judge was concerned, basis. Following a complex piece of litigation the starting point was that costs are (including appeal proceedings) presumed to be unreasonably incurred - David Smyth and Warren Ganesh, the solicitors commenced taxation where the client has not been expressly RPC proceedings for their costs, pursuant to informed that the costs might not be s. 67 of the Legal Practitioners Ordinance recoverable on an inter partes basis. 民事訴訟程序 (Cap. 159). Dissatisfied with the costs From that point, things appear to have 訟費官司 outcome before the master, the client become difficult for the solicitors. The (the respondent) applied to review the judge noted that for each item in dispute 在Lam & Lai (Solicitors) v Ho Chun Yau master’s decision. The review related to both solicitors were engaged and they Albert(HCMP 555/2015，2017年7月5 some 64 items on the solicitors’ bill of appeared to have spent the same 日)，原訟庭法官覆核聆案官關於訟費評 costs and the main ground of objection amount of time. Therefore, the judge 定的決定；可以說，法官的覆核是基於 was stated to be “duplication” of work; in considered that the duplication of costs particular, an objection that two partners was unreasonable in the absence of 客觀的事實，作出艱難的決定。 handled the same items of work without any special or unusual reason why two 經過一場複雜的訴訟(包括上訴程序)之 the client’s prior agreement. solicitors were engaged with respect to 後，事務律師根據《法律執業者條例》( the same work. As a result, the client’s The master had dismissed the client’s 第159章)第67條，展開訟費評定程序。 application for review, finding that the review of the master’s decision was 當事人(答辯人)不滿聆案官席前的訟費 duplication of work in the circumstances allowed and the amount of the disputed was not unreasonable. Significant to the bill taxed down to allow the time claimed 結果，申請由法庭覆核聆案官的決定。 master’s reasons was that four counsel for one solicitor only. 要求覆核的是事務律師訟費單上64個項 had been instructed on the client’s behalf Some lawyers may prefer the master’s 目，主要的反對理由是工作「重複」； and, therefore, it was not unreasonable reasoning and regard the judge’s decision 當事人尤其反對兩名合夥人在未經當事 for two solicitors to do the same or as being on the harsh side, given the 人同意下，處理同一項工作。 substantially the same work (such as, for complexity of the underlying litigation 聆案官駁回當事人的覆核申請，裁斷按 example, reviewing legal submissions). and the number of counsel involved. 情況做重複的工作不是不合理。聆案官 Dissatisfied with the outcome, the client However, as in most matters of costs, for applied for a review of the taxing master’s every loser there is likely to be a winner. 重要的理由是，當事人委聘了四名代表 certificate by a judge; the nature of the A take-away point is that clients should 大律師，因此，有兩名事務律師做同樣 review being to determine whether the not refuse to pay costs incurred as a 的工作或者實質上相同的工作(例如審閱

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法律陳詞)並非不合理。 CRIMINAL Decision 當事人因為不滿意案件的結果，申請由 In unanimously allowing the appeal, the HKSAR v Nguyen Anh Nga: Court cited Tang Kwok Wah v HKSAR 法官覆核訟費評定官證明書；覆核的本 When Specific Directions (2002) 5 HKCFAR 209 which states 質是裁定聆案官的理由是否原則上有 Are Necessary that it is normally unnecessary to give 錯，不是重新審訊。 the jury any special direction on how In HKSAR v Nguyen Anh Nga, FACC they are to approach circumstantial 覆核在法官席前進行，當事人反對訟費 17 of 2016 (on appeal from CACC 424 evidence. However there may be 單上全部64個項目，唯一的理由是兩 of 2012), the Court of Final Appeal exceptional circumstances in which it addressed directions that must be given 名事務律師做的工作完全一樣。他只是 may be desirable or necessary to give the by a Judge in relation to inferences, 基於工作「重複」提出質疑，不是基於 jury a special direction on the drawing holding that specific directions on (評定後)收取的金額或是耗用的時間。 of inferences by telling them that no circumstantial evidence are necessary inference is to be drawn against the where competing inferences can 對法官來說，首先考慮的是，如果事務 accused unless it is the only reasonable be drawn from that circumstantial 律師不曾明示通知當事人，訟費也許不 inference. In this case, prosecuting evidence. 可以按訴訟各方對評基準追討，訟費就 and defence Counsel had, in their 會被推定為不合理地招致。 Background final speeches invited the Jury to draw certain inferences from the Appellant’s In this case, the Appellant was convicted 由此說來，情況對事務律師來說，變得 reaction and non-reaction. In summing in the High Court before a Judge and 艱難了。法官指出，每項受爭議的項目 up, the Judge dealt at considerable Jury, of trafficking in 3.142 kilogrammes length with evidence of the Appellant’s 都是由兩名事務律師處理，他們似乎花 of “ice” and sentenced to 24 years reaction and non-reaction but made no 了一樣長的時間。因此，法官認為，如 imprisonment. The evidence was that specific reference to that evidence or 果沒有任何特別或不尋常的理由解釋為 she had been intercepted at the airport the arguments thereon in the context of 何要由兩名事務律師做同樣的工作，重 and was asked “Is it your baggage?”. any of her directions on circumstantial She began to cry and squatted down 複訟費並不合理。所以，當事人覆核聆 evidence or the drawing of inferences. next to the suitcase. She had screamed: 案官決定的上訴獲判得直，受爭議訟費 Although the Judge directed the jury “Wah!” and looked nervous, shook that they should take into account the 單的金額經評定後減少，法官准予只就 and trembled. She had then opened speeches of Counsel, the Court cited Lord 一名事務律師申索時間。 and rummaged around inside the Atkin in Lawrence v R [1933] AC 699 who suitcase before Custom & Excise officers 有些律師考慮到相關訴訟複雜難懂及涉 famously observed that “Jurors are apt stopped her and searched the suitcase to be suspicious of law as propounded 及的大律師人數，覺得聆案官的論據較 themselves. The ice was found in the by the defence; they look to the judge 為充分，認為法官的決定較為嚴苛。然 false-bottom of her suitcase. She was for authoritative statement of it”. The 而，就像大部分訟費案件一樣，每有一 expressionless when the package directions on inferential reasoning given 個輸家就很可能有一個贏家。 containing the drugs was removed from by the Judge did not include any direction the false-bottom. Under caution she specifically set in the context of the 最後一提，當事人不應拒絕支付因為 had said inter alia, “The name tag on the evidence of the Appellant’s reaction and 他們授權事務律師去做事(包括由另一 black suitcase is mine. But the articles non-reaction and the rival arguments 名事務律師做類似的工作)而招致的訟 inside are not mine”. She later also said thereon. The absence of this was fatal to that she had been duped into believing 費。對事務律師來說，他們可能難以反 the conviction. A re-trial was ordered. she was smuggling money. 駁(關於質疑事務律師及其當事人訟費的)「不尋常」項目的訟費並不合理的推定，除非他們提醒過當事人，當事人預先知道該等訟費是不可以按訴訟各方對評基準追討的。

- 施德偉及莊偉倫，RPC

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Key Take-Aways 的推論。這宗案的控方大律師和辯方大律 a HK$350,000 fine and three years’ This case illustrates why the role of the 師分別在最終發言中，要求陪審團從上訴 imprisonment; and a daily fine of Judge is essential when there may be 人的反應和沒有反應作出某些推論。原審 HK$500 if the offence is a continuing one. When the employer is a company, competing inferences that can be drawn. 法官在總結詞用了相當長的篇幅，處理關 the offence is presumed to be committed It is not sufficient for the Judge to direct 於上訴人的反應和沒有反應的證據，不過 the jury to take into account the speeches with the consent of or is attributable to 沒有因應她任何關於環境證據或推論的指 of Counsel – the Judge should direct the the neglect of an officer (ie, director or jury on the rival arguments specifically in 示，特別提述該證據或相關論點。雖然原 manager) who knew or ought to have known about the court order. That officer the context of the evidence. 審法官指示陪審團，他們應當考慮代表大 will be treated as having committed the 律師的陳詞，但終審法庭引用Atkin勳爵在 - Morley Chow Seto same offence as the company and will Lawrence v R [1933] AC 699的名言：「 be liable to the same punishment. The 刑事法陪審團傾向懷疑辯方提出供考慮的法律； presumption can be rebutted if there 他們指望法官提供具權威性的相關說明」 is sufficient evidence to raise an issue HKSAR v Nguyen Anh Nga：。原審法官有就推斷的論據給予指示，但 about the existence of the consent or the neglect of the officer, and the prosecution 甚麼時候需要特別指示？當中不包括任何特別因應與上訴人的反應 is unable to prove beyond reasonable 和沒有反應有關的證據及相關對立論點作在HKSAR v Nguyen Anh Nga(終院刑事上 doubt the contrary. 訴2016年第17號，原高院上訴法庭刑事出的指示。這對裁決產生致命的後果。終 The 2012 amendment mentioned above 審法院下令重審。上訴2012年第424號)，終審法院處理了 was one of the amendments introduced 原審法官必須就推論給予的指示，最後裁 in response to public request for more 重點精華定，若從環境證據得出對立的推論，法官 effective measures to address default 此案說明，當有可能得出對立的推論時，有必要就環境證據給予特別指示。 contributions. In the amendment process, 原審法官的角色之所以重要的原因。原審 the Legislative Council made reference 背景法官指示陪審團考慮代表大律師的陳詞並 to the changes to the Employment Ordinance (the “EO”) in 2010 which 案中上訴人被控販運3.142千克「冰」，不足夠――原審法官應當就對立的論點指 made it an offence for any employer who 在高等法院法官會同陪審團席前被裁定罪示陪審團，特別是因應證據給予指示。 fails to pay a sum awarded by the Labour 名成立，並被判監24年。案中證據是， - 麥樂賢周綽瑩司徒悅律師行 Tribunal or the Minor Employment 上訴人在機場被關員截停，有關員問她 Claims Adjudication Board, and 「這是你的行李嗎？」。她哭起來，蹲在 considered that a similar measure under the MPF regime would be appropriate. 行李旁，又「哇」的一聲尖叫，一臉緊 EMPLOYMENT LAW 張，身體顫抖，其後打開行李箱，東翻西 In a recent case, the Mandatory Provident Fund Schemes Authority had brought 找，直到關員叫停她。關員之後自己搜查 First Company Director civil claims against the employing 行李箱。涉案的冰是在她行李箱底層暗格 Sentenced to Imprisonment after Defaulting on MPF company to recover outstanding MPF 找到的。當內藏毒品的包裹從暗格取出的 contributions and surcharges of about 時候，她木無表情。在警誡下，她表示(其 Contributions HK$380,000 from 2015 and 2016 (the 中包括)「黑色行李箱的名牌是我的。不過 Under the Mandatory Provident Fund “Outstanding Sum”). Although partial payment was subsequently made, a 裡面的東西不是我的」。她其後亦表示自 Schemes Ordinance (the “MPFSO”), any employer who, without reasonable large part of the Outstanding Sum 己被哄騙，相信自己當時是走私現鈔。 excuse, fails to make a timely payment remained unpaid when the employing company pleaded guilty in June 2017. The 決定 of mandatory contributions commits an offence and is subject to a maximum defendant, being the company’s director, 上訴人獲一致裁定上訴得直，終審法庭援 penalty of a HK$450,000 fine and four was sentenced to 21 days’ imprisonment 引Tang Kwok Wah v HKSAR (2002) 5 years’ imprisonment. for failing to comply with the court order to pay the Outstanding Sum. HKCFAR 209，指出通常來說，法官無必 In 2012, the MPFSO was amended to 要就陪審團處理環境證據的方法，給陪審 make it an offence for any employer Although convictions for defaulting on 團任何特別的指示。不過也可以有例外的 who fails, without a reasonable excuse, MPF contributions and breaching the MPFSO are not new, this is the first case 情況；這些情況適宜或有必要就推論給予 to comply with a court order to pay outstanding MPF contributions and in which a company director has been 陪審團特別指示，告訴他們，不要作出對 surcharges. Convicted employers sentenced to imprisonment. 被控人不利的推論，除非那是個唯一合理 are liable to a maximum penalty of The offence is not a strict liability offence.

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An employer may avoid incurring 僱傭法命令的原因，就可避免招致法律責任。現 liability if it can establish a “reasonable 在沒有關於甚麼可以構成「合理辯解」的 excuse” for its failure to comply with 首名拖欠強積金供款被判監的硬性規定，因為何謂「合理辯解」很視乎 the court order. There is no hard and 公司董事案情而定。不過，以下列舉幾個僱主或其 fast rule as to what may amount to a 人員可以用作抗辯的例子。 “reasonable excuse” since this is largely 根據《強制性公積金計劃條例》(「《強積 facts sensitive. That said, below are some 金條例》」)，任何僱主無合理辯解而沒有 • 僱主由於陷入困境而拖欠供款，但能 examples of the potential defences which 適時支付強制性供款，即屬犯罪，最高可夠證明自己正在合理並認真地盡力挽 may be available to an employer or its 被處罰款450,000港元及監禁四年。救公司，那麼，法庭在決定僱主是否 officers. 《強積金條例》2012年經修訂後，任何有抗辯理由的時候，就有可能考慮僱 • If the default occurs due to the 僱主無合理辯解而沒有遵守法庭命令，不主盡過的努力。 employer falling on hard times, and it can be shown that the employer is 支付尚欠的強積金供款及附加費，即屬 • 僱主能夠證明自己有一套有效的管理 making reasonable and honest efforts 犯罪。一經定罪，最高可處罰款350,000 系統，定期檢視人力資源，而拖欠 to salvage the business, such efforts 港元及監禁三年；如該罪行屬持續違犯的供款是行政疏忽造成的「一次性」錯 may be taken into consideration by 罪行，另每日罰款500港元。如僱主是公誤，亦可能有助僱主脫罪。 the Court in deciding whether the 司，而公司某人員(董事或經理)知道或應 • 有證據證明有人員已經做了他∕ 她 employer has a defence. 該知道法庭已就罪行作出命令，須推定該能夠做的，以求避免或補救遭違反之 • If an employer can prove that it has a 罪行是在該人員的同意下犯的，或可歸因事，例如指示在公司帳戶撥出預算費 sound and regularly reviewed human 於該人員的疏忽。該人員會被視為觸犯 resources management system, and 支付逾期供款及附加費，或指示其他 the default is a “one off” mistake 同一罪行，被判處同一懲罰。有兩種情況僱員記錄並遵行任何針對公司作出的 caused by an administrative oversight, 可以推翻推定：一、有足夠證據帶出有關法庭命令，或取得合用的法律意見， that may also help exculpate the 該人員有表示同意或疏忽的爭論點；二、這樣，該人員就有可能不因為公司違 employer. 控方沒有提出足以排除合理疑點的相反證法而招致個人法律責任。 • If it can be shown that an officer has 明。 done what he/she can to avoid or - Duncan Abate合夥人及謝昭鴻合夥上文提到的2012年修訂是回應公眾要求 remedy the breach (eg, by directing 人，孖士打律師行 that a budget be made in the 的修訂之一，以更有效辦法應付拖欠供 company’s accounts for paying the 款的情況。《僱傭條例》2010年經修訂 overdue contributions and surcharges 後，訂明任何僱主沒有支付勞資審裁處或 GC AGENDA or instructing other employees to keep 小額薪酬索償仲裁處判給的款額，即屬犯 Mainland and Hong Kong track of and comply with any court 罪；立法會在修訂《強積金條例》的過程 orders made against the company or Sign CEPA Investment 中，參考了這項修訂，認為強積金制度適 to obtain appropriate legal advice), Agreement and Ecotech then the officer may not attract 宜加入類似條文。 Agreement personal liability in respect of the 在一宗最近的案件中，強制性公積金計 company’s breach. On 28 June 2017, representatives 劃管理局針對一間公司(僱主)提出民事索 of MOFCOM and the Hong Kong - Duncan Abate, Partner, and Hong 償，追討公司未繳清的2015至2016年度 government signed two new agreements Tran, Partner, Mayer Brown JSM 強積金供款及附加費，合共380,000港 under the Mainland and Hong 元左右(「欠繳款額」)。雖然該公司其後 Kong Closer Economic Partnership Arrangement (“CEPA”): 支付了部分款額，但在2017年6月認罪之時，欠繳款額尚餘大筆款項未有支付。被 • Investment Agreement. 告人，即公司董事，因為沒有遵行支付欠 • Agreement on Economic and Technology Cooperation (“Ecotech 繳款額的法庭命令，被判處監禁21天。 Agreement“). 雖然已不是第一次有僱主因為拖欠強積金 Both agreements took effect upon 供款，違反《強積金條例》而被定罪，但 signing, though the Investment 這是第一宗有公司董事被判監禁的案件。 Agreement will be officially implemented from 1 January 2018. 這罪行不是嚴格法律責任罪行。僱主只要 The agreements are aimed at expanding 確立「合理辯解」，解釋得到不遵行法庭 market liberalisation and facilitating

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trade and investment between the qualified presence in Hong Kong, counsel • 系統化泛珠三角區域、內地自由貿易 Mainland and Hong Kong. may wish to consider taking advantage of 試驗區，以及(深圳)前海、(廣州)南 an opportunity by acquiring an existing The Investment Agreement is the first 沙、(珠海)橫琴的次區域合作。 CEPA-qualified entity. investment agreement adopted by 後話 the Mainland with pre-establishment - Practical Law China national treatment commitments made 公司法律顧問，凡服務的公司對投資於或 through the negative list approach to 法律顧問備忘錄擴展至投資協議所涵蓋的非服務行業感興 regulating foreign investment. 趣的，會想仔細查看協議，找出協議提供 The Investment Agreement: 內地與香港簽署《CEPA投資的特有機會。要是客戶不具備在香港營商 • Covers investments in non-services 協議》和《CEPA經濟技術合的必要條件，法律顧問也許想到，要把握 sectors (including manufacturing, 作協議》商機，就得考慮收購現存符合CEPA規定 mining and investment in assets) 的機構。 2017年6月28日，中國商務部代表與香港 which are outside the scope of the Agreement on Trade in Services that 政府代表簽署兩份新協議： - Practical Law China was already effective from June 2016. • 《CEPA投資協議》。 • Commits the Mainland to provide • 《CEPA經濟技術合作協議》。 national treatment to Hong Kong GC AGENDA investments and investors on par 兩份協議是在《內地與香港關於建立更 with the Mainland investments and 緊密經貿關係的安排》(「CEPA」)的框 MIIT Issues Revised investors, except for the 26 special 架下簽署的，自簽署之日起生效，其中 Telecoms Licensing measures listed in the agreement. 《CEPA投資協議》將於2018年1月1日起 Measures • Commits each side to provide non- 正式實施。 On 13 July 2017, the Ministry for discriminatory treatment in relation Industry and Information Technology to matters such as restrictions 簽署協議的目的是擴大市場自由化，便利 (“MIIT”) issued the Measures on the on expropriation of investments, 中港兩地貿易和投資。 Administration of Telecommunications compensation for losses, and transfer Business Operating Licences, which took abroad of investments and returns. 負面清單的作用是規限外商投資， effect 1 September 2017, replacing the The Ecotech Agreement: 《CEPA投資協議》是內地首份採用准入 old measures of the same name issued 前國民待遇加負面清單模式的投資協議。 • Strengthens previous CEPA economic in 2009. and technical commitments in various 《CEPA投資協議》： The new measures bring China’s sectors. • 涵蓋在《服務貿易協議》範圍以外的 telecommunications licensing regime • Provides a basis for co-operation 非服務業(包括製造業、礦業和資產投 into conformity with recent changes to in relation to the Belt and Road the rules governing the establishment, 資)的投資；《服務貿易協議》於2016 Initiative. administration and supervision of 年6月已經生效。 • Updates the co-operation activities companies. of the two sides in various sectors, • 訂明內地承諾，除協議特別列明的26 The measures include (among others) the including finance, dispute resolution, 項不符措施以外，給予香港投資和投 following changes: technology, e-commerce, intellectual 資者享有與內地投資和投資者相若的 property and product quality. • The MIIT will establish an online 國民待遇。 • Systematises sub-regional co- telecoms business administration operation in relation to the Pan-Pearl • 訂明各方承諾，在限制投資被徵收、 platform to support the online River Delta region, the Mainland’s 賠償損失、投資和回報轉移至外地等 telecoms licence application, approval pilot free trade zones, and the districts 事宜上，提供非歧視性待遇。 and administration, as well as of Qianhai (in Shenzhen), Nansha (in information publication and enquiry. 《CEPA經濟技術合作協議》： Guangzhou) and Hengqin (in Zhuhai). • Telecoms operators are required to Action Items •化強 CEPA以往在多個領域有關經濟及 identify their network and information 技術的承諾。 security management entities and General Counsel for any company personnel, establish systems for areas interested in investing or expanding in • 給「一帶一路」提供合作基礎。 including network and information any of the non-services sectors covered • 更新雙方在多個領域的合作內容，包 security, illegal information by the investment agreement will want to 括金融、爭議解決、技術、電子商 monitoring and disposal, new closely examine the agreement to identify specific opportunities. If the client lacks a 務、知識產權、產品質素。 business security assessment, network security monitoring and early warning,

54 www.hk-lawyer.org September 2017 • INDUSTRY INSIGHTS 業界透視

emergency response and user 法律顧問備忘錄 information security protection, and have appropriate technical support 工信部公布經修訂的電信業務 measures. 經營許可管理辦法 • The competent MIIT office will 2017年7月13日，工業和信息化部(「工 establish random sampling mechanisms on selected telecoms 信部」)公布《電信業務經營許可管理辦 operators’ annual reports, business 法》(「《辦法》」)，2017年9月1日起施 operations and compliance with 行，取代2009年公布的同名舊辦法。 relevant telecoms regulations. It 新公布的《辦法》使中國的電信業務 will also compile, regularly update, 經營許可制度，符合用作規管公司的 and make public two blacklists (that 設立、管理及監督並最近被修訂過的 is, a telecoms business operation 規定。 abnormal list and telecoms business operation dishonest list). 《辦法》包括以下三項新規定：的限制。」 The measures also impose penalties • 工信部建立電信業務網上管理平台， for various specific infractions of the 推進經營許可證的網上申請、審批和後話 measures ranging from official warnings 管理及相關信息公示和查詢。 to fines, revocation of telecoms licence 公司法律顧問，凡為在中國法律下被視為 and criminal penalties. • 電信業務經營者必須明確其網絡與信電信業經營者的公司工作的，會想比較一息安全管理機構和人員，建立網絡與下新舊辦法，並希望與商務同事及外部顧 Market Reaction 信息安全保障、違法信息監測處置、問一起找出對公司的業務運作、擴展計 Jeanette Chan, Partner, Paul, Weiss, 劃、合規機制有影響的修訂。 Rifkind, Wharton & Garrison, Hong 新業務安全評估、網絡安全監測預 Kong 警、突發事件應急處置、用戶信息安 - Practical Law China “The new measures follow the 全保護等制度，並具備相應的技術保 government’s policy of reducing red 障措施。 tape, most notably by removing the • 工信部主管部門建立隨機抽查機制， PRC capital verification requirement and the 對電信業務經營者的年報信息、日常 requirement that telecoms operators China Establishes Cyberspace carry out record-filing at the local level 經營活動、執行電信業務規定的情況 Court in Hangzhou after obtaining a licence. The measures 等進行檢查，並且編列、定期更新， also facilitate market entry by permitting 並向社會公示兩份黑名單(分別是電信 As part of its legal reform, the Central Chinese government approved the a licensed operator to authorise an 業務經營不良名單及電信業務經營失 establishment of the first cyberspace indirectly majority-held affiliate to 信名單)。 court in China on 26 June 2017. operate a licensed telecoms service and by eliminating restrictions on telecoms 《辦法》亦就多種違反辦法的具體情況施 The Cyberspace Court was established operators to authorise more than one 加處罰，包括給予警告、罰款、撤銷電信 in Hangzhou, the capital of China’s affiliate to provide the same licensed 業務經營許可證、刑事處罰。 Zhejiang province and home to many telecoms service in the same region.” technology companies, to cater to the 市場回應 increasing number of internet-related Action Items 陳劍音合夥人，寶維斯律師事務所香港 disputes. Two key features of this newly established Cyberspace Court distinguish General Counsel for any company 辦事處 regarded as a telecommunications it from other courts: operator under Chinese law will want 「《辦法》是在政府減省繁瑣手續的政策 1. cases are tried online; and to compare the new measures with the 出台之後公布，其中最突出的是取消了 2. the court only hears internet-related old measures and work with business 核資規定，以及電信業務經營者須在取得 disputes. colleagues and external advisors to 經營許可後向地方部門提交文件存檔的規 Background identify those changes that affect 定。《辦法》亦批准已獲許可的經營者授 the company’s business operations The set up of the Cyberspace Court 權其間接持有一半以上股份的聯繫公司， and expansion plans, as well as its follows a successful pilot which started compliance mechanisms. 經營已領許可證的電信服務，並消除關於 in April 2015, when Zhejiang Higher 電信業務經營者在同一地區授權一家以上 People’s Court confirmed three district - Practical Law China 聯繫公司提供同一項已領許可證電信服務 courts in Hangzhou – Xihu, Binjiang and Yuhang, as the pilot courts to go online

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to hear e-commerce cases. In August of communication through information network of a copyright work. Excluded 2015, the “E-commerce Online Court of are disputes that include other non-copyright related claims in addition to the Zhejiang Court” officially went online, infringement of right of communication through information network of a copyright where parties can file complaints via the work, for example, unfair competition. internet after registration and real name Cases are handled by the Cyberspace Court online whereby plaintiffs file complaints authentication. The Cyberspace Court through the internet and evidence and case materials are submitted online by the has accepted about 1,500 complaints litigants. Parties to the dispute may appear at hearings via video link and the case since its inception. verdict will be delivered online. The procedures for initiating a lawsuit with the Jurisdiction of the Cyberspace Court Cyberspace Court are set out below. The jurisdiction of the Cyberspace For the plaintiff: Court is limited to Hangzhou, and to civil disputes involving online shopping, Initiate lawsuit Compulsory File case mediation online debt contracts and online copyright. Generally, the jurisdiction of • Registration • After the complaint • If mediation fails, the court is issue specific and governed and real name is filed, the parties the complaint authentication. Involved are shall be formally by the PRC Civil Procedures Law, • Complete required to go submitted to although the extent of its applicability to complaint form. through mediation. the case-filing the Cyberspace Court is still unclear. chamber. • After authorisation • Within 15 days, The Cyberspace Court has jurisdiction to by the user, the the mediator will • Litigation fee to be contact the parties paid online. hear the following types of cases: system will retrieve the relevant online, or through • Online shopping contract disputes: e-commerce into, the telephone or video for disputes arising from the signing or (eg, transaction mediation. performance of a contract where a logistics, loans, IP rights, etc). seller has made a sale offer online and a buyer has accepted the purchase For the defendant: commitment. Relate to the Mediation Complete response • Online shopping product liability lawsuit information disputes: disputes arising from personal injury or property damage • Receipt of • After the plaintiff • If mediation fails, electronic has filed the and the case is caused by defective products bought notification. complaint, the formally filed online, and the buyer is seeking tort • Login to view case parties involved with the court, liability from the product seller or details. are required to go the defendant manufacturer. through mediation. will be informed immediately. • Online service contract disputes: • Within 15 days, the mediator will • Complete standard disputes arising from the signing contact the parties response form. or performance of a contract where online, or through • The response internet service providers provide the telephone or will be served consumers with access to third party video for mediation. electronically. services or content services. Disputes relating to the provision of general Based on the information provided on the Cyberspace Court’s website, its decisions are online services by non-internet service subject to the review of the intermediate courts. providers are excluded. Paving the way for more Cyberspace Courts • Online loan contract disputes: On 19 July 2017, in collaboration with Chinese telecom company Sina Corporation, disputes arising from repayment of the Xishan District Court of Kunming established the first cyberspace court in Xishan, loans and interests of financial loan contracts or small loan contracts Yunnan province – the Online Court of Xishan District. Core functions of the online formed online with financial or small court include online mediation, online filing, online payment, online trial, online loan institutions. Disputes arising cross-examination, electronic supervision, electronic services, live broadcast of court from repayment of loans and interests proceedings and voice recognition. It enables online dispute resolution and provides of loan contracts not entered into with litigants with more efficient, convenient and diversified services. financial or small loan institutions are Implications for Lawyers excluded. The establishment of the Cyberspace Court is a milestone for China in this digital era • Online copyright disputes: disputes and this recent development is another testing ground, demonstrating China’s genuine relating to the infringement of right sincerity towards reform. With the internet successfully transforming business models,

56 www.hk-lawyer.org September 2017 • INDUSTRY INSIGHTS 業界透視

consumer spending and information 購買產品，產品缺陷造成身體受傷或財物損毀，買家要求產品賣家或製造商承擔侵權 sharing over the past two decades, the 責任時產生的糾紛。. legal industry has had gradual, less • 互聯網服務合約糾紛：互聯網服務提供者向消費者提供服務，使其可以得到第三方服 significant impact. This may change in 務或內容服務，在簽署或履行合約時產生的糾紛。涉及非互聯網服務提供者提供一般 the not-too-distant future and lawyers 網上服務的糾紛，不在此列。 will need to embrace and adapt to the digital landscape when handling • 互聯網借款合約糾紛：網上與金融機構或小額貸款機構訂立金融貸款合約或小額貸款 litigation in China. 合約，在償還合約貸款及利息時產生的糾紛。不是與金融機構或小額貸款機構訂立的貸款合約，在償還合約貸款及利息時產生的糾紛，不在此列。 - Andrew Sim, Partner, Baker McKenzie • 互聯網著作權糾紛：涉及透過著作權作品資訊網絡侵犯傳播權的糾紛。除透過著作權中國內地作品資訊網絡侵犯傳播權之外，也包括非著作權申索的糾紛，例如不公平競爭，不在此列。中國杭州設立互聯網法院互聯網法院在互聯網辦案，原告透過互聯網提交起訴狀，訴訟人網上提呈證據及涉案資中央政府2017年6月26日批准設立中國首料。兩方當事人可通過視頻連接方式出席審訊，裁決在網上頒布。下圖簡述在互聯網法家互聯網法院。互聯網法院的設立是中國院發起訴訟的程序。法律改革的一部分。原告：互聯網法院設於杭州，杭州是中國浙江省發起訴訟強制調解立案省會，也是許多科技公司的發源地。設立互聯網法院的目的，是應付數目日增的涉 •註冊並實名認證 •提交起訴狀後，兩 •如果調解不成功， •填寫起訴狀方當事人必須進行法院正式立案，並網糾紛。這家新設立的互聯網法院有兩個訴訟前調解即時通知被告應訊 •經授權後，系統會明顯與其他法院不一樣的特色：檢索涉案的電子商 •15天內，調解員 • 網上繳交訴訟費聯絡當事人，通過 1. 在線審理案件；及務、交易、物流、貸款、知識產權等在線、電話或視頻 2. 法院只審理涉網糾紛。訊息調解背景 2015年4月，浙江省高級人民法院確定被告：由杭州三家基層法院――西湖、濱江、餘關聯案件調解填寫應訴資料杭，作為試點法院，網上審理電子商務案 •收到電子送達訊息 •提交起訴狀後，兩 •調解不成功，起訴件。試點計劃圓滿結束之後，互聯網法院 • 登入查看案件詳情方當事人必須進行狀正式提交法院立獲准成立。2015年8月，「浙江法院電子訴訟前調解案庭商務網上法庭」正式上線，訴訟雙方在註 •15天內，調解員 •按格式填寫應訊聯絡當事人，通過訊息冊並實名認證後，可以透過互聯網提交起在線、電話或視頻 • 電子送達應訊訊息訴狀。互聯網法院自成立以來，接過大約調解 1,500份起訴狀。根據互聯網法院網站提供的資料，中級人民法院有權覆核互聯網法院的決定。互聯網法院的司法管轄權為成立更多互聯網法院鋪路互聯網法院的司法管轄權只限在杭州行使，並且只管轄涉及互聯網購物、互聯網 2017年7月19日，昆明西山區人民法院與中資電訊公司新浪合作，在雲南西山設立首間借款合約及互聯網著作權的民事糾紛。一互聯網法院――西山區在線法院。網上法院的核心功能包括，在線調解、在線存檔、在般而言，法院的司法管轄權取決於具體線付款、在線審訊、在線盤問、電子監督、電子服務、直播法院訴訟程序、聲音辨認。爭議，並受到《中國人民共和國民事訴訟有了網上法院，糾紛可以在網上解決，也給訴訟人提供更有效率、更方便、更多元化的法》的規限，不過，此法在互聯網法院的服務。應用範圍至今仍未清楚。對律師的影響互聯網法院有司法管轄權審理下列案件種互聯網法院的設立是中國數碼年代的里程碑，上述最新發展是另一場考驗，顯示中國真類：心推行改革。隨着互聯網過去20年成功改變業務模式、消費行為及資訊分享，法律行業 • 互聯網購物合約糾紛：賣家網上作出的影響力早已逐步呈現，只是較不明顯而已。這情況在不久的將來可能改變，在國內處銷售要約，買家接受購物承諾，兩方理訴訟的律師，需要接受和適應數碼世界。簽署或履行合約時產生的糾紛。 - 沈淵明合夥人，貝克‧麥堅時律師事務所 • 互聯網購物產品責任侵權糾紛：網上

www.hk-lawyer.org 57 • September 2017

PROFESSIONS “Millennials” entering the legal 格，香港仍然是開放的市場。 profession (or other professions) will 雖然薪俸稅率較低，但香港一般家庭要省 “Reflections of My Life” find it very different to those who went before them. In some respects, it will 吃儉用只可以是空談。究其原因，樓價、 This 1969 hit song by pop rock band “The be harder. They need to engage. The 租金、學費，已解釋得七七八八了。 Marmalade” (from Scotland, as am I) role of the Young Solicitors’ Group and causes some reflection, as my family and I 今天的法律界與(譬如說)1997年之前的亦 the “YSG CONNECTED” programme prepare to return to life in London. 大有分別。越來越多香港人北望神州，進 (and “mentors”) has never been more The song is about (among other things) important. 軍珠江三角洲以至東盟市場經商、發展、 reflection and change. Given my family’s 革新；接著有「一帶一路」。 Dual-qualification as a lawyer is worth pending voyage home, it seems a good having and striving for. It stays with you. I 改變陸續有來。例如，律師法團及其他另 time to reflect on my time in the legal intend to keep my Hong Kong practising profession here and to pass something 類的業務結構。本地市場難免要重新整 certificate. As my family and I ready to on. 合。有些因為不適應而不能生存。 depart from Hong Kong and arrive in A decision by a foreign lawyer to qualify in London, some of the lines from the song 未來大約五年時間裡，各行各業會在資訊 Hong Kong should not be made lightly. stay with me: 科技的支配下，經歷另一場巨變。上班生 The OLQE (Overseas Lawyers “The greetings of people in trouble… 活會變成另一個模樣。 Qualification Examination) is a real test … Take me back to my own home…” 我在香港住了數年，在這數年裡，香港社 of industry and nerve. The process of 會經濟亦一直明顯的變。變得更多的可能 admission is not easy. It may not get any - Michael Allan, Solicitor (E&W and 是專門行業，社會經濟的變反映在專門行 easier. Hong Kong), RPC 業之中。 That said, Hong Kong remains an open market for those willing to commit and 專業導論投身法律專業(或其他專業)的「千禧一 who put in the effort. By comparison, as 代」會發現，行業起了很大變化，他們要 a foreign lawyer, try qualifying locally in Reflections of My Life 面對的與前輩當年所面對的並不一樣。某 (for example) Singapore, Seoul, Tokyo, 此刻，我準備舉家返回倫敦定居之時，這 Beijing, Dubai or Mumbai. 些方面會更為艱難。他們需要投入。年青首流行搖滾樂隊The Marmalade(和我一律師組及「法友聯盟」計劃(及「良師」) Despite a lower salaries tax rate, costs 樣，都是來自蘇格蘭的)1969年的名曲，發揮的作用，從來未試過像現在這麼的重 savings for an average family in Hong 勾起我的一點想法。 Kong are often illusory. This is largely 要。 explained by property and rent prices and 這首歌寫的是生命的反思和改變，還雙重資格是值得擁有的，也是律師值得努 school fees. 有……。快與家人起程回家了，看來，我力爭取的。它是你回憶的一部分。我打算 The legal profession is also very different 現在是時候反思自己在香港法律界的日把自己的香港執業證書收藏起來。和家人 now to what it was (for example) pre- 子，寫上幾句臨別贈言。臨別在即，我在回憶中輕哼著幾句歌詞： 1997. Increasingly, Hong Kong looks to China, the Pearl River Delta and the 海外律師不應該輕率決定在香港取得執業 The greetings of people in trouble… ASEAN markets for business, growth and 資格。 … Take me back to my own home… innovation; and then there is the “Belt & 海外律師資格考試是一場真正的考驗，考 Road”. (處於困境的人送來了問候……，的是行業知識和意志力。認許過程並不容 ……帶我返回我自己的老家……) More change is coming. For example, 易，也不可能變得更為容易。 solicitor incorporations and other - Michael Allan律師(英格蘭和威爾士、 alternative business structures. There will 不過，對於願付出肯努力的人來說，相對香港)，RPC inevitably be consolidation in the local 於以海外律師身分在(譬如說)新加坡、首 market. Some who do not adapt may not 爾、東京、北京、杜拜、孟買努力考取資 survive. IT will dictate further huge changes in all business sectors over the next five or so years. Office life will become very different. In my few years in Hong Kong there have also been significant social and economic changes. These are likely to increase and be reflected in the professions.

58 www.hk-lawyer.org September 2017 • INDUSTRY INSIGHTS 業界透視

REGULATORY establishing a “FinTech Facilitation Office” 大可能的相互協助」。 in March 2016 to “facilitate the healthy SFC Signs Cooperation development of the fintech ecosystem in 1. 轉介機制 Agreements on FinTech with Hong Kong and to promote Hong Kong 兩份協議讓監管機構能夠互相轉介有意在 as a fintech hub in Asia”. In December UK’s FCA and Australia’s ASIC 其他司法管轄區經營業務的創意公司。監 2016, the HKMA apparently stole a march 管機構收到轉介之後，會協助公司了解監 on the SFC by entering into its own The Securities and Futures Commission 管制度，明白制度在哪方面與公司有關。 (“SFC”) signed its first Co-operation Co-operation Agreement with the FCA Agreement with the UK’s Financial to “foster collaboration … in promoting 2.分享資訊 financial innovation”. Conduct Authority (“FCA”) in May this 兩份協議亦提供監管機構用作分享資訊的 year, followed by another similar Co- Perhaps more than any other sector, the 框架。監管機構會分享各自市場金融服務 operation Agreement with the Australian FinTech industry requires a regulatory 的創新，例如就金融科技的最新趨勢、發 Securities and Investments Commission environment which will not stifle 展和相關監管事宜，以及就兩地致力推動 (“ASIC”) in June. innovation and development. The reality 金融服務創新的機構，互通資訊。 Although the cooperation agreements is that many FinTech businesses are are not legally binding, they set forth a willing and able to shop around for a 3.具潛力的聯合創新項目 favourable regulatory regime in which statement of intent for the regulators 兩份協議亦表明雙方有意探索聯合創新項 in different places to provide “the fullest to operate. Concerns have previously 目，特別是具有跨境應用潛力的項目。 possible mutual assistance to one another” been raised that Hong Kong’s regulatory in the following three aspects. regime has been too conservative to 促進創新 attract technology entrepreneurs and 1. Referral Mechanism allow the healthy development of the 合作協議簽訂之前不久，香港監管機構紛 The agreements enable the regulators to FinTech industry. 紛進行與金融科技有關的活動。例如，證監會2016年3月成立「金融科技聯絡辦事 refer to each other innovative businesses These latest international cooperation which intend to operate in the other’s agreements represent a recognition on 處」，「加強與在香港從事金融科技發展 jurisdiction. The regulator receiving those the part of Hong Kong’s regulators that, 和應用的公司和人士的溝通」。金管局亦 referrals will then assist the businesses if Hong Kong is to realise its potential 不遑多讓，最矚目的是2016年3月成立「 in understanding the regulatory regime as Asia’s FinTech hub, they will need to 金融科技促進辦公室」，「促進香港金融 and how such regime may be relevant to work closely with overseas regulators 科技業的穩健發展，並推動香港成為亞洲 them. such as the UK’s FCA (which regulates 區的金融科技樞紐」。2016年12月，金 a jurisdiction widely regarded as one of 2. Information Sharing 管局更明顯搶先證監會一步，與FCA訂立 the most “FinTech-friendly” in the world). The agreements also provide a framework Those involved in Hong Kong’s FinTech 《合作協議》，「促進……合作推動金融 for sharing information among regulators. industry should see these developments 創新」。 The regulators will share information as an encouraging sign. 金融科技業需要不會扼殺業界創新和發展 about innovations in financial services in their respective markets, such as news on - Ben Yates and Rico Chan, RPC 的監管環境，這個需要可能比任何其他行 emerging FinTech trends, developments 業的還要大。事實上，有很多金融科技公 and related regulatory issues as well 監管司願意，也有能力，四處揀選有利經商的 as information on organisations which 制度。早前有人關注到，香港的監管制度 promote innovation in financial services. 證監會分別與英國FCA和澳洲一直太過保守，對科技企業欠缺吸引力， 3. Potential Joint Innovation Projects ASIC簽訂金融科技合作協議窒礙金融科技業穩健發展。 The agreements also signal a shared 今年五月，證券及期貨事務監察委員會從這些最近簽訂的國際合作協議可見，香港的監管機構認識到，香港如果要將自己 intent to explore joint innovation projects, (「證監會」)與英國金融市場行為監管 especially those with potential for cross- 成為亞洲金融科技樞紐的潛質實現，就需局(「FCA」)簽訂證監會的首份《合作協 border applicability. 要與英國FCA(廣泛監管司法管轄區的機議》，隨後在六月與澳洲證券及投資事務構，被視為全球最「金融科技友好」的監 Fostering Innovation 監察委員會(「ASIC」)簽訂另一份內容相管機構之一)等海外監管機構建立緊密的合 The cooperation agreements follow 若的《合作協議》。 a flurry of recent activity in relation 作關係。與香港金融科技業有關的公司， to FinTech on the part of Hong 合作協議雖然不具有法律約束力，但闡應當把這些看作為具有鼓舞作用的發展。 Kong’s regulators. For example, the 明不同地方監管機構適用的意向聲明 SFC established a “Fintech Contact 書，務求在以下三個方面「彼此提供最 - 叶子彬及Rico Chan，RPC Point” in March 2016 to “enhance communication with businesses involved Feel free to write in to us with more short contributions on latest industry developments and trends. Simply contact the editor at: [email protected] in the development and application of 本刊歡迎各位提交短篇文章，廣大讀者分享業界的最新發展和動態。請與本刊編輯聯絡。 [FinTech] in Hong Kong”. The HKMA 電郵：[email protected] has also taken action, most notably in The information provided here is intended to give general information only. It is not a complete statement of the law. It is not intended to be relied upon or to be a substitute for legal advice in relation to particular circumstances. 本欄所提供的資訊僅屬一般資訊，並不構成相關法律的完整陳述，亦不應被依賴為任何個案中的法律意見或被視作取代法律意見。 www.hk-lawyer.org 59 • September 2017 CASES IN BRIEF 案例撮要

CIVIL PROCEDURE that all documents produced in the directions on expert evidence had to proceedings must only be used in be made within 12 weeks of the date Competition Commission v Nutanix connection therewith, leaving the of the Lists. Hong Kong Ltd [2017] HKEC 1203 collateral use of the documents • Any application for the issue of a subject to the parties’ consent or the Competition Tribunal witness summons under r. 36 of direction of the Tribunal. the Competition Tribunal Rules Competition Tribunal Enforcement • As for discovery, by agreement, the (Cap. 169D, Sub. Leg.) (the “Rules”) Action No. 1 of 2017 Commission would disclose both was to be made on or before 4 Godfrey Lam J, President, in Chambers used and unused materials and December 2017 (ie, about two 12 June 2017 provide an affidavit to verify its lists of weeks after the exchange of witness documents (the “Lists”). A deadline statements). Case management – proceedings of 12 weeks from the date of the Lists • By consensus, the next CMC was fixed in Competition Tribunal – first was imposed for any application for for 13 December 2017. Given the case case management conference – discovery from third parties. primarily concerned events over 11 necessary directions to enable • Concerning applications to strike out days in July 2016 relating to a single matter to proceed to substantive any part of the originating notice of tender, the period of 1 May to 30 June hearing fairly, expeditiously and application (“ONA”) or to determine 2017 was targeted as the range of economically the admissibility of statements under dates for the substantive hearing of s. 45 of the Competition Ordinance the application, with the parties to Competition Tribunal Practice Direction (Cap. 619) (the “Ordinance”) (on confer and propose the actual trial No. 1 provides that the object of the first the issue of self-incrimination), dates within one week. case management conference (“CMC”) in since R2 had earlier issued such an • Regarding R3’s summons for an proceedings in the Competition Tribunal application by summons which was extension of time to file its response (the “Tribunal”) was to identify the fixed to be heard on 18 September to the ONA under r. 75 of the Rules, necessary directions to enable the matter 2017, it was directed that any such all the documents mentioned in the to proceed to a substantive hearing fairly, further application should be made ONA had already been provided to it. expeditiously and economically. At the at least 28 days before that date. Other Rs had filed or would file their first CMC in such proceedings brought If other Rs wished the Tribunal to responses by today. R3’s position by the Competition Commission (the consider hearing their applications was not so radically different that “Commission”) against R1–5, which and evidence at the same time as it required fundamentally different was heard on 26 May 2017, the parties R2’s summons, they might need to treatment and a deferment of sought, inter alia, an order sanctioning a apply substantially earlier than that filing its response. However, as the proposed confidentiality protocol whereby deadline. Commission had no objection, a final a “confidentiality ring” of nominated • As no party would definitely rely on extension of 14 days was granted. persons would undertake to use specified expert evidence, any application for documents without redaction only for the purpose of the proceedings and not to disclose them to anyone outside the ring; and if everyone else was to be given documents, only copies with confidential information redacted would be provided. Held, that: • Regarding the parties’ proposed confidentiality protocol, the order (and corresponding undertaking) should offer wide protection by directing

60 www.hk-lawyer.org September 2017 • CASES IN BRIEF 案例撮要

民事訴訟程序例》(第619章)(「《條例》」)第45條 CIVIL PROCEDURE CASES IN BRIEF (關於導致自己入罪)要求法庭裁定陳 Competition Commission v Nutanix 述的可接納性的申請，由於第二答辯 Designing Hong Kong Ltd v Town Hong Kong Ltd [2017] HKEC 1203 人較早前藉傳票提出申請，並且已預 Planning Board (No. 2) 競爭事務審裁處訂在2017年9月18日進行聆訊，法官 [2017] HKEC 1162 案例撮要競爭事務審裁處的執行訴訟案件2017年指示，任何另外提出的申請應當在該 Court of Appeal 第1號日期至少28天前提出。其他答辯人如 Civil Appeal No. 184 of 2015 Cheung CJHC, Lam V-P, Poon JA 主任法官林雲浩內庭聆訊果希望審裁處考慮在聆訊第二答辯人 7 June 2017 2017年6月12日的傳票之時，同時聆訊其申請，可能需要在最後期限之前一早提出申請。 Costs – public interest litigation 案件管理 — 競爭事務審裁處的法 • 沒有一方一定會依賴專家證據，法官 – unsuccessful appeal against 律程序 — 首次案件管理會議 — 為指示，任何就專家證據申請指示的， dismissal of application for 使案中事宜可公平、儘快和經濟必須在該清單日期起計12個星期內提 protective costs order – whether 地進入實質聆訊而需要作出的指 no order as to costs of application 出申請。示 below appropriate • 要求根據《競爭事務審裁處規則》(第 In judicial review proceedings against 《競爭事務審裁處實務指示1》規定，在 619D章，附屬法例)(「《規則》」)第 the Town Planning Board (the “Board”), 競爭事務審裁處的法律程序中，首次案件 36條規則發出證人傳票的，須於2017 the Judge refused an application for 管理會議的目標在於識別出所需要的指年12月4日(即交換證人陳述書之後兩 a protective costs order (“PCO”) by 示，務求案中事宜可公平、儘快和經濟地個星期左右)或之前提出申請。 X, finding it had failed to show it was 進入實質聆訊。在一宗由競爭事務委員會 genuinely incapable of funding the • 經訴訟雙方一致同意，下次案件管理 (「競委會」)針對第1–5答辯人提起的法 litigation or to bear the Board’s costs 會議定於2017年12月13日舉行。考 in the main proceedings. The Court of 律程序中，首次案件管理會議於2017年5 慮到案件主要涉及2016年7月份11天 Appeal dismissed X’s appeal with no 月26日進行聆訊。在會議上，訴訟各方提內發生的與單一投標有關的事，主任 order as to costs (see [2017] 2 HKLRD 出要求，包括要求法官命令批准建議的保法官指示在2017年5月1日至6月30日 60). By a notice of motion, X sought leave 密協議；根據建議的協議，「保密圈」內 to appeal to the Court of Final Appeal. 期間實質聆訊申請，訴訟各方在一星的指定人會承諾只為法律程序使用指明的期內協商並建議確實的審訊日期。 Held, dismissing the notice of motion, 不經編修的文件，並且不會向圈外任何人 that: • 根據《規則》第75條規則，答辯人須披露文件內容；如果他們將文件提供給其 • Xs’ application for leave to appeal 在限期內將其對原訴申請通知書的回他人，只會提供經編修的保密資料文本。 to the Court of Final Appeal was 應送交存檔。關於第三答辯人發出傳 unmeritorious. The issues now raised 裁決 – 票要求延長送交回應的期限，第三答 by X were either too general or not • 關於訴訟各方建議的保密協議，法辯人已獲提供所有在原訴申請通知書 reasonably arguable. 庭應該在命令中指示，所有在法律程提及的文件。其他答辯人已經提交回 • It was fair and reasonable that there should also be no order as to costs 序提呈的文件，必須只用於與法律程應存檔，或者會在案件管理會議日期 of the PCO application in the Court 序有關的事情上，藉以提供廣泛的保之前提交。第三答辯人的情況與其他 below. Given this was the first case in 障，而文件的附屬用途，須經由訴訟答辯人的，算不上截然不同，因此無 which PCO was extensively argued in 各方同意或審裁處作出指示。須用上完全不一樣的處理方法，也無 a court in Hong Kong, the application satisfied the public interest litigation • 至於文件透露，競委會同意會披露使須延長送交回應的期限。不過，由於 (“PIL”) criteria. X’s legal team were 競委會不反對，主任法官最後批准延用的和不使用的資料，並提供誓章核 acting pro bono and there was scope 實文件清單(「該清單」)。要求第三方長14天。 to relax the requirement for lack of 透露文件的申請設有最後期限，申請 personal benefit. However, in future, 人須在該清單日期後12個星期內提出 an unsuccessful PCO applicant would not be able to rely on the PIL criteria 申請。 to be absolved from costs liability. • 關於要求法庭剔除原訴申請通知書 • There was no justification for 任何部分的申請，或者根據《競爭條 extending the PIL protection further

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to this unmeritorious application for 訟」的保障範圍延伸至本項沒有成功 was opposed by Ps. They contended that: leave and X was ordered to pay the 機會的上訴許可申請。本庭下令X支付 (a) the District Court had no admiralty costs of the Board in the notice of 城規會在動議通知書方面的訟費。 jurisdiction and no jurisdiction over motion. claims in bailment; (b) they had an absolute right to proceed with the action 民事訴訟程序 in the High Court by virtue of s. 12B of CIVIL PROCEDURE the High Court Ordinance (Cap. 4) (the “HCO”), which right could not or should Designing Hong Kong Ltd v Town Morpol SA v Blue Anchor Line Planning Board (No. 2) not be frustrated by a transfer; and (c) in [2017] HKEC 1038 any event, the High Court should exercise [2017] HKEC 1162 Court of First Instance its discretion not to order a transfer. 上訴法庭 Admiralty Action No. 150 of 2014 Held, ordering a transfer of the action to 上訴法庭民事上訴案2015年第184號 Godfrey Lam J in Chambers the District Court, that: 高等法院首席法官張舉能，上訴法庭副 22 May 2017 • Provided the matters fell within the 庭長林文瀚，上訴法庭法官潘兆初 jurisdiction conferred by the District 2017年6月7日 Jurisdiction – District Court – Court Ordinance, the District Court characterisation of claims in had jurisdiction over matters that 訟費 — 涉及公眾利益的訴訟 — 針 bailment – transfer of admiralty fell within the admiralty jurisdiction action from High Court to District 對法庭拒絕保護式訟費令的裁決 of the Court of First Instance, for Court – nature of discretion the legislation conferring admiralty 提出上訴，但遭駁回 — 不就下級 involved when transfer of action 法庭席前的申請頒下訟費令的做 jurisdiction on the High Court did not from High Court to District Court confer such jurisdiction exclusively on 法是否恰當 sought the High Court. Even on the footing that Ps’ claim included a claim in 在針對城市規劃委員會(下稱「城規會」) Ps, being the shippers, consignees, bailment, it would nevertheless fall 而提出的司法覆核程序中，申請人(下稱 sellers and subrogated insurers of the within the legislation conferring cargo, brought an action in the High X)向法庭申請保護式訟費令，但法庭駁 jurisdiction on the District Court. A Court against Ds, said to be carriers 回申請，並裁定X未能證明它確實無能力 claim in bailment should, depending under the bills of lading and bailees on the facts, be characterised as either 為訴訟提供資金或承擔城規會在主體法律 for reward of the cargo, to recover the a claim founded on contract or a 程序中的訟費。X提出上訴，而上訴法庭 loss said to have been occasioned by claim founded on tort rather than as 駁回上訴，同時不作出任何訟費令(詳見 Ds having negligently damaged the being sui generis. A claim in bailment [2017] 2 HKLRD 60)。X發出動議通知 cargo. Such loss was particularised to therefore came within the words “any 書，申請許可向終審法院提出上訴。 total approximately HK$629,000, and action founded on contract, quasi- therefore came within the monetary limit contract or tort” in s. 32(1) of the 裁決 — 駁回動議通知書﹕ of the District Court’s jurisdiction of HK$1 District Court Ordinance (Cap. 336) million. Ds applied for the transfer of the • X的終審法院上訴許可申請沒有成功機 (the “DCO”). action to the District Court. Such transfer 會。X現提出的爭議點如非過於籠統，就是無法合理地可辯證成立。 • 對於下級法庭席前的保護式訟費令申請，不作出任何訟費令的做法既公平且合理。考慮到本案是首宗在香港法庭席前就保護式訟費令進行全面爭辯的案件，上述申請已符合「涉及公眾利益的訴訟」的標準。X的律師團隊乃以義助身份行事，關於缺乏個人利益的規定可予放寬。然而，日後如有保護式訟費令申請被駁回，申請人將不能倚仗「涉及公眾利益的訴訟」的標準以期避免在訟費方面的責任。 • 案中沒有理由把「涉及公眾利益的訴

62 www.hk-lawyer.org September 2017 • CASES IN BRIEF 案例撮要

• Section 12B of the HCO was 損毀，向眾被告人追討損失。眾原告人分怎麼重要或複雜，眾原告人不能以此 concerned with the mode of exercise 列損失金額，總額為629,000港元左右，證明案件應該繼續在高等法院審理。 of the admiralty jurisdiction, 在區域法院申索限額100萬元的範圍以高等法院設有由法官專責處理的海事 particularly whether an action might 內。眾被告人申請把訴訟移交區域法院審案件審訊表，不過這也不是把案件留 be brought in personam or in rem 理，眾原告人反對，辯稱：(a)區域法院沒在高等法院的理由。 and, if in rem, against what ship and 有海事司法管轄權，也沒有司法管轄權審 property. It did not confer the absolute 理基於委託而提出的申索；(b)憑藉《高等 right contended for by Ps, and it does 法院條例》(第4章)第12B條，眾原告人有 not detract from the provisions on CIVIL PROCEDURE transfer of proceedings in s. 43 of the 絕對權在高等法院繼續進行訴訟，這項權 DCO. 利不可以，也不應該由於訴訟被移交而受 Yu Man v Chief Commodities Ltd [2016] HKEC 2938 • While the power to transfer was 阻撓；(c)無論如何，高等法院應當行使酌 discretionary by virtue of the word 情權，不命令移交訴訟。 Court of First Instance Miscellaneous Proceedings No. 1170 of “may” in s. 43(1) of the DCO, s. 43(3) 裁決 –命令把訴訟移交區域法院： makes it clear that the High Court was 2016 required to order a transfer unless • 只要涉案事情是在《區域法院條例》 Cheung and Chu JJA the case ought to remain in the High 賦予的司法管轄權範圍內，即使那是 20 July 2016 Court “by reason of the importance 原訟法庭海事司法管轄權範圍以內的 or complexity of any issue arising” or 事，區域法院也有司法管轄權審理， Striking out – statement of claim “for any other reason”. The burden 因為賦予高等法院海事司法管轄權的 – failure to plead particulars was on Ps to demonstrate that the 法例，不是只賦予高等法院這項司法 and disclose reasonable cause of case positively ought to so remain. action – whether action properly 管轄權。原告人的申索包括一項基於 The issues on the Hague-Visby Rules struck out in the present case were not so 委託而提出的申索，但即便如此，涉 important or complex as to show that 案事情也會是賦予區域法院司法管轄 In an action in the District Court against the case ought to remain in the High 權的法例範圍內的事。基於委託而提 D, a broker in futures and forex trading, P sought HK$1 million in damages alleging Court. Nor was the existence of the 出的申索，應被描述為基於合約或侵 he had suffered a substantial loss caused Admiralty List with a specific judge in 權 (視乎案情而定)而提出的申索，不 by the improper conduct of D. On D’s charge of it a reason for retaining the 是自成一類。因此，基於委託而提出 application, the Judge struck out the case in the High Court. 的申索是在《區域法院條例》(第336 statement of claim for inter alia lacking 章)第32(1)條的「任何基於合約、準 in particularity, failing to disclose any 民事訴訟程序合約或侵權行為而提出的訴訟」的涵 reasonable cause of action and having no chance of success under O. 18 蓋範圍內。 Morpol SA v Blue Anchor Line r. 19(1)(a) of the Rules of the District Court [2017] HKEC 1038 • 《高等法院條例》第12B條關乎海事 (Cap. 336H, Sub. Leg.) (the “RDC”), and 原訟法庭司法管轄權的行使方式，特別是提起 dismissed the action. The Judge refused P’s application for leave to appeal against 高院海事訴訟案件2014年第150號的應該是對人訴訟還是對物訴訟，如果是對物訴訟，應該針對哪艘船或財 the decision and P now renewed the 原訟法庭法官林雲浩內庭聆訊 application before the Court of Appeal. 物提起訴訟。它沒有賦予眾原告人所 2017年5月22日聲稱的絕對權利，也沒有減損《區域 Held, refusing the application, that: 法院條例》第43條的移交法律程序的 • P’s intended appeal was wholly 司法管轄權 — 區域法院 — 對基於規定。 without merit, had no reasonable 委託而提出的申索的描述 — 將海 prospect of success and there was • 雖然移交訴訟的權力由於《區域法院事訴訟由高等法院移交至區域法 no other reason in the interests of 條例》第43(1)條用上「可」一字而屬 justice why it should be heard. The 院—申請把訴訟由高等法院移交區於酌情行使的權利，但第43(3)條清楚 Judge was entitled to exercise his 域法院時涉及的酌情權性質訂明，除非「由於……出現任何重要 discretion under O. 18 r. 19(1)(a) of the 或複雜的爭論點」或「由於任何其他 RDC and order the statement of claim 眾原告人分別是涉案貨物的付運人、收貨 to be struck out on the ground that 原因」，以致案件應當繼續在高等法人、賣方、取代投保人地位的承保人，眾 it disclosed no reasonable cause of 院審理，否則高等法院必須命令移交被告人據說分別是涉案貨物的取酬受託人 action. 案件。眾原告人有責任證明案件的確及提單註明的承運人。眾原告人入稟高等 • Inter alia, in civil proceedings, the 應該繼續在高等法院審理。案中關於法院，指控眾被告人疏忽，引致涉案貨物 purpose of pleadings was to clearly 《海牙―維斯比規則》的爭論點並不 define the issues in dispute and the

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substantive questions of law involved, 附屬法例)(「《規則》」)第18號命令第 CRIMINAL LAW enabling the parties to gather 19(1)(a)條規則，以(除了別的以外)申索 relevant evidence, disclose relevant 陳述書缺乏詳情，既未能披露合理的訴訟 HKSAR v Gurung Laxman documents and prepare for trial. The [2017] HKEC 972 rules of pleadings must be strictly 因由，又無勝訴可能為由，剔除申索陳述 observed. A statement of claim must 書，並且撤銷訴訟。原告人不服原審法官 Court of Appeal expressly state the cause of action and 的決定，申請上訴許可，但被原審法官拒 Criminal Appeal No. 385 of 2015 its factual basis with the necessary 絕，原告人現在上訴法庭席前重新提出申 Yeung ACJHC, McWalters and Pang JJA particularity to establish a reasonable 16 May 2017 cause of action. 請。 • Here, the statement of claim did not 裁決 –拒絕原告人的申請： Dangerous drugs – trafficking set out any particulars to support – conviction on charge of the allegations of “improper acts”, • 原告人打算提出的上訴完全缺乏理 trafficking – appellate court “dishonesty” and “wilful tortuous 據，既沒有合理勝算的機會，也沒有 satisfied that precise quantity of acts” or their factual basis, and no 其他有利於秉行公正的理由支持應當 drugs in defendant’s possession cause of action was made out. 就該上訴進行聆訊。原審法官可以根 were for trafficking while rest • As for P’s argument that the defective 據《規則》第18號命令第19(1)(a)條 should be treated as having pleading could have been amended been for self-consumption – without restriction instead of struck 規則，行使酌情權，並以申索陳述書 particulars of trafficking charge out, under the RDC, a litigant did 沒有披露合理的訴訟因由為由，命令 amended as appropriate and not have an absolute right to amend 剔除申索陳述書。 appropriate unlawful possession pleadings at will and at any time. charge added – sentence reduced Here, P never even applied for leave to •在民事訴訟中，狀書的作用包括在案件 amend the statement of claim. 進行正審前，清楚確立爭議的事項， D stood trial in the District Court on a • The law did not prescribe any time 以及該等事項涉及的實質法律議題， charge of trafficking in dangerous drugs containing 7.09 g of methamphetamine limit for an application to strike out a 從而讓訴訟各方搜集相關證據、披露 pleading. It was not too late for D to hydrochloride (“Ice”). Those drugs were 相關文件，並做好正審所需要的準 make such an application about two- in three bags wrapped together in tissue and-a-half months after the close of 備。狀書的相關規定必須嚴格遵從。 paper and bound with tape. Most of the pleadings and the Trial Judge did not 申索陳述書必須明確陳述訴訟因由及 drugs, 6.49 g of “Ice” were in a large bag while the rest of the drugs, namely a err in exercising his case management 有關的事實基礎，並提供必要的細節 total of 0.60 g of “Ice” were in two small discretion in D’s favour. 詳情，以確立合理的訴訟因由。 bags. D, who had a history of drug abuse, •在這宗案件，申索陳述書沒有列明支持 admitted being in possession of all the 民事訴訟程序 drugs, but denied trafficking in any part 「不當行為」、「不誠實」、「蓄意 of them, saying in evidence that all the Yu Man v Chief Commodities Ltd 侵權行為」的指控的具體細節或所涉 drugs were for his own consumption. [2016] HKEC 2938 事實基礎，也沒有確立訴訟因由。 The Judge was of the view that the only reasonable inference was that D had 原訟法庭 •至於原告人指稱有缺陷的狀書不可以 all the drugs in his possession for the 高院雜項案件2016年第1170號被無限次修改而不被剔除，根據《規 purpose of trafficking; convicted him as 上訴法庭法官張澤祐則》，訴訟人沒有必然權利可隨時、 charged; did not accept for the purpose of sentencing that any of the drugs were 上訴法庭法官朱芬齡隨意修改狀書。案中原告人甚至不曾 for D’s own consumption; and sentenced 申請修改申索陳述書的許可。 2016年7月20日 him to five years and six months’ •法例沒有訂明申請剔除狀書的時限。被 imprisonment. With leave, D appealed 剔除 — 申索陳述書 — 未有列出告人在狀書提交期限結束後約兩個半 against conviction and sentence. 詳情作訴及披露合理的訴訟因由月提出申請不算太遲，原審法官沒有 Held, dismissing the appeal against — 是否恰當地剔除了訴訟犯錯，他行使案件管理酌情權批准被 conviction, but allowing the appeal against sentence by reducing the 告人的申請，做法正確。被告人是期指及外匯期貨買賣經紀，原告 sentence from five years and six months’ imprisonment to four years’ 人聲稱因為被告人的不當行為，蒙受巨 imprisonment, that: 大損失，因此入稟區域法院，要求被告人賠償100萬港元。原審法官應被告人的申 • The Judge was entitled to infer that at least the drugs in the two small bags 請，根據《區域法院規則》(第336H章， were possessed by D for the purpose

64 www.hk-lawyer.org September 2017 • CASES IN BRIEF 案例撮要

of trafficking. 刑事法成立。 • But the Judge had not revealed in • 上訴法庭有權――如果權力的行使可 sufficient detail which parts of D’s HKSAR v Gurung Laxman 以不給上訴人帶來可能不利的風險(這 evidence he accepted and which [2017] HKEC 972 宗案的情況)，法庭就可以使用這種權 primary facts he relied upon to infer 上訴法庭力――修改控罪書，更改販毒控罪的 trafficking for the Court of Appeal to 詳情，按情況減少販運的份量，也按 be satisfied that the inference that 刑事上訴案件2015年第385號 D was trafficking in the drugs in the 高等法院署理首席法官楊振權情況加控非法管有毒品罪。這宗案件 large bag was the only reasonable 上訴法庭法官麥偉德就是會這樣作結。 inference. 上訴法庭法官彭偉昌 • 被告人因為販運兩小袋合共0.60克「 • In a case like the present where 2017年5月16日冰」，被上訴法庭判監3年，因為非法 the precise portion of the drugs for 管有大袋內6.49克「冰」，被判監18 self-consumption was known, it was appropriate that the offender be 毒品 — 販毒 — 販毒控罪罪名成立個月。 convicted of separate offences of — 上訴法庭信納，由被告人管有並 • 基於整體刑罰的原則，被告人因為非 trafficking and unlawful possession. 已知準確份量的毒品是作販運之法管有毒品而被判處的18個月監禁之 • The Court of Appeal had the power 用，其餘的應被視為被告人自用中，只有12個月與因為販毒而被判處 – of which power they could avail 的3年監禁分期執行，因此，被告人的 themselves where, as here, such — 按情況修改販毒控罪詳情並加控總監禁期是4年。 power could be exercised without 非法管有毒品罪 – 減刑 any possible risk of prejudice to the 被告人被控販運內含7.09克甲基苯丙胺鹽 appellant – to amend the charge sheet by amending the particulars of 酸鹽的毒品(「冰」)，在區域法院接受審 CRIMINAL SENTENCING the trafficking charge to reduce the 訊。涉案毒品分放在三個細小膠袋內，膠 quantity of drugs as appropriate and 袋用紙巾包在一起，再以透明膠帶綑綁。 Secretary for Justice v Siu Yun Yee adding an unlawful possession charge 大部分毒品，6.49克「冰」，放在三小袋 [2017] HKEC 987 as appropriate. And this would be 中一個較大的袋(「大袋」)內，其餘合共 Court of Appeal done in the present case. 0.60克「冰」，分放在兩個較小的袋(「小 Application for Review No. 6 of 2016 • For trafficking in the 0.60 g of “Ice” in 袋」)內。有長期濫藥記錄的被告人承認涉 the two small bags, D was sentenced Lunn V-P and Macrae and Pang JJA by the Court of Appeal to three years’ 案毒品全由他管有，但否認販毒，他作供 17 May 2017 imprisonment. And for unlawful 說，管有的毒品全供自己吸食用。原審法 possession of the 6.49 g of “Ice” in 官認為唯一合理的推論是，被告人的目的 Dealing with property known or the large bag, he was sentenced to 18 是販運全部由他管有的毒品；裁定被告人 believed to represent proceeds of months’ imprisonment. 被控罪名成立；不接納求情所指，有部分 indictable offence – suspended • On the totality principle, only 12 毒品是被告人自用的；判處被告人監禁5 sentence of imprisonment – months of the sentence of 18 months’ 年6個月。被告人不服定罪及判刑，取得 review of sentence – subject to imprisonment for unlawful possession 上訴許可後，提出上訴。 exceptional circumstances, offence was to be served consecutively attracted immediate custodial to the sentence of three years’ 裁決 –駁回定罪上訴，但裁定判刑上訴得 sentence even for first offender imprisonment for trafficking, so that 直，監禁刑期由5年6個月減至4年： – discount to reflect immediate D’s total sentence would be four years’ imprisonment. • 原審法官可以推論，至少兩個小袋內 custodial sentence imposed on review – for offence of dealing 的毒品是被告人為了販毒而管有的。 with HK$630,000 in cash during • 原審法官推論被告人販運大袋內的毒 period of 21 months, immediate 品，不過，他不曾詳細透露他接納了 custodial sentence of eight months’ 被告人證供的哪一個部分，基於哪項 imprisonment imposed on review 基本事實作出推論；他所透露的，不 D pleaded guilty in the District Court 足以令上訴法庭信納他的推論是唯一 to dealing with property known or 合理的推論。 believed to represent the proceeds of • 在同類案件中，如果法庭準確知道供 an indictable offence. She had so dealt 自用毒品的份量，就適宜分開裁定罪 with HK$630,000 in cash during the 犯販毒控罪及非法管有毒品控罪罪名 period 16 November 2009 to 18 August 2011. The predicate offence was that

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of operating an unlawful gambling 刑事判決 • 就「處理已知或相信為代表從可公訴 establishment. In sentencing her to seven 罪行的得益的財產」罪而言，除非有 Secretary for Justice v Siu Yun Yee months’ imprisonment suspended for 特殊情況，否則被告人即使初犯，亦 two years, the Deputy Judge took into [2017] HKEC 987 應被判即時監禁。本案並不存在該等 account in D’s favour that she was a 上訴法庭 divorcée, aged 58, who was responsible 特殊情況。上訴法庭覆核申請2016年第6號 for the care of her 16-year-old son • 既然被告人的代表大律師曾請求原審 who suffered from reading and writing 上訴法庭副庭長倫明高，上訴法庭法官法官判處緩刑，被告人對其所得的判 disabilities, she derived no monetary 麥機智及彭偉昌刑亦要負上部份責任。不過，這點無 gain from the offence of dealing and she 2017年5月17日 had played a relatively passive role in it. 阻上訴法庭對刑期稍作扣減，以反映 The seven-month term was arrived at by 經覆核過程後被判入獄的被告人定必 adopting a starting point of 12 months 「處理已知或相信為代表從可公蒙受的困擾。她有權因此而獲減刑三 which was discounted by one third for 訴罪行的得益的財產」罪 — 緩刑個月，故最終刑期為8個月。 plea and then further discounted by one — 覆核判刑 — 除非有特殊情況， month to reflect the time for the matter to be brought to court. The Secretary 否則被告人即使初犯，亦應被判 for Justice applied for a review of the 即時監禁 — 給予刑期扣減，以反 REGULATORY sentence on the grounds of manifest 映法庭在覆核判刑階段判處即時 inadequacy and error in principle. 監禁一事 — 對於涉及在21個月 Moody’s Investors Service Hong Kong Held, granting the application and 期間處理合共630,000港元現金 Ltd v Securities and Futures Commission imposing an immediate custodial 的罪行，法庭經覆核後判處被告 [2017] HKEC 1166 sentence of eight months’ imprisonment, Court of Appeal that: 人即時監禁8個月 Civil Appeal No 103 of 2016 • In all the circumstances, the 本案被告人在區域法院承認「處理已知或 Lam V-P, Yuen and Kwan JJA appropriate starting point was 18 相信為代表從可公訴罪行的得益的財產」 8 June 2017 months’ imprisonment. D would then be afforded, as the Deputy Judge 罪。案情指她自2009年11月16日至2011 afforded her, a one-third discount 年8月18日期間處理合共630,000港元的 Credit rating agency – definition for plea and a further one-month of credit ratings – “red flag” 現金，而該等款項代表經營非法賭場的得 report itself did not constitute discount to reflect the time for the 益。區域法院暫委法官判處被告人監禁7 matter to be brought to court. This credit rating – distinction 個月，緩刑兩年。法官判刑時考慮到各項 would result in a term of 11 months’ between assessment of some imprisonment. 對被告人有利的因素，包括她年58歲、 (but not all) elements of 已離婚、須要照顧患有讀寫障礙的16歲 credit risk and assessment • Subject to exceptional circumstances, of creditworthiness – report dealing with property known or 兒子、沒有從處理涉案款項中得到金錢利 expressed opinion primarily believed to represent the proceeds 益，以及在罪行中擔當較被動的角色。法 on corporate governance and of an indictable offence attracted an 官採納監禁12個月為量刑基準，因應被告 accounting risks only – report immediate custodial sentence even 人認罪而把刑期扣減三分之一，然後因應 part and parcel of credit for a first offender. There were no ratings business and fell within such exceptional circumstances in the 把本案帶到法庭審理所需的時間而進一步 regulated activities under s. 193 present case. 減刑一個月，故達致7個月的刑期。律政 • D’s counsel having invited the 司司長申請覆核上述判刑，理由為該判刑 M was part of a global credit rating Deputy Judge to impose a suspended 明顯過輕和原則上有錯。 agency network and was licensed under sentence, D bore some responsibility the Securities and Futures Ordinance for the sentence imposed on her. But 裁決 — 批准申請，改判被告人即時監禁8 (Cap. 571) (the “Ordinance”) to carry on that was not a bar to the Court of 個月﹕ Type 10 activity (ie, provide credit rating Appeal affording her some discount services) since June 2011. In July 2011, of sentence to reflect the undoubted • 在涉案所有情況下，恰當的量刑基準 M published a document entitled “Red distress to her of being sent to prison 為監禁18個月。被告人繼而應因認罪 Flags for Emerging-Market Companies: A on review. She was entitled to such a 而獲給予減刑三分之一以及因應把本 focus on China”, which examined various discount of three months, resulting mainland Chinese issuers (the “Report”). in a final sentence of eight months’ 案帶到法庭審理所需的時間而另獲減 It was distributed to subscribers and imprisonment. 刑一個月(即依循原審法官的做法)。經 available for sale to the general public. 此等扣減後，刑期為11個月。

66 www.hk-lawyer.org September 2017 • CASES IN BRIEF 案例撮要

M also issued a press release which even though the red flag framework if the product was not presented stated that, “[M] highlights … governance was not part of the methodology as an expression of opinions and accounting risks prevalent when in arriving at M’s credit ratings of a primarily regarding creditworthiness investing in fixed-income securities classic kind, the Report constituted and instead presented only as a in the emerging markets. Through a additions and clarifications which discussion limited to one or two framework of “Red Flags”, the Report were meant to be read together with elements without expressing any focuses on transparency concerns and such classic ratings and as such, opinion on the overall assessment of the general complexities associated the publication of the Report was creditworthiness. with rapidly developing markets”. After an activity relating to the ratings • The Tribunal erred in failing to publication of the Report, the share within the meaning of s. 193 of the address the requirement of primacy prices of more than half of the companies Ordinance. Further, the business in the statutory definition and the red-flagged dropped substantially. In a of credit ratings encompassed distinction between assessment Decision Notice of 3 November 2014, the clarifications or additions to existing of some (but not all) elements Securities and Futures Commission (the ratings on an ongoing basis. This of credit risk and assessment “SFC”) found that M failed to have the construction was consistent with the of creditworthiness. The Report required procedural safeguards in place purposive interpretation of the statute expressed an opinion primarily on to ensure the integrity of the Report and and the proportionate interference corporate governance and accounting the Report was materially misleading, with the freedom of expression. risks which were relevant but far from confusing and inaccurate in several • Different credit rating agencies determinative of creditworthiness. M respects. M sought a review of the SFC’s might have different baskets of did not represent in the Report that decision. The Securities and Futures factors. In determining whether an it had adopted an alternative credit Appeals Tribunal (the “Tribunal”) found agency did provide credit rating risk assessment approach based on that M carried on Type 10 activities in the services, the SFC or the Tribunal governance and accounting risks preparation and publication of the Report need not assess whether the factors alone and that the Report expressed and there were substantive breaches of or elements that such agency had an opinion primarily on an overall the Code of Conduct issued under s. 169 taken into account were scientifically assessment of creditworthiness of of the Ordinance. M appealed against or statistically sound in terms of the the companies in the chart. M made that determination. “Credit ratings” is final assessment. So long as the it clear that although there was a defined in Pt. 2 of Sch. 5 of the Ordinance product was presented by way of degree of correlation for some non- as “opinions, expressed using a defined an expression of opinions primarily property firms between lower ratings ranking system, primarily regarding the regarding creditworthiness (using and larger numbers of red flags, the creditworthiness of – (a) a person other a defined ranking system), it would red flags did not represent a change than an individual …”. Section 193 of be caught by the statutory definition in M’s rating methodologies (which the Ordinance defines misconduct as under Pt. 2 of Sch. 5 of the Ordinance. encompassed other factors). including “an act or omission relating However, it was a different matter to the carrying on of any regulated activities”. Held, dismissing the appeal, that: • While the Tribunal erred in concluding that the Report itself constituted a credit rating, its decision was upheld on its alternative reasoning that misconduct could be established on the basis that the preparation and publication of the Report was part and parcel of the carrying on of the business of credit ratings by M and thus a Type 10 activity was engaged. • The Tribunal did not consider the notion of the Report being part and parcel of the credit rating in a vacuum. It was entitled to hold that

www.hk-lawyer.org 67 • September 2017

監管 Moody’s Investors Service Hong Kong Ltd v Securities and Futures Commission [2017] HKEC 1166 上訴法庭民事上訊案件2016年第103號上訴法庭副庭長林文瀚上訴法庭法官袁家寧上訴法庭法官關淑馨 2017年6月8日

信貸評級機構 — 信貸評級的定義

—「紅旗」報告本身不構成信貸評對上訴審裁處的決定提出上訴。「信貸評評級機構是以表達意見的方式發表研級 — 評估某些(不是全部)信貸風險級」在《條例》附表5第2部是指「主要究結果，而表達的意見主要是關於(用元素與評估信用的分別 — 報告表就——(a)任何不屬個人的人；……的信用確定的評級制度評估的)信用的，就會達的意見基本上只與企業管治和可靠性以已界定的評級系統發表的意見」符合《條例》附表5第2部訂明的法定會計風險有關 — 報告屬信貸評級。《條例》第193條界定不當行為包括「定義。不過，如果研究結果不是在主業務一部分，在第193條所訂的與……進行……的受規管活動有關的作為要與信用有關的意見中發表，而只是受規管活動範圍內或不作為」。在涉及一、兩種元素的討論中發表，沒有就信用的整體評估發表任何意 M是全球信貸評級機構網絡其中一員，自裁決 –駁回上訴：見，情況就不一樣了。 2011年6月起獲發牌進行《證券及期貨條 • 雖然上訴審裁處錯誤推斷該報告本身 • 上訴審裁處錯在未有處理法定定義例》(第571章)(「《條例》」)所訂的第10 構成信貸評級，但上訴法庭維持上訴「主要」二字所指的要求，以及評定類受規管活動(提供信貸評級服務)。2011 審裁處的決定，因為上訴審裁處提出某些(不是全部)信用風險元素與評定年7月，M發表一份檢視國內多家中資發交替論據，指出該報告的編製及發表信用的分別。該報告發表的意見主要行人的文件，題為《新興市場公司的「紅是M信貸評級業務的一部分，因此構是與企業管治和會計風險有關的，兩旗訊號」：以中國為重點》(Red Flags for 成從事第10類受規管活動，而M的失種風險關係到信用的評定，但遠不至 Emerging-Market Companies: A focus on 當行為可以在這基礎上得以確立。 China)(「該報告」)。M將該報告分發給訂於具有決定性作用。M沒有在該報告 • 上訴審裁處不是憑空考慮該報告是信戶，也設有公開發售。M亦發放新聞稿，表示，M已經採用另一種只以企業管貸評級一部分的說法。它可以認為，說明「[M]發表最新報告，探討投資於新治和會計風險為基礎的信用風險評定儘管紅旗訊號框架不是M得出傳統信興市場固定收益證券時所普遍存在的治理方法，也沒有表示該報告發表的意見貸評級所用方法的一部分，但該報告和會計風險。該報告通過一個『紅旗』主要與圖表內公司的整體信用程度有構成增補或澄清原有信貸評級，應該 (Red Flags)訊號框架，重點探討一些迅速關。M表明，雖然對某些非房地產公與傳統評級一併閱讀，由此看來，發發展的市場所存在的透明度問題和總體複司來說，公司評級越低，紅旗數目越表該報告是《條例》第193條所指的雜性」。該報告發表之後，獲編配紅旗的多，評級與紅旗數目在某程度上是有關乎評級的活動。此外，信貸評級業公司之中，有一半以上股價大跌。證券及關連的，但是編配紅旗不代表M改變務包含持續澄清或增補現有評級。這期貨事務委員會(「證監會」)認定，M沒了評級方法(評級方法包含其他因素)。個解釋符合因應立法目的對法例作出有在程序上設置必要的保障，未能確保該的詮釋，也符合對發表自由相稱地作報告公正完整，並且該報告在多個方面嚴出的干預。重誤導他人，引起混亂，內容失實；證監 • 信貸評級機構可以各有一籃子不同會於2014年11月3日發出決定通知書。M For full summaries and judgments, please refer 申請覆核證監會的決定。證券及期貨事務的因素。決定某機構是否確實提供信 to Westlaw and Hong Kong Law Reports & Digest at www.westlaw.com.hk. 上訴審裁處(「上訴審裁處」)裁斷，M在貸評級服務時，證監會或上訴審裁處就完整的摘要和判決書，請到編製及發表該報告時，從事第10類受規不需要評定，從最後評定方面說來， www.westlaw.com.hk 參閱Westlaw 該機構所考慮的因素或元素是否夠科管活動，亦裁斷，根據《條例》第169條及《香港法律彙報與摘錄》。發出的《操守準則》確實遭到違反。M針學、可信賴的統計因素或元素。只要

68 www.hk-lawyer.org COMING IN NOVEMBER BLOCKCHAIN: A LEGAL GUIDE

The emergence of blockchain and distributed ledger technology has been a gamechanger. These offer significant and scalable processing power, high accuracy rates, and apparently unbreakable security at a significantly reduced cost compared to the traditional systems the technology could replace. However, at the same time, it is also complicating the legal landscape in many emerging areas.

The ALB supplement Blockchain: A Legal Guide discusses some of these areas as well as some of the legal impediments that may need to be overcome prior to wide-scale implementation. It will feature contributions from regulators, law firms and other entities.

If you are a subject matter expert who wishes to contribute content to the guide by purchasing a chapter, contact Amantha Chia at [email protected] or +65 6870 3917. • September 2017 PRACTICE SKILLS 實踐技能

And/or – A Bad Case of Conjunctivitis By Richard Bates, Partner Kennedys good test for why a word or phrase is Problems with or However, it is not a panacea. Depending considered legalese is that lawyers on the grammatical context, the meaning A The main reason legal practitioners tend to use it in legal documents but of and/or can be unclear. Set out below seem to prefer and/or is that or on its would never dream of using it in normal are a few examples. own can be ambiguous. It can be either conversation. The term and/or is a good exclusive, meaning A or B, but not both Obligations example. No one says “and/or” in normal or inclusive, meaning A or B or both. One speech (I hope). After reading yet another And/or can create ambiguity when it commentator notes that a good way of legal document peppered with this is used to frame an obligation. Take remembering this is that the word or construct (it is not a word and you cannot for example the provision “The joint carries a different meaning when we are really call it a phrase), I found myself venture company shall hire employees asked: asking why it is that lawyers seem so fond from shareholder A and/or shareholder of it and whether its meaning is always as • “Would you like tea or coffee?” where B”. Would it satisfy that obligation if it clear as they assume. it is used in an exclusive sense and hired employees only from shareholder when to answer “both” would seem A? Probably yes, but that meaning is a Conjunctions very strange; or little unclear. Contrast this with “The joint The expression and/or is what • “Would you like milk or sugar?” where venture company shall hire employees grammarians (yes, there is such a thing, it is used in an inclusive sense and from shareholder A or shareholder B or it means someone who studies or writes when answering “both” is perfectly both.” It then becomes much clearer about grammar) call a conjunction. A acceptable. that the company can choose to hire employees from only one of the conjunction is a word or phrase which Drafters are nervous types who worry shareholders. connects (coordinates would be a better that by just using or they might not word) phrases, clauses or sentences. cover the situation where both A and B Multiple cases History occur. They then try to make this clear by I often see and/or used where there are adding and; which gives us the and/or And/or has long history. It has been three or more cases (eg, A, B and/or C). construct. around since the mid-19th century and Does this include A and B but not C? appears to have been the subject of What does it mean? Again, probably yes, but that meaning is not as clear as it could be, particularly criticism for almost as long. This criticism The commonly accepted meaning of where, as is often the case, there is no comes from: and/or is that it indicates that one or other conjunction, such as and or or, • grammarians, who make the point more of the cases it connects may occur. between the A and the B. that it is not a real word; Put another way, it means either and • proponents of clarity in legal writing, or or or both. So the phrase A and/or B Both Not an Option who note that it can lead to ambiguity; means: Finally, and/or is often used in a lazy and • A; or way where the only possible meaning • judges, who have called it “a bastard • B; or is or. Consider the provision “The board conjunction” and a “much condemned • both A and B. meeting will be held in Hong Kong and/ conjunctive-disjunctive crutch of or New York.” The writer might have sloppy thinkers”. Most of the time and/or works just fine. meant that the meeting could be held in

70 www.hk-lawyer.org September 2017 • PRACTICE SKILLS 實踐技能

two places at once (via video conference part about improving our legal writing we are under pressure. It is all too easy perhaps?) but more likely they meant it skills is “unlearning” all the bad habits we to use and/or when we are too rushed would be held in either Hong Kong or tend to pick up and cling to. The use of to consider whether we mean and or or New York. and/or is in my view a very good example or both. If you stop to ask yourself that of one of these rather bad habits. Our question the next time the issue arises Unlearning a Bad Habit job as legal drafters is to think about when drafting a contract, pleading or One of the most useful and accessible what we mean and then use the right other legal document, make sure you works on plain language legal writing is word or words. As the author also notes, know the answer and then use the correct Michèle Asprey’s excellent book “Plain the really challenging part of improving conjunction. Just don’t rely on and/or Language for Lawyers”. One of the points the clarity of our legal writing is putting always doing that job for you. n Asprey makes in this book is that the hard what we have learned into practice when 和/或–錯用連接詞的病例

作者 Richard Bates 合夥人肯尼狄律師行

個單詞或短語為何被視為法律措的，回答「兩者」似乎很奇怪；或多種情況一辭，且看看律師是否只在法律文 •「你要加牛奶還是加糖？」用法是包容我經常在有三種或多種情況時使用件使用它，而永遠不會在一般對話中使用的，回答「兩者」完全可以接受。「and/or」，例如A, B and/or C。這包括它。「and/or」(「及／或」)是一個很好起草者擔心如果只用or，可能不包含A及 A及B但不包括C？可能是，但意思不那麼的例子。閱讀又一份灑滿這個結構(它既不 B兩者的情況，所以就加上and來澄清一清楚，尤其是通常沒有其他連接詞，例如是一個單詞，又不算短語)的法律文件後，下，產生了「and/or」這個結構。 and或or、A與B之間。我問自己：為什麼律師總是喜歡用這個結兩者不是一個選項構，它的含義是否他們想得那麼清晰？什麼意思？最後，「and/or」經常被懶惰地使用，而「and/or」普遍接受的含義，是表示連接連接詞其實唯一可能的意思是or。試想想這項條的一個或多個情況可能發生。換句話說，語法學家(研究或撰寫有關語法的人)稱款：「The board meeting will be held in 它表示and或or或兩者。所以A and/or B 「and/or」為連接詞。連接詞是連接(說協 Hong Kong and/or New York.」(董事會指：調似乎更合適)短語、子句或句子的單詞或會議將在香港及／或紐約舉行)。作者可 •A；或短語。能想說會議可在兩地同時舉行(也許用視 • B；或像會議？)，但更有可能想說在香港或紐歷史 • A及B兩者。約舉行。「and/or」的歷史悠久，19世紀中葉已出「and/or」大部份時間都沒有問題，但摒棄惡習現至今，一直備受批評。這些批評來自：它不是靈丹妙藥。視乎語法語境而定， • 語法學家說它不是一個真正的單詞；「and/or」的含意可能不清晰，以下是數就法律寫作用淺白語言議題，最有用、最 •提倡法律文字清晰者說它可能導致歧個例子。易於讀到的參考，是Michèle Asprey的《Plain Language for Lawyers》。Asprey 義；和責任在書中提到，改善法律寫作技巧最困難之 •法官說它是「雜種連接詞」及「支撐鬆「and/or」用於表述責任時，可產生歧處，是摒棄惡習。我認為「and/or」的使散思想、被譴責的連接詞－反意連接義。例如條款「The joint venture company 用是一個惡習的好例子。作為法律起草詞」。 shall hire employees from shareholder A 者，我們的工作是思考我們想說什麼， Or的問題 and/or shareholder B」(合營公司應從A股然後使用正確的字詞表達出來。作者亦指東及／或B股東處聘請員工)。那麼，只從法律執業者喜歡用「and/or」，主要因為出，改善法律寫作清晰度最挑戰的部份， A股東處聘請員工符合該項責任嗎？可能單用or可能意義含糊，可以是排他的，即是在壓力下學以致用。當我們太匆忙沒有符合，但含意有點不清。對照「The joint A或B，但不同時包括兩者；或全包的，即時間考慮意思是and 或 or 或兩者，使用 venture company shall hire employees from A或者或兩者均包括在內。有評論指出，「and/or」就太容易了。下次起草合同、 shareholder A or shareholder B or both」記住這點的一個好方法，是在以下情況or 狀書或其他法律文件時，停下來想想，知 (合營公司應從A股東或B股東或兩者處聘有不同的含義：道答案後再用適當的連接詞，不要只依賴請員工)，意思就更清晰，公司可選擇從其「and/or」。 n •「你想喝茶還是喝咖啡？」用法是排他中一個股東處聘請員工。

www.hk-lawyer.org 71 • September 2017 PRACTICE MANAGEMENT 執業管理

Exit Interviews: Exposing Your Firm’s Secrets By Sharon Meit Abrahams, Ed.D. Director of Professional Development/Diversity & Inclusion, Foley & Lardner, LLP (Miami, Florida, USA)

or years firm leaders have whispered do the interviews, what questions to ask, would be to keep the written survey Fthat female lawyers leave before and how the data will be shared. The short, and complement it with a personal making partner because they want following is a guide to help you plan how interview to gather more context and families. These same lawyers claim that to implement or improve exit interviews at anecdotes. diverse lawyers leave because they “can’t your firm. While a one-on-one exit interview is time hack it.” If you find these assumptions consuming, it does have a higher pay off. offensive, then do something about it. The What If the right person conducts the interview, Start conducting exit interviews for all Determine what information you want your firm will gather data and information departing lawyers – even the ones you and the best way to collect it. The that truly help drive improvements. have asked to leave the firm – to discover most common (and least beneficial) is Sometimes you will learn that there is the real reasons why they are leaving. It a written questionnaire or survey that nothing you could have done to retain the will be eye opening. covers qualitative data in a quantitative lawyer. manner. This works for specific closed- The Why ended questions regarding benefits, office The Who The business justification for doing culture, supervisors, and similar easy-to- Who is the best person in your firm to exit interviews is to learn about and grade topics. Survey questions should be conduct an exit interview? Think about improve systematic, organisational, crafted in a way that asks one variable, to who your lawyers would most likely or interpersonal issues that may be ensure clear interpretation of the answer. respond honestly to during this transition. adversely impacting your firm and its For example: Review your firm’s organisational lawyers. On the softer side, exit interviews A good question, single variable: Did your structure and determine if it should be a can demonstrate to all lawyers that the supervising lawyer give you performance variety of individuals or just one person. firm cares about them, their experience, feedback? Consider someone at the local office level and making the firm a better place to or at the department/practice area level work. A bad question, multiple variables: as the interviewer. Does it make more Did your supervising lawyer give you Feedback from the interviews can sense to move the responsibility to a performance feedback throughout the year drive structural changes and changes human resources person or a professional and for your annual review? in procedures, and can possibly development (“PD”) leader? affect personnel. Some firms use the Creating a survey is a simple process, as Professional development can be information gathered from their exit there are many online resources to help viewed as the most neutral “people” interviews to drive their professional determine question topics and styles. If function, since it resides separate from development programming, which can your firm develops its own online forms, hiring, reviewing, and firing. Many PD further be developed into training series or uses a surveying tool such as Survey professionals are viewed as caring about to address the topic, such as working Monkey, the creation is only limited to lawyers’ wellbeing and career success lunch meetings. To enable the firm to what you think your lawyers will tolerate – whether in their firm or in the legal effectively utilise the feedback gathered, answering. Additionally, keeping it as industry as a whole. Another option is to exit interviews need to be conducted in short as possible while still receiving the consider using a third party to conduct an organised and well-planned manner. information you need will boost departing exit interviews. This includes determining who should lawyer participation. A best practice

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The When to read their body language, so you can Some lawyers make assumptions about There are varying opinions regarding pick up on signs if you have touched a why people leave, so it is important to when an exit interview should be nerve or hit on a sensitive topic. In today’s update your questions to keep in line conducted. You may not have the luxury global world, you might only be able to do with issues facing the legal industry. For of planning the interview ahead of them from a distance. In this case a video example, when work is flat you might be time. Anytime during the last week of conference would be best so you can still the best firm in the world to work for, but employment works well, but try to avoid see the lawyer. Finally, the telephone is lawyers might leave in search of firms the last day. If the lawyer was asked to better than not at all. that can fill their plate. leave the firm, you might inquire if an The Questions The Data exit interview should be offered or not. It is important to develop a standardized What is the best way to share the In most cases even terminated lawyers list of questions that each interviewer will information gathered from exit surveys? can offer valuable feedback about the follow so the answers can later be aligned If you used an electronic survey that workings of an office, practice area, or the by topic. The conversations may digress follows a standardised format year over firm in general. from the original questions, but at least it year, then the most straightforward Consider doing exit interviews with will make it easier to assemble the data if option would be to compile the data into retiring partners, as well. They have seen everyone starts with the same set of core a report. Knowing how many people went the firm change over their career and questions. in-house verses another firm, or that often have unique insights. The timing 17 percent of those departing complained `The best way to open the line of for this should be at their leisure and can about benefits, can be shown graphically questioning is to begin with understanding occur after they have left and have time in a report. You can also take it one step why the lawyer is leaving and where he to reflect. further and identify themes around why or she is going. The “where” is easy – just people are leaving. The How ask. The “why” could be complex. Open When conducting a one-on-one interview, the conversation with questions like: When analysing the notes from the one- start with light discussion to help your • What has led you to this decision? on-one interviews, themes will emerge. People tend to explain similar experiences departing lawyer feel comfortable • Have you felt like leaving for some in different ways, so it is helpful if the answering your questions. Assure the time, or is this recent? lawyer that no negative consequences same analyst reads all the notes. This • Did you talk to anyone at the firm will result from honest discussion during way the analyst can understand the before you made this decision? the exit interview. Though they are leaving overarching themes that emerge when the firm, departing lawyers might hesitate • Were there things happening at work multiple lawyers comment on the same in answering the questions honestly. that made you unhappy? issue, person, office, procedure, etc. • Did you feel your issues were being If your firm supports this, inform the The Report addressed? lawyer that their individual feedback How to report the results should be will not be shared unless it is about • Did you actively look for a new position considered when designing the exit unethical behaviour or behaviour that or did someone contact you? interview process. If a report is pulled harms others or the firm. Let them know The purpose of this line of questioning is from quantifiable data, it can be displayed that you are looking for themes and to uncover the root cause of departure. Is in a graphic or chart. A comparison to are gathering data that will offer areas it truly an amazing opportunity, or were previous years will show if there have for improvement. Be prepared to delve they unhappy at your firm, frustrated with been any improvements or trends year deeper into comments and statements to their career, or a completely unrelated over year. This is key if the firm has get more detail. When asking questions issue? implemented any initiatives based on about why the associate was leaving, a Develop a different line of questions for the data gathered from previous exit PD manager learned that this associate’s partners and associates, as they may have interviews. Including subjective data supervising lawyer spread rumours about different attitudes about their career and gathered from the personal interviews the associate’s work product so that no experiences at the firm. For example, requires more time and effort, but can one else would send work, thus freeing up you can focus questions around career provide valuable information. the associate to always be available for advancement for associates and around The first step to analysing qualitative this particular partner. rainmaking for partners, or questions data is outlining themes gathered Should you do the interviews in person, about origination credits for partners from the interviews. Each set of notes via video conference, or over the phone? and training for associates. Examine your must be read, and sometimes reread, Best case would be in person. You can firm’s culture, policies, and procedures to in order to quantify how many times get a better feel for a person when you determine the types of questions to ask. an issue or person is mentioned. It is are directly in front of them. It is easier the analyst’s responsibility to identify

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consistent themes or, as noted in the example above, tie seemingly unrelated comments into a theme. Displaying 離職面談： themes in a report will be a matter of writing style, as it is challenging to turn them into a graph or chart. For 曝露律師事務所的隱秘 example, you could chart the top reasons why people leave and the percentage 作者 Sharon Meit Abrahams, Ed.D. Director of Professional Development/Diversity of departing lawyers who mention it & Inclusion, Foley & Lardner, LLP(美國佛羅里達州邁亞密) as a top reason. Another way is to list the overarching theme and then to 師事務所的領導層不時在私語，普遍(但效益最小)的方法，是進行問卷或 include quotes without attribution in the document. 律女律師進升至合夥人之前便離書面方式的意見調查，但此舉會將屬於職，主要是基於家庭原因；而其他律師離質性的資料被量化。因此，它們較為適 Deciding on how often to create and submit the report can be tied to the 職，是因為在工作上應付不來。假如你對合提出一些特定的封閉式問題，例如： turnover rate at your firm. Larger firms 這些說法不以為然，現在便是你採取行與員工福利、辦公室文化、上司，及其 typically have higher turnover rates so 動，親自一探實情的時候。你可以邀請快他類似的較易評分題目等有關的問題。 a report twice a year or even quarterly 將離職(甚至是被辭退)的律師與你來一次 might be in order. Smaller firms will 一個好的問題應該只包含一個變項：你面談，以了解他們離職的真正原因，相信 benefit from an annual report. 的上司有沒有給予你任何關於你的工作這必能令你眼界大開。 Determining who will receive the report is 表現的意見回饋？ tied to your firm’s culture. The report can 目的一個不佳的問題，是那些包含多個變項 be sent to the leaders of areas, offices, or 的問題：關於你的工作表現，在整年時 departments that have been identified 離職面談的主要目的，是要了解及改善在間裡，你的上司有沒有給予你任何意見 to have a problem, to firm leaders or to 制度、組織、或人際關係等方面所出現的 both. 問題，從而避免對律師事務所和律師造成回饋，以作為你的年度評核之用？ If there are issues identified in the exit 不利影響。從較柔性的一方面來看，進行進行意見調查並不難，因為現時有許多 interviews that are tied to the business 離職面談，是要顯示給所有律師看，律師網上資源可供運用，協助我們擬訂調查 side of the firm and not the practice side, 事務所是真的在關心他們和重視他們的經的問題和樣式。然而，律師事務所如果 share this information with the COO 驗，並且確有誠意將律師事務所建造成為已為自己設定了網上表格，又或是借助 or equivalent. For example, during an exit interview, a new mother shared her 一個更理想的工作地方。例如Survey Monkey這類意見調查工具， frustration about the insurance company 從離職面談所獲得的意見回饋，能幫助推其調查的內容，便只能局限於你認為將 her firm used. When this information 動律師事務所進行架構變更和程序修正，要離職的律師願意容忍和回答的問題。 was shared with the human resources 此外，在取得所期望取得的資料之餘， department of her firm, they were 亦有可能會影響到人事上的安排。一些我們應該盡量讓問題變得簡短，以提升 dismayed at how she had been treated. 律師事務所會將從離職面談所收集到的資 They took this information seriously 料，運用在推動其專業發展計劃方面。這即將離職的律師的參與程度；而最佳的 and were able to make changes in their 一舉措可進一步發展成為一系列處理有關做法，就是將書面調查的篇幅盡量縮 insurance company relationship. 課題的培訓計劃(例如工作午餐會議)。律小，並以親自面談作為補充，從而讓所 The Secrets 師事務所如果要有效運用離職員工的意見收集到的資料和軼事變得更加豐富。 Exit interviews have the power to uncover 回饋，便需要有組織和有計劃地安排進行進行一對一的離職面談雖然較為耗時， some of your firm’s secrets. While some 離職面談。這包括：決定由誰人負責主持但從中得到的報償也較大。如果貴律師 lawyers may leave to spend more time 離職面談；應向離職的律師提出一些甚麼事務所安排了適當的人選來主持有關的 with their families and some “can’t hack 問題；以及，會如何分享所收集回來的資離職面談，那麼，你們所取得的數據和 it,” you are bound to discover which assumptions are true and which are 料。本文將就如何計劃實行和改進律師事資料，將能真正有助貴所作出改進。有 just excuses that some lawyers want to 務所的離職面談提供若干指引。時你會發現，無論你如何努力，你都是 believe about turnover. Exit interview 無法挽留某一位打算要離職的律師的。 information is a significant first step in 資料蒐集 ensuring that leaders are informed about 你需要確定欲透過離職面談取得一些甚麼人選 what is happening in their firm.n 資料，以及取得該等資料的最佳方法。最貴律師事務所中，誰是主持離職面談的

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最佳人選呢？試想想，在一名律師快將此外，律師事務所也可以安排與即將退休而皇之將該名助理律師留在自己身邊，讓離職前，他會最願意坦誠回答哪些工作的合夥人進行離職面談。這些合夥人在其他只為自己工作。

人員的問題呢？貴所可以考慮指派本地事業生涯中，目睹律師事務所的種種變離職面談是面對面進行，還是透過視像會辦事處、相關部門/執業範疇的人員來主遷，他們因而對律師事務所會有更深入和議或電話傾談較佳呢？最理想的情況，當持有關面談。然而，如果你將責任交給獨特的看法。進行面談的時間，應該盡量然是進行親身面談，因為這可以直接讓你人力資源部門的人員，又或是專業發展遷就他們，甚至可以安排在他們離職以更為仔細地觀察那位就坐在你對面的人，部門的主管，這做法是否更為明智呢？後，使他們能有更充分的時間抒發其個人和更為容易閱讀他的身體語言。在某些事由於專業發展部門與員工的招聘、評核感受。情上，如果你觸碰到他的神經，又或是觸及解聘等職能無關，因此它可以發揮最如何進行及一些敏感話題，你可以透過鑒貌辨色，中性「人員」的職能。專業發展部門的充分地了解他的反應。在今天這個一體進行一對一的面談，應當以輕鬆的話題作人員，許多都被視為關心律師的福利和化的世界，有些事情我們通常都只會透過為引子，使即將離職的律師在回答有關問事業發展(不論是就該律師事務所，還是遠程方式來進行。在這情況下，視像會議題時，不會感到為難。面談的主持者可以就整個法律行業而言)；而另一個可供考亦不失為一個不錯的選擇，因為至少你可向該名律師保證，他在面談過程中所作的慮的選擇，就是以第三者來負責主持有以見到該名律師。在沒有其他選項的情況坦誠表白，將不會為他帶來任何負面後關的離職面談。下，電話傾談是一個無奈的選擇。果。即使律師快將離開目前的工作崗位，面談時間但在回答某些問題時，他們仍可能會有所問題擬訂離職面談應該安排在甚麼時候進行，許顧忌。很重要的一點，是你需要先行擬訂一系列多人對此有不同看法。也許你難以預早如果獲得你的律師事務所的同意，你也可的標準問題，讓每名主持面談的人可以加確定面談的時間，但在該律師離職前的以告訴該名律師，他所給予的個人意見回要遵循。在稍後時間，你可以再將所獲得最後一周內的任何時間都可說是合適，饋，並不會與其他人分享，除非當中涉及提供的答案資料按題目排序。雖然雙方所不過最好避免在他上班的最後一天。不道德行為，又或是涉及對該所或對其他進行的交談可以偏離原來擬訂的題目，但如果該名律師是被貴所解僱，那麼你人造成傷害的行為。一名專業發展部門的如果大家都遵循同一組的核心問題來進行應當先查問一下是否可與他進行離職面經理曾經問及一名助理律師的離職原因，對話，那麼至低限度，將所收集到的資料談。在大多數情況下，即使是被解僱的而他所得到的答案是，該名助理律師的上進行綜合處理會較為容易。

律師，他也可以在辦公室運作、執業範司經常散播謠言，說他的這名下屬工作表最佳的發問方法，是一開始便先了解該名疇，又或是所內的一般情況等方面，給現不佳，以致沒人願意把工作交給這名助律師的離職原因，以及他或她將會轉到哪予有價值的意見回饋。理律師處理。於是，這名合夥人便可以堂兒工作。「往哪裡去？」是一個較易提出

www.hk-lawyer.org 75 • September 2017

的問題，因此可以儘管放心提出；然資料的難度。例如，你可以將員工離職的各而，要問他們「為何離去？」，這問甚麼是將從離職意見調查所收集到的資料項主要理由，以及該些提述其為主要理題便會變得複雜。所以，雙方如果展分享的最佳方法呢？如果貴所每年都是遵由的離職律師的所佔百分比，以圖表方開對話，主持人可考慮提出如以下問循同一種標準格式來進行電子意見調查，式表達出來；而另一個方法，則是將總題：那麼最便捷的處理方法，便是將所收集到體主題列出，然後在文件內載入沒有標 • 是甚麼導致你作出這樣的決定？的資料編輯成冊。倘若你知道有多少名律示原作者的引文。 • 你是否已有好一段日子打算離開？師轉職擔任企業的內部法律顧問；有多少要確定需要多久才編制和提交一次報還是，你是在最近才有此打算？名律師投效其他律師事務所；又或是，在告，須視乎該律師事務所的員工流失率離職的律師之中，有比如百分之十七的而定。規模較大的律師事務所，其員工 • 在你作出這一決定之前，你曾否向人，對律師事務所的福利曾經表示不滿，流失率通常較高，故每半年刊發一次，公司內的其他人提及這事？你都可以透過圖表，將這些資料在報告中甚或是每季刊發一次報告，都可算是合 • 在你任職的期間，你曾否遇到甚麼顯示出來。此外，你也可以採取進一步的適的做法；而規模較小的律師事務所，不愉快的事情？行動，識別員工離職的各項原因。每年刊發一次報告便已經足夠。 • 你認為你所提出的問題曾經獲得處如果我們分析一對一的離職面談紀錄，便要確定該份報告應該分發予哪些人，這理嗎？會發現當中所呈現的各項主題。人們通常須視乎貴律師事務所的機構文化而定。 • 你是否曾經積極地尋找另一個新工傾向以不同的方式來解釋類似的經驗，該份報告可以發給該等被確認出現了問作崗位？抑或是，曾經有其他人主因此由同一位分析人員來檢視所有面談紀題的範疇、辦事處、部門主管，亦可以動與你接觸？錄，這將會帶來較大的幫助。如此一來，刊發給律師事務所的領導層，又或是兩提出這一連串問題的目的，是為了知該名分析人員可以了解到多名律師就同者。悉其離職的根本原因。這是他的一個一問題、人員、辦事處、程序等作出評論面談人員在進行離職面談時，假如發現真正事業發展良機，還是他的確很不時，當中所呈現的各個基本主題。當中有些問題，是屬於該律師事務所的滿意現時的工作環境？他對目前的事事務性範疇，而並非與執業範疇有關，業發展感到氣餒，還是，他的離職原報告該所可以將有關資料提供予他們的營運因與這些全不相關？在訂立離職面談的進程時，我們應當考慮總監或是其他類似的管理人員。例如，如何報導有關結果。如果有關報告是根據由於合夥人和助理律師對於其在律師在進行離職會談的過程中，一位新任母可量化的資料編纂而成，那麼我們可以運事務所的事業發展和經歷，可能會各親曾經談到為該律師事務所提供服務的用曲線圖或圖表來加以表達。我們若將其有不同的取態，因此我們可以為他們保險公司的一些令她感到沮喪的經歷。與過去數年的情況作一比較，便可以看到分別擬訂不同的問題。例如：如果是其後，面談人員向人力資源部門提供了歷年來是否曾有任何改進，又或是呈現了向助理律師提問，你可以將問題的重有關資料，該部門的人員對該名母親的如何的趨勢。如果律師事務所曾經根據以點放在其事業發展方面；但如果是向遭遇感到震驚，並以嚴肅的態度來處理往的離職面談所收集到的資料而採取任何合夥人提問，你可以將問題的重點放所獲提供的資料，以及有效地調整了與舉措，這一點將會十分重要。要將親身面在他們的成功之道方面。此外，你也該保險公司之間的關係。可以問及合夥人在業務開拓方面的成談所收集到的主觀資料包括在內，便需要就，和問及助理律師在培訓方面的需投入更多的時間和精力，但這將可有助取隱秘要。你也可以根據律師事務所的機構得更有價值的資料。離職面談可能會曝露了律師事務所中的文化、政策、程序等，設定需要提問分析質量資料的第一步，就是將從面談所一些隱秘。律師離職的原因，雖然有些的問題類別。蒐集得來的各個主題概括，而每一組的紀可能是為了騰出更多時間與家人相處，有些律師對其員工的離職原因，可能錄都需要加以審視(甚或重新審視)，從而又有些則是因為「應付不來」。但是，會作出一些假設。因此，十分重要將某一問題或某名人士曾被提及多少次你必須尋找出有哪些假設是真實；有哪的一點是：你需要經常更新你所提問等情況加以量化。分析人員的責任是識別些只是律師在面對員工留失時，為自己的問題，使它們緊貼法律行業所正在一些具一致性的主題，又或是正如上述例尋求的辯解。透過離職面談而獲得的資面對的問題。例如，你的律師事務所子所提到的，將一些看來不相關的意見連料，是確保管理層知悉其律師事務所真也許是全球工作條件最佳的律師事務結成為一個主題。要在報告中顯示這些主實情況的重要第一步。n 所，但當工作平淡無奇時，律師仍會題，須視乎撰寫的方式而定，因為要將它因自己的個人需要而轉職他去。們轉化成為曲線圖或圖表，確是具有一定

76 www.hk-lawyer.org KEN ADAMS DRAFTING CLEARER CONTRACTS

Asian Legal Business (ALB) is proud to present internationally • The basics of rigorous contract language and layout renowned contracts expert Ken Adams for one day only in Hong Kong. • Why revising your contract process can improve contract language This hands-on seminar explores how to draft contracts that express deal terms clearly and effectively, saving you time and money, Special offer: FREE BOOK enhancing your competitiveness, and mitigating risk. Rather than Participants will receive a complimentary copy of Ken Adams’s book, simply lecturing, Ken uses interactive exercises, encouraging A Manual of Style for Contract Drafting. The seminar explores issues participation and addressing practical considerations related to the addressed in detail in this one-of-a-kind book that has become a valued drafting process. This seminar is valuable for both junior and senior resource for the legal profession. legal professionals, with tips that apply to all contracts drafted in English, whatever the governing law. Pricing* Early Bird: USD800 (ends 4 August 2017) Target audience Standard Rate: USD1,000 • Lawyers Group price: SAVE ADDITIONAL 20% - Register five participants from • In-house counsel your organisation and the fifth person attends for free. • Paralegals and managers in law firms and corporations *Includes seminar, luncheon, course materials, and Ken Adams’s book. • Contract managers • Anyone who drafts, negotiates, or reviews contracts To register, go to: www.regonline.com/kenadams2017_HK

Benefits of attending Contact for more details: • Practical skills from a global industry leader Siti Hawamah Binte Abu Bakar • The problem with traditional contract language +65 6417 4517 • How efficient contract drafting can benefit your business [email protected]

8.30am • How to distinguish between • Role of the definition section good writing that apply to Registration categories • Using an index of defined terms contract drafting • Why does it matter? 9.00am 12.30pm 3.30pm • The state of contract drafting 10.30am Networking Luncheon Bringing It All Together • Costs and causes of deficient Refreshment Break • Redrafting sample provisions drafting 1.30pm • Goals for the program 10.45am Ambiguity and Vagueness 3.40pm Categories of Contract • Different kinds of ambiguity Effecting Change 9.20am Language, cont. • How to avoid them • The individual The Front and Back of the • How to use vagueness • The organization Contract 11.45am • Title and introductory clause Layout 2.10pm 5.00pm • Function and layout of recitals • How to present sections, Select Usages End of event • Traditional recital of subsections, and enumerated • Problematic words and phrases consideration clauses • Clearer alternatives • Concluding clause • Using Adams’s enumeration • Role of exhibits and schedules scheme 3.00pm • Issues of typography Refreshment Break 10.10am Categories of Contract Language 12.05am 3.15pm • Different categories of contract Using Defined Terms Drafting as Writing language and their function • Two kinds of definitions • Some general principles of

Ken Adams, Author As the leading authority on contract language, Ken Adams has successfully coached people around the world in drafting clearer contracts. His groundbreaking book A Manual of Style for Contract Drafting has sold tens of thousands of copies internationally since it was first published by the American Bar Association in 2004. The Legal Writing Institute has announced that Ken is to receive the Golden Pen Award for 2014, “to recognize his exemplary work in contract drafting.” As part of its “Legal Rebels” project, in 2009 the ABA Journal named Ken one of its initial group of fifty leading innovators in the legal profession. And the ABA Journal included Ken’s blog in its 2013, 2012, 2010, and 2009 “Blawg 100”—its list of the hundred best law blogs. Ken is an adjunct professor at Notre Dame Law School. For more information about Ken and his activities, go to www.adamsdrafting.com. • September 2017

PROFESSIONAL MOVES 會員動向

Newly-Admitted Members 新會員

BOCK MATHIAS FERGUSON ADAM NORMAN DAVID LINKLATERS TIMOTHY BATY ANDREW 年利達律師事務所 ALLEN & OVERY 安理國際律師事務所

CHEN PEI WEN HODGSON RENARD FRANCOIS 陳佩雯 MATTHEW JOHN ALEXANDRE CHRISTIAN ALLEN & OVERY 安理國際律師事務所

CHENG LOH-CHI JIANG JIANMING RUIZ ELEANOR RONALD 蔣健明 RUTH 程樂其 LIPMAN KARAS 立祁律師事務所

CHENG MAN CHUN LAM KA CHUN RYAN STEPHEN WILLIAM 林嘉俊 JOSEPH 鄭文雋 FONG & CO., DAVID COMPETITION PINSENT MASONS 方良佳律師事務所 COMMISSION 品誠梅森律師事務所

DEALY NICHOLAS MURAO TATSUO ATKINS GEOFFREY MICHAEL JOHN 村尾龍雄 CHENG WAI TING UBS AG LI & PARTNERS 鄭慧婷李偉斌律師行 CHENG WILLIAM MAN CHUN 鄭文雋 PINSENT MASONS 品誠梅森律師事務所

78 www.hk-lawyer.org September 2017 • PROFESSIONAL MOVES 會員動向

CHENG XIAOYU Partnerships and Firms 成晓宇 changes received as from 1 July 2017 JUN HE LAW OFFICES 合夥人及律師行變動取自2017年7月1日起香港律師會所提供之最新資料君合律師事務所 CHIA VIVIEN WEI MUN • CHAN SAU KEI • MacGEOCH ANDREW PHILIP BUSHILL ceased to be a partner of Clifford ceased to be a partner of Mayer Brown JSM as 謝慧敏 Chance as from 01/08/2017. from 01/08/2017. C/O STEPHENSON HARWOOD LLP 陳秀姬麥建安 CHING WING HANG 自2017年8月1日不再出任高偉紳律自2017年8月1日不再出任孖士打律師行合夥人一師行合夥人一職。職。程詠恒 LEUNG & LAU • CHIN MICHAEL GEORGE • MOK CHUN HONG joined Simmons & Simmons as a ceased to be a partner of Angela Wang & Co. as 梁寶儀劉正豪律師行 partner as from 10/07/2017. from 31/07/2017. CHOW TUN YIN TONY 陳子熊莫俊康周敦彥自2017年7月10日加入西盟斯律師行自2017年7月31日不再出任王培芬律師事務所合夥為合夥人。人一職。 LATHAM & WATKINS 瑞生國際律師事務所 • FUNG YUK LIN CATHERINE • MONAGHAN PHILIP FRANCIS ceased to be a partner of Wong, joined O’Melveny & Myers as a partner as from CHU JANICE Fung & Co. as from 15/07/2017. 01/08/2017. 朱嘉儀馮玉蓮自2017年8月1日加入美邁斯律師事務所為合夥 KWOK YIH & CHAN 自2017年7月15日不再出任黃馮律師人。行合夥人一職。郭葉陳律師事務所 • NG YIM HUNG • HARVEY MARC PETER became a partner of Tong & Lawyers 01/08/2017. CHU KWOK LEUNG ceased to be a partner of Linklaters 吳艷紅朱國樑 as from 20/07/2017 and remains as 自2017年8月1日成為湯氏律師事務所合夥人。 CHU CHARLES & KENNETH SIT a consultant of the firm. • SWEENEY AUSTIN GERARD 朱嘉楨, 薛海華律師行自2017年7月20日不再出任年利達律師事務所合夥人一職，而轉任為該行 ceased to be a partner of Herbert Smith Freehills COLLESS NATHAN HENRY 顧問。 as from 01/08/2017. 自2017年8月1日不再出任史密夫斐爾律師事務所 ALLEN & OVERY • HORMAN MICHAEL JAMES 合夥人一職。安理國際律師事務所 ceased to be a partner of Baker & McKenzie as from 08/07/2017. • TANG BOON YAN HENRY CRONIN DAMIEN PAUL 自2017年7月8日不再出任貝克‧麥 became a partner of Chan, Evans, Chung & To as 堅時律師事務所合夥人一職。 from 01/08/2017. LEUNG TSEE MING JOHANNA 鄧本仁梁賜明 • HUANG XUHUA 自2017年8月1日成為陳伊鍾杜律師行合夥人。 LINKLATERS ceased to be a partner of King • WANG LUK CHLOE 年利達律師事務所 & Wood Mallesons as from 01/08/2017. joined Benny Pang & Co as a partner as from LI LILLIAN 黃緒華 11/07/2017. 李昕自2017年8月1日不再出任金杜律師王露事務所合夥人一職。自2017年7月11日加入Benny Pang & Co為合夥人。 HOGAN LOVELLS 霍金路偉律師行 • INDWAR SUMIT • WARDE CONOR THOMAS joined Linklaters as a partner as from ceased to be a partner of Clyde & Co. as from ON SILVIA 11/07/2017. 01/08/2017. 安思怡自2017年7月11日加入年利達律師事自2017年8月1日不再出任其禮律師行合夥人一務所為合夥人。職。 RABINOWITZ LOUIS ABRAHAM • WONG TSZ SANG LATHAM & WATKINS • LINNING ALAN HUGH ceased to be a partner of Sidley ceased to be a partner of Fairbairn Catley Low & 瑞生國際律師事務所 Austin as from 22/07/2017. Kong as from 27/07/2017 and joined K.W. Wong & T.S. Wong as a partner as from 04/08/2017. RAU STUART ALEXANDER 李顯能自2017年7月22日不再出任盛德律師汪子生 ALLEN & OVERY 事務所合夥人一職。自2017年7月27日不再出任范紀羅江律師行合夥人安理國際律師事務所一職，並於2017年8月4日加入黃嘉慧汪子生律師 • LIU SWEE LONG MICHAEL 事務所為合夥人。 WONG CAROLYN SHEAU CHYN ceased to be the sole practitioner of 王晓琴 Cadwalader, Wickersham & Taft as • WONG YAN MAN WALTER from 31/07/2017 and the firm closed ceased to be a partner of K.Y. Lo & Co. as from WONG HOI YI VENUS on the same day. 15/07/2017 and remains as a consultant of the 黃凱怡劉瑞隆 firm. 王人文 OR & PARTNERS 自2017年7月31日不再出任凱威萊德自2017年7月15日不再出任勞潔儀律師行合夥人一柯廣輝律師事務所律師事務所獨資經營者一職，而該行亦於同日結業。職，而轉任為該行顧問。

www.hk-lawyer.org 79 • September 2017 Turning a Slumbering Passion into a Second Career: A Conversation with Mark Roberts, Lawyer-turned-Painter By Cynthia G. Claytor

n 1977, Mark Roberts left England Here, Mr. Roberts speaks to Hong discipline, patience (a lot of that quality), Ito join Deacons as a newly-qualified Kong Lawyer about his life-long love practise and hard work. shipping lawyer. Mr. Roberts specialised for painting and watercolours and his in shipping litigation cases dealing with decision to swap billable hours for a 3. Why have you chosen cargo claims, marine insurance matters, painter’s palette. watercolour as your primary charterparty disputes and acting for medium? Any other mediums banks in ship mortgage enforcement 1. What prompted you to retire that you enjoy or dabble in? work. In 1994, he was appointed from the law in 2004 and For as long as I can remember, I have Managing Partner and in 2000 become a full-time artist? drawn or painted. I think I may have became Senior Partner of Deacons. In 2004, I had just completed 30 years even won a school art prize sometime in as a lawyer and although I fully enjoyed the last century. To my mind, watercolour In 2004, after having practiced for my legal career, I believe that life is too has a translucent quality (which one 30 years, he decided to become a full- short to limit oneself to just one pursuit. cannot find in other media) which can time artist, painting almost exclusively Luckily for me, I was financially secure convey a very wide range of colour and in watercolours, which is the medium and was in a position to retire and pursue atmosphere in a painting. There are he believes best portrays the essence my passion for painting. I am not sure I a huge range of techniques, which a of landscapes and seascapes in Hong would want to try and make a living as an watercolourist has to master including Kong. Since embarking on his second artist, which must be incredibly difficult. washes, wet on wet, lost and found, professional career, Mark has held three tonal values to name but a few. Having one-man exhibitions in Hong Kong 2. Do you see any parallels painted exclusively in watercolour for and one one-man exhibition in London between how you approach the past 40 years, I am, however, now and has also jointly exhibited in seven your work as a full-time artist endeavouring to paint in oils, which is exhibitions with the Hong Kong-based and how you approached your a new but exciting challenge for me as artistic group, Artists Abroad. He also career as a lawyer? oils do require a different approach and published a book of his watercolours One might not think that there are any technique. entitled “My Hong Kong” in 2013. parallels but I would say both require

80 www.hk-lawyer.org September 2017 • LAWYERS AT LEISURE 律師閒情

matter that one finds in Hong Kong. I have When I first arrived in Hong Kong in travelled the length and breadth of Hong 1977, I discovered the work of George Kong and have discovered myriad views, Chinnery, who inspired me to take up landscapes, seascapes, villages, buildings, painting again which sadly had lapsed temples, etc. crying out to be captured whilst I was qualifying as a lawyer. in watercolour. I spend a lot of time initially analysing a particular scene 10. Have you received any to assess whether the subject matter formal training or did you gets my creative juices working but just learn how to paint on your occasionally I see a scene, which I know own? instinctively will make a good painting. It I am almost entirely self-taught is then a case of identifying the right although I have attended the occasional composition and the atmosphere that one art class. I have found that there is little wishes to try and capture. substitute for just getting stuck into the process of painting and learning 6. Has your style changed over from your mistakes – sadly you have to the years? accept there will be many of these over Not really. I would like to think that my the years. work has improved since I decided to devote myself full time to being an artist, 11. What do you hope to convey but I would say my watercolour style has or add with your works? not really changed. How do you pick what you will paint? 7. What do you believe is a key A few years ago, I was stopped in the element in creating a good street by another lawyer, who told me composition? that he had been at a friend’s house For me there are a number of key and enquired of his friend whether the elements, which include placing of painting on the far wall was a “Mark the horizon, placing of subject matter Roberts”? To have someone identify convincingly within the composition, my work made my day! To have a style 4. What is the most challenging scale, perspective and balance. Ideally of work, which is identifiable as one’s part about working with one would like to draw the viewer’s eye own, is an artist’s dream. In Hong Kong, watercolours? What is the into the painting, through the painting I certainly try and pick subjects such as best part? and then out of the painting at a different old Chinese temples, old buildings or It is rather easy to make mistakes in location. If one can achieve this, then it will old village houses, which I fear may be any form of painting with watercolour considerably improve the attractiveness of demolished. By painting these subjects, perhaps being the most unforgiving. the composition. I hope to preserve their image for future generations. Mistakes tend to be fatal in so far that 8. What about painting and art they cannot generally be corrected. most resonate with you? 12. What has been the proudest Probably the most challenging aspect of What’s its main attraction or appeal? I moment for you in your watercolours is capturing the right light artistic career? and shadow in a painting. However, consider myself extremely fortunate to when you achieve a certain effect in have some ability to draw and paint. To In 2013, I published a book entitled watercolour such as a granulated wash start with a blank piece of paper and My Hong Kong, which contains over or a blend of mixed colours on paper it is over a few days (or sometimes weeks) 120 images of my paintings of Hong very rewarding. Sometimes you have a transform this blank white space into Kong and which took me 10 years happy accident when you think how on a finished watercolour gives me a to complete. I am very proud of earth did I achieve that effect? tremendous sense of achievement. I never this book, which I hope provides an tire of this creative process. overview of our amazing city and its 5. What is your creative process environs. I am also a proud member of like? 9. Which artists do you draw Artists Abroad, who exhibit every year inspiration? Different artists have different at the Rotunda. n approaches to creativity but for me, I am I love the watercolours of the great JMW inspired by the huge diversity of subject Turner but he is in a league of his own.

www.hk-lawyer.org 81 • September 2017

興趣轉為第二事業：專訪由律師轉行為畫家的Mark Roberts

作者 Cynthia G. Claytor

977年，Mark Roberts離開了英國， 1加入了的近律師行擔任新手船務律師，專門處理貨物索賠、海事保險、租船糾紛的訴訟，並代理銀行進行船舶抵押的執法工作。1994年，他被任命為執行合夥人，並於2000年成為的近律師行 1. 甚麼促使你在2004年退職法律高級合夥人。界，成為全職藝術家？經過30多年的努力，他在2004年決定 3. 你為何選擇水彩為主要媒介？你 2004年，我擔任律師剛滿30年，雖然我轉為全職藝術家，幾乎只畫水彩畫，他喜歡或嘗試過其他媒介嗎？完全享有我的法律事業，但我相信人生認為這個媒介最能描繪香港的水陸景苦短，無須局限自己在單方面發展。幸自我有記憶以來，我就在畫畫了。我記得觀。Mark開始第二事業後，曾在香港舉運地，我的財務穩健，有能力退休追求我甚至可能在上個世紀贏過學校的美術行了三次個人畫展，在倫敦舉辦了一次對繪畫的熱愛。以當藝術家為生，我或獎。在我看來，水彩具有半透明的特質( 個人畫展，並曾與香港藝術團體Artists 許不想嘗試，因為這必定困難極了。這是在其他媒介找不到的)，可以在畫中 Abroad合辦了七場畫展。他於2013年出傳達非常廣泛的色彩和氣氛。水彩畫家必版了一本名為《My Hong Kong》的水彩 2. 你覺得全職藝術家的工作方式，須掌握大量技巧，包括渲染、濕上濕、軟畫冊。與律師的事業有何相似之處？硬邊和色調值等等。過去40年來我只以 Roberts先生向《香港律師》詳談他對繪人們可能不會認為有任何相似之處，但水彩作畫，但現在我正試著畫油畫，這對畫和水彩畫的終身愛好，和放棄律師工我會說兩者均要求紀律、耐心(非常耐心) 我來說是個令人興奮的新挑戰，因為油作轉行做畫家的決定。、練習和努力。畫需要不同的方法和技巧。 4. 畫水彩畫最具挑戰性之處是甚麼？最好之處又是甚麼？任何形式的繪畫均很易犯錯，水彩畫尤甚，而且錯誤往往無法糾正。水彩畫最有挑戰性之處，或許是在畫中捕捉正確的光線和陰影。然而，當你在水彩畫中達到某種效果時，如渲染或混色，會很有成功感。有時會有意外驚喜，你會想：我是怎樣做到這個效果的？

5. 你的創作過程是怎樣的？藝術家各有不同的創作方法，我受香港多元化的題材啟發。我已走遍香港各地，發現了無數水陸景觀、村莊、建築物、寺廟等等，都是水彩畫的上佳題材。我花了很多時間，首先分析特定的場景，看看題

82 www.hk-lawyer.org September 2017 • LAWYERS AT LEISURE 律師閒情

10. 你受過任何正式訓練嗎？還是自學成師？我幾乎完全是自學的，雖然我偶爾上過藝術課。我發現，不斷投入繪畫，從錯誤中學習，幾乎是不二法門。可悲的是，你必須接受過程中會不斷出錯。

11. 你希望透過作品傳達或增加甚麼？你怎樣選擇繪畫題材？幾年前，我在街上被另一位律師攔住，他告訴我，他在朋友家裡問朋友牆上那幅畫是否Mark Roberts的作品？有人認出我的畫作，令我開心一整天！擁有讓別人認出的畫風，是藝術家的夢想。在香港，我一定會嘗試挑選古老廟宇、古舊建築、老房子等題材，因為我恐怕它們可能會被拆除。通過繪畫這些主題，我希望能為後代保留它們的印象。

12. 你在藝術生涯中最自豪的時刻材是否能激起我的創意，偶爾看到一個 9. 你的靈感來自哪些藝術家？是？ 2013年，我出版了一本名為《My Hong 場景，我就本能地知道將會畫出一幅好我喜歡偉大的JMW Turner的水彩畫，他 Kong》的書，當中包含了120多幅我以香畫。那樣就要嘗試捕捉正確的構圖和氣別具一格。1977年我初到香港時，發現港為主題的畫作，花了10年時間才完成。氛。了George Chinnery的作品，我為了律師我為這本書感到非常自豪，我希望它能展 6. 多年來你的風格有何變化？資格久未拿起畫筆，他啟發了我再次開示我們的城市環境。我也是Artists Abroad 始畫畫。沒有大變化。我認為我的畫作有所改的成員，每年都在中環交易廣場展覽區展進，因為我決定了當全職藝術家，但我出。n 的水彩風格沒有大變化。

7. 你認為創作的關鍵因素是甚麼？我認為有一些關鍵因素，包括視平線佈局、題材佈局、構圖、比例、透視、平衡等等。在理想情況下，畫家希望從觀眾視角作畫，穿過畫作，然後在不同的位置跳出畫作。如果可以實現這一點，構圖的吸引力將大大提高。

8. 繪畫和藝術甚麼令你最有共鳴？它的主要吸引力是甚麼？我自覺非常幸運，有一定的繪畫能力。從一張白紙開始，幾天(或幾個星期)，將這片白色空間變成一幅完整的水彩畫，為我帶來巨大成就感。這個創作過程從不使我厭倦。

www.hk-lawyer.org 83 • September 2017

LEGAL TRIVIA #41

Hong Kong has a bilingual legal system. But, in fact, remnants of a third language, Latin, can still be heard in the courts and can find their way into judgments and submissions. This month, we test readers’ knowledge of arcane Latin terms. We ask readers to remember quidquid latine dictum sit altum viditur. The questions have been prepared by Douglas Clark, Barrister. Suggestions for questions to appear in next month’s journal are most welcome.

1. What is the literal translation of res ipsa loquitur? 7. What does the phrase non est factum mean? A. The action is so located A. The fact has not been proved B. The thing speaks for itself B. No is a fact C. Obviously negligent C. It is not my deed 2. In order to be found guilty of most criminal 8. If a judge suggests to you an argument is a tabula in offences it is necessary for the accused to have naufragio? had both the actus reus and what? A. She is complementing your ingenuity A. Mala advocatus B. She thinks your argument is hopeless B. Morbus animi C. She is asking to you prepare a table setting out your grounds C. Mens rea 9. When a judicial officer isfunctus officio, it means: 3. What does “inter alia” mean? A. He has officially taken up his duties A. Among other things B. He has died in office B. Among all C. He no longer has power to deal with a matter C. Between allies 10. What does habeas corpus literally mean? 4. When a hearing is held in camera, it is: A. That you have the body A. Held in public B. Produce the body B. Held in private C. Show the corpse C. Televised 5. What does the Latin word lex mean? A. King B. It is short for Lexington, a Roman Emperor. C. Law 6. In what area of the law is the Latin maxim animus Answers to Legal Trivia Quiz #40 possidendi used? 1. C. Prior to the handover in 1997, the official title of the Director of Public Prosecutions was Crown Prosecutor, although he was almost invariably referred to as the DPP. A. Animal protection laws 2. B. The DPP is not required to be a senior counsel (or Queen’s Counsel). B. Land law 3. B. Warwick Reid was convicted of having unexplained assets. C. Shipping law 4. A. True. In the 19th Century the Attorney General of Hong Kong was permitted to accept private cases. Contest Rules: 5. A. Private prosecutions may be brought for all offences in Hong Kong. To be eligible to win a bottle of Ch. La Croizille 2007 from 6. C. Prior to the handover in 1997, public prosecutions were brought in the name of the Queen (or King). Global Vintage Wines Centre, please send your quiz question answers to [email protected]. The first 7. C. The Australian prosecutors in Hong Kong in the 1980s were referred to as the Gumleaf reader to respond with the most correct answers, with no more Mafia. than 3 incorrect responses, will be deemed 8. B. Four Hong Kong DPPs have become High Court Judges (Duffy, Findlay, Nguyen and the winner. The decision Zervos JJ). of Thomson Reuters 9. D. Lay prosecutors are still permitted to prosecute cases in the Magistrates’ Court. regarding the winner is 10. C. David Perry QC was the lead prosecutor of Donald Tsang. final and conclusive.

Correction to Answers to Legal Trivia Quiz #39 10. C. Jury trials are not available in civil proceedings for sedition.

84 www.hk-lawyer.org September 2017 • LEGAL TRIVIA QUIZ 法律知識測驗

法律知識測驗 #41

香港擁有雙語法律制度，但事實上，第三語言拉丁語仍可在法庭上聽到，在裁決和陳詞中看到。本月的測驗測試讀者的拉丁語知識。請記住：quidquid latine dictum sit altum viditur。問題由馬錦德大律師編製。歡迎建議下期問題。

1. res ipsa loquitur直譯是甚麼？ 6. 拉丁語格言animus possidendi 用於甚麼範疇？ A. The action is so located(行動位置在此) A. 動物保護法 B. The thing speaks for itself(不言而諭) B. 土地法 C. Obviously negiligent(明顯疏忽) C. 船務法

2. 被判刑事犯罪，被告必要同時具備actus reus和什 7. non est factum是甚麼意思？麼？ A. 尚未證實 A. Mala advocatus B. 並非事實 B. Morbus animi C. 非我訂立的契約 C. Mens rea 8. 如法官說你的論據是tabula in naufragio? 3. inter alia是甚麼意思？ A. 她在讚賞你的聰明才智 A. 其中包括 B. 她認為你的論據無望 B. 在全部之中 C. 她要求你表列出論據 C. 在盟友之間 9. 司法人員是functus officio指： 4. 聆訊in camera進行，代表： A. 他已經正式履行了職責 A. 公開進行 B. 他在任內逝世 B. 閉門進行 C. 他再無權力處理這個問題 C. 電視轉播 10. habeas corpus直譯是甚麼意思？ 5. 拉丁字lex的意思是甚麼？ A. That you have the body(你有身體) A. 皇帝 B. Produce the body(生產身體) B. 是羅馬大帝Lexington的簡稱 C. Show the corpse(出示屍體) C. 法律

法律知識測驗#40的答案 1. C. 1997年回歸前，刑事檢控專員的正式職銜為皇家檢控官，但他大多被稱為刑事檢控專員。競賽規則： 2. B. 刑事檢控專員不須一定為資深大律師(或英國御用大律師)。讀者如欲贏取一瓶由Global Vintage Wines Centre提供的 3. B. Warwick Reid被判管有來歷不明財產。 2007年Ch. La Croizille葡萄酒，請將問題答案寄交 4. A. 是。在19世紀，香港律政司獲允許受理私人案件。 [email protected]。 5. A. 在香港，所有罪行均可以私人名義提出檢控。首位能提供最多正確答案(答錯的題目不得多於三題)的讀者將成 6. C. 1997年7月1日回歸前，公訴在香港是以英女皇(或英皇)的名義提出。為優勝者。湯森路透就得獎者所作的決定是最終及不可推翻的。 7. C. 80年代香港多位來自澳洲的檢控官被稱為the Gumleaf Mafia。 8. B. 四位香港的刑事檢控專員成為了高等法院法官(Duffy、Findlay、Nguyen 及Zervos JJ) 9. D. 非專業檢控主任可在裁判法院進行檢控工作。 10. C. David Perry QC 是曾蔭權案的主控官。

更正法律知識測驗#39的答案 10. C. 陪審團審訊不適用於煽動叛亂的民事訴訟。

www.hk-lawyer.org 85 • September 2017 CAMPUS VOICES 法學院新聞

CUHK Law Hosts a Summer Workshop for Prospective PhD Candidates From 7–11 August 2017, the Faculty of Law of The Chinese University of Hong Kong hosted a PhD Candidate Summer Workshop on its Shatin campus. Introduced in 2015, the Summer Workshop provides a unique opportunity for prospective students from different jurisdictions and areas of interests to experience life in Hong Kong and look into the possibility of doing a PhD at CUHK Law. This year a dozen individuals were selected to participate in the programme, including those who are earning, or have earned, degrees from institutions such as Harvard University, King’s College London, Leiden University, London School of Economics, National Research University Higher School of Economics, the University of Glasgow, and the University of Oxford. The five-day workshop was kick-started by a series of warm-up activities and meet-and-greet sessions, where participants met with the professors A diverse and outstanding group of individuals gather to learn about the and current research students of CUHK Law. During the programme, prospects of doing a PhD at CUHK Law. 多元出眾的準博士生了解在中大法律學院修讀博士學位的前景。 participants gained insights on drafting a successful research proposal and the career prospects of a PhD candidate through a number of thematic seminars and workshops. They also had the chance to tour the 中大法律學院為準博士生舉辦夏季研習班 CUHK campus, Hong Kong’s High Court and Hong Kong itself. At the end of the workshop, participants presented and received helpful feedback 香港中文大學法律學院於2017年8月7日至11日，在 from CUHK law professors and PhD students on their draft research 沙田校園舉辦了準博士生夏季研習班。夏季工作坊自 proposals. 2015年起舉辦，為來自不同司法管轄區、興趣範疇不同的準學生體驗香港生活的獨特機會，和了解在中大法律學院修讀博士學位的可能性。今年有十多位學生獲選參加，包括在哈佛大學、倫敦國王學院、萊頓大學、倫敦經濟學院、俄羅斯高等經濟研究大學、格拉斯哥大學和牛津大學修讀學位或已取得學位的學生。

為期五天的研習班以一系列熱身活動和見面環節揭開序幕，參加者與中大法律學院教授和現任研究生互相認識。在活動期間，參與者通過專題研討會和研習班，學習如何起草成功的研究計劃，了解博士生的事業前景。他們也參觀了中大校園和香港高等法院，也在香港觀光。研習班結束時，參加者介紹他們的研究計劃，由中大 Participants and student ambassadors interact with each other during the warm-up activities. 法律學院教授和博士生提供反饋。參加者和學生大使在熱身活動期間互相交流。

86 www.hk-lawyer.org September 2017 • CAMPUS VOICES 法學院新聞

The CUHK Faculty of Law PhD Candidate Summer Workshop is co-sponsored 中大準法學博士夏季研習班由中大法律學院及中大 by CUHK Law and CUHK Graduate School. Each year, 10–20 promising men 研究院聯合主辦。每年有10至20名學生獲選中來 and women are supported to fly to Hong Kong to take part in this stimulating 港參加這個為期一周的精彩活動。 one-week programme.

Prof. Gregory Gordon (middle) leads a breakout session whereby participants are divided into small Prof. Bryan Mercurio (left) speaks to the participants after giving a seminar groups to meet with CUHK law professors of similar research interests. on “Writing a Complete Research Proposal”. Gregory Gordon教授(中)領導一個分組會議，參與者分為小組與研究興趣相似的中大法律教授會面。 Bryan Mercurio教授(左)在「撰寫完整的研究計劃」工作坊後與參加者交流。

CityU Held Closing Ceremony for the 7th Master of 城大舉行第7屆「中國法官法學碩士」 Laws Programme for Chinese Judges 課程結業典禮 On the afternoon of 3 July 2017, CityU successfully held the Closing Ceremony 香港城市大學第7屆「中國法官法學碩士」課程結業 for the 7th Master of Laws Programme for Chinese Judges. Officiating guests 典禮於2017年7月3日下午順利舉行。是次典禮的主 of the Ceremony included Prof. Huang Yongwei, President, National Judges 禮嘉賓包括：國家法官學院院長黃永維教授、城大 College; Prof. Way Kuo, President and University Distinguished Professor, 校長及傑出教授郭位教授、香港特別行政區政府行 CityU; The Hon. Martin Liao Cheung-kong, Non-Official Member of Executive 政議會非官守議員廖長江先生、香港法律政策專員 Council, The Government of the HKSAR; Mr. Wesley Wong SC, Solicitor 黃惠沖資深大律師，中央人民政府駐香港特別行政 General, Department of Justice, The Government of the HKSAR; Mr. Liu 區聯絡辦公室法律部副部長、巡視員劉春華先生、 Chunhua, Deputy Director-General, Counsel, Department of Law, Liaison Office of the Central People’s Government in the HKSAR; Mr. Paul Lam SC, 香港大律師公會主席林定國資深大律師、香港律師 Chairman, The Hong Kong Bar Association; Mr. Thomas Shiu Tsung So, 會會長蘇紹聰先生、黃乾亨黃英豪律師事務所首席 President, The Law Society of Hong Kong; Dr. Kennedy Wong BBS, LLD, DCL, 合伙人黃英豪博士、中國法律服務(香港)有限公司 JP, Managing Partner, Philip K H Wong, Kennedy Y H Wong & CO.; Mr. Du 董事長杜茂先生、城大法律學院院長及商業法講座 Mao, Chairman of the Board, China Legal Service (H.K.) Ltd.; Prof. Geraint 教授賀嘉倫教授及城大司法教育與研究中心主任及 Howells, Dean and Chair Professor of Commercial Law, School of Law, CityU; 法律學院副院長林峰教授。 and Prof. Lin Feng, Director, Centre for Judicial Education and Research & 賀嘉倫教授致辭歡迎現場的各位嘉賓。他肯定法官 Associate Dean, School of Law, CityU. 畢業生在過去一年取得的學習成績，並祝福他們在 Prof. Geraint Howells delivered the welcoming speech at the Closing 回到內地工作崗位後能夠取得更大成就。 Ceremony. He recognised the judge students’ achievement in the past year of study and wished them every success after returning to their position in 黃永維教授認為，即將從城大畢業的23位法官學員 mainland courts. 是中國內地年青法官的優秀代表。城大的法官碩士 Prof. Huang Yongwei said the 23 Chinese judge students are outstanding 課程令他們在事業上更具競爭力。 representatives of the young judges in Mainland China. The CityU LLM brings 郭位教授祝賀法官學員們成功完成學業，並勉勵他 a strong advantage to their profile and prospects for their career. 們處理每宗案件均須堅守嚴格紀律。

www.hk-lawyer.org 87 • September 2017

Offering his congratulations to the graduands, Prof. Way Kuo urged them to 黃惠沖資深大律師認為，這23位法官畢業後將面 exercise self-discipline in handling every case at work. 對更多的挑戰和更高的期許，希望他們能夠不負使 Mr. Wesley Wong said that from now on, the path lying ahead for them would 命。 forever be different, because what is expected of them is now different. 中聯辦法律部副部長劉春華先生表示，對於23名 Mr. Liu Chunhua said it was not an easy decision for the 23 Chinese judges 法官學員來說，下決心赴港修讀普通法碩士課程實 to return to the campus and study common law in an English environment. 屬不易，尤其是要在英語環境中學習。在港學習期 They have manifested the evolution of the rule of law in China and built up a 間，這些法官學員大力宣傳了國家法制化建設的發 positive image of mainland judges in Hong Kong. 展，亦樹立了中國內地法官良好的形象。

In Mr. Paul Lam’s view, there are three reasons why the Chinese Judges 林定國資深大律師認為中國法官課程對中港兩地的 Programmes are significant for both Hong Kong and the Mainland: first, they 意義和影響主要體現在以下三個方面：(一)課程增進 promote mutual trust and understanding in the two legal systems; second, 了兩個司法系統間的相互理解和認識；(二)在一帶一 in the context of the Belt and Road Initiative, training on common law for 路戰略背景下，具備普通法知識的中國法官隊伍有 Chinese judges gives confidence to countries in common law jurisdiction to participate in the Initiative; third, Chinese judges play a very important role in 助於增強一帶一路沿線普通法國家參與的信心；(三) promoting the rule of law and the judicial reform in China. 中國法官在推進當前中國法制化建設和司法體系改革將發揮重要的作用。 Mr. Thomas So shared his impression on the difference between Hong Kong’s judicial system and that of the Mainland. He noted that both systems 蘇紹聰律師就香港和大陸兩個司法體系的認識和比 are unique and there is a lot that we can share with each other. The Master 較作分享。他認為兩者都是獨特的法律體系，值得 of Laws Programme for Chinese Judges is successful in promoting and 互相借鑒。中國法官法學碩士課程有效地推動了兩 facilitating mutual trust and understanding in the two legal systems. 地的司法交流和相互理解。

Dr. Kennedy Wong said the 23 Chinese judge students are among the best. 黃英豪博士稱讚這23位法官畢業生是精英之中的精 Although the “One Country, Two System” policy has been successful in the 英。香港回歸20年，「一國兩制」方針逐見成效， past 20 years, there is still much work to do and more interactions between 但未來仍有很長的路要走，兩地法律人才的有效交 legal talents in the two systems will be vital. 流乃必不可缺。 Mr. Du Mao thought CityU’s high-quality legal education had become an important part of the legal training for judges in the Mainland. 杜茂先生認為城大的高質量法律教育，已成為內地法官法律訓練的重要部份。 Judge Liang Ying said the Programme had not only equipped her with a good understanding in the logic of common law system, but more importantly, the 梁穎法官發言時認為，「中國法官法學碩士」課程 one-year study has given her insights in her career to pursue excellence. 不僅讓她學會了普通法的思考邏輯。一年的學習令 Prof. Lin Feng wished the graduands could become a bridge between 她準備好在事業上爭取成就。 different legal systems through mutual understanding and rational 林峰教授寄語全體畢業生，希望他們成為促進中港 communication and concluded the Ceremony with a vote of thanks. 兩地甚至中外法律相互認識、理性溝通的橋樑。

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Employment Capital Markets Arbitration 1-3 PQE Hong Kong 2-5 PQE Hong Kong 5+ PQE Hong Kong Outstanding opportunity for a junior lawyer A truly challenging opportunity for an ambitious Stellar opportunity for a common law qualified to work alongside a highly regarded partner junior/mid level lawyer with solid capital mid-level lawyer to join this market leading, in a collegiate team for on a range of matters markets experience. Your work will focus on a globally recognised arbitration practice of this for leading clients. If you are not currently range of sizeable IPO transactions and equity UK firm, as it continues to go from strength to focusing on employment law you must be able offerings. You will possess indepth knowledge strength. You will work on a mix of litigation and to demonstrate good exposure and a genuine in HK listing rules as well as fluency in both complex and high profile arbitrations alongside a passion in this practice area. HKL4655 Cantonese and Mandarin. HKL4243 reputable partner in a regional practice. HKL4029

Commercial Litigation/ Insolvency Derivatives and Structured Finance Banking & Finance 4+ PQE Hong Kong 2-4 PQE Hong Kong 3-5 PQE Hong Kong This leading firm seeks an associate to This top tier practice seeks a lawyer to join Excellent opportunity for an associate to work on a range of litigation, restructuring their market leading international practice. join a market leading practice. You will work and insolvency matters involving offshore, You will work with highly regarded partners on general banking and leveraged finance structures and issues. This opportunity is great and be exposed to a wide range of structured matters for PE sponsors and corporate fir anyone relocating to the region and is also finance and derivatives transactions, including borrowers and be exposed to lender side open to barristers and those without Chinese repackagings, total return swaps, CLOs, CDOs mandates with international investment language skills. HKL4380 and also OTC derivatives. HKL4231 banks. HKL4338

M&A/PE Employment Dispute Resolution 3+ PQE Hong Kong 3-5 PQE Hong Kong 5+PQE Hong Kong Premier practice seeks a mid level associate Excellent opportunity for an litigator with solid This globally recognised premier law firm has looking for a broad mix of work. You will employment law experience keen to join this an excellent disputes practice, due to increased work for highly regarded partners on a range market leading practice. You will join a collegiate work they are seeking a common law qualified of complex M&A, Private Equity and Cap team and work on complex matters across a range senior litigator with solid commercial litigation Market transactions for premier clients in of issues such as incentives, pensions, benefits, experience to work on a range of general a rewarding environment with manageable recruitment, termination as well as privacy laws commercial litigation and contentious regulatory working hours. Mandarin essential. and retirement fund schemes. Chinese language matters and more. Mandarin preferred but not HKL4050 skills desirable. HKL4654 essential. HKL4414

Funds Commercial Litigation Capital Markets 1+ PQE Hong Kong 2+ PQE Hong Kong 4+ PQE Hong Kong/Beijing This eminent firm seeks a lawyer to join their Our client seeks a junior associate to join their A top-tier International law firm with a practice to work for high profile clients on a exceptional team. This practice specialises in prestigious corporate practice seeks an variety of private investment funds, including litigation matters that are high in profile, value and experienced corporate lawyer. You will private equity, real estate, hedge funds, venture complexity, and has particular expertise in multi- have solid exposure to inbound & outbound capital, mezzanine funds and distressed jurisdictional disputes, including employment investments. IPO experience will be an added asset funds as well as funds-of-funds and law, regulatory investigations, trust related claims advantage. Chinese language skills essential. secondaries. Mandarin needed. HKL4308 and shareholder disputes. HKL4580 HKL4219

M&A/Private Equity Funds Capital Markets 2-6 PQE China/Hong Kong 5+ PQE China/Hong Kong 3-6 PQE Beijing New opportunity for mid to senior U.S. qualified This truly top tier international firm is seeking a Given the growth of their practice in China, a associate who keen to develop their career in mid-level funds associate to join their growing truly excellent opportunity is available for a junior Asia. The ideal candidate will have experience practice. You will work for high profile clients lawyer with capital markets experience to work in Private Equity/ Merger & Acquisition work. on a variety of private investment funds. Solid on sizeable IPO transactions and equity offerings. Experience from a premier US law firm a distinct exposure to fund formation is highly beneficial. You will ideally be a PRC qualified lawyer with US advantage. Mandarin language skills preferred. You will be admitted to the NY bar with native qualifications as an added advantage. Mandarin is HKL4331 level Mandarin skills. HKL4269 compulsory. HKL4222

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

[email protected] or [email protected] www.atticus-legal.com MICHAEL PAGE LEGAL SPECIALISTS IN LEGAL RECRUITMENT

MEET THE TEAM FINANCIAL SERVICES COMMERCIAL PRIVATE PRACTICE

Michael Page Legal services major corporates, international and leading local law firms, as well as financial services institutions on a global scale. Our consultants Legal Counsel Senior Legal Counsel, APAC Debt Capital Markets Partner are strategically specialised in focusing on legal recruitment for different aspects of the job function and industry, diversifying and maximising our recruitment › 12+ PQE › 15 PQE › 9+ PQE coverage as a team. We have successfully placed candidates across all levels from Associates and Junior Legal Counsels, to Partners and Heads of Legal. › Financial Institution › Charitable Organization › Hong Kong Law Firm Our client is a financial institution well established in This is an exciting extension to any successful career A leading Hong Kong law firm with established offices in Asia, with around 100 people in HK office. Their main for a seasoned legal professional who desires to make a Hong Kong and major cities in Mainland China is keen to Olga Yung, Regional Director, Financial Services business lines include asset management, securities, difference and help this reputable charitable organization hire a Senior Debt Capital Markets Par tne r. Working closely Olga has been specialising in legal recruitment for over ten years, with a focus on financial services clients. She has an outstanding proven track record direct investments and IBD, being SFC license holder of give back to the community. You will directly influence with the founding partners, you will oversee and manage in placing all levels of legal professionals, with a stronger focus on mid to senior level hires. Graduating with a Bachelor and Master degree in Law, Olga 1, 4, 6 and 9. Currently seeking for a General Counsel to the organization by providing legal advice on investments a growing practice focusing on debt capital markets, and possesses experience gained from international law firms prior to joining Michael Page. Olga has extensive networks across the in house sector and with in- lead the existing legal team, the successful candidate will agreements including private equity and hedge fund ideally, derivatives work. Within the framework of the have at least 12 years’ PQE and experience gained with investments, ISDA transactions and custodian services. existing practices you will have maximum discretion on depth knowledge of legal talent available within the region. She has also successfully recruited within the private practice and in house legal space. similar financial institutions ideally with exposure in SFC You will actively participate in strategic business how to grow your business. The ideal candidate is a Hong [email protected] | +852 2848 4791 | linkedin.com/in/olgayung license type 1, 4, 6 and 9. Well rounded exposure in a decisions and negotiations for commercial agreements Kong solicitor with an existing practice and ideally a team variety of areas including banking, regulatory, commercial as a business partner. The ideal candidate will have 15 to bring along. Candidates without a book of business or and corporate is useful, as is leadership experience. Good years’ PQE with experience from sizeable companies. coming from an in house position are also welcome to communication skills required including fluency in English Written and spoken English, Cantonese and Mandarin are apply as a Counsel. Strong English and Chinese language Serena Tang, Associate Director, In House Corporate Marta Verderosa, Manager, Private Practice and Chinese. Ref: 3940016 required. Ref: 3945269 skills are required. Ref: 3920601

Serena has over 7 years of recruitment experience, specialising Marta has over 4 years of legal recruitment experience, with a in the recruitment of in-house lawyers where her industry focus is dedicated focus on private practice. She has extensive experience across in house corporate, assisting all types of commercial clients in recruitment covering all areas of practices for lawyers, from newly in Hong Kong. Serena has long standing work relationships with the qualified up to partner level, for leading and sizable law firms in Hong IPO Lawyer/Banker Legal Director, Asia Conveyancing Senior Associate/Counsel executive-level legal and human resources professionals across a Kong. She also oversees legal support hires for financial institution › 5+ PQE › 8-12 PQE › 7+ PQE variety of industries with multinationals, state-owned enterprises, clients, and has recruited within the in house legal space. Marta is › Buy-side House › US Listed Multinational › Large Local Law Firm as well as domestic private and listed companies. Graduating from the University a LLB graduate and worked in a leading law firm and a global insurance company An excellent opportunity has arisen for corporate lawyers A well regarded global industry leader is currently seeking A Hong Kong law firm with a long history and local of Wisconsin, Serena gained experience in management consulting prior to joining before joining Michael Page. who are interested in making a switch in their career or a Legal Director to look after part of the regional business. resources is now hiring a Senior Conveyancing Lawyer. Michael Page in 2010. [email protected] | +852 2848 4794 | to take on a role with a stronger business focus. A newly You will lead a small team, with oversight across corporate In this role you will be responsible for advising property [email protected] | +852 3412 4810 | linkedin.com/in/tangserena linkedin.com/in/martaverderosa established financial institution being SFC license holder transactions including M&A and corporate restructuring developers, government authorities and public bodies of 1 and 6, is seeking for an IPO lawyer to take on a quasi as well as to drive major negotiations of commercial as well as corporations on all kinds of land and property legal business role. Reporting to senior management, agreements. The ideal candidate will possess at least 8 transactions. The team is currently led by a 25 PQE solicitor you will be relied on in running IPO transactions while years’ PQE being well versed in commercial corporate with very strong connections in the region. Specific focus taking on business responsibilities. The ideal candidate matters, ideally with exposure to M&A. Prior in house for this role will be on leases, tenancies, licences and Tina Wang, Managing Consultant, In-House Corporate Kamil Butt, Senior Consultant, Private Practice will have at least 5 years’ PQE with the ability to work on experience with sizable companies is an advantage but property management agreements. The ideal candidate Tina has over 4 years’ recruitment experience within the in Kamil joined Michael Page Legal in year 2015 with over 2 years transactions independently, with an entrepreneurial mind. not a must. Regional leadership experience is highly will have at least 7 years’ PQE with strong experience house commercial space, specialising in recruitment of in-house legal recruitment experience. He specializes in recruitment for Good English and Chinese language skills required. Ref: advantageous. Strong English language skills is essential, drafting deeds and sub-deeds of mutual covenant, as well lawyers at all levels. She has an excellent track record working private practice and financial services clients, with an excellent track 3942749 and any other Asian language skills will be a plus. Ref: as relevant contracts. Good spoken and written English 3931446 and Mandarin are necessary. This position offers a clear with multinationals, state-owned enterprises, as well as domestic record in successfully assisting legal support candidates including progression path within the firm. Ref: 3941455 private and listed companies in Hong Kong. Tina’s in-depth market paralegals and company secretaries at all levels. Kamil was born in knowledge and extensive networks in the region allows her access Hong Kong and speaks both English and Cantonese, he graduated to high calibre candidates and clients. Tina is CPA qualified with a with a Bachelor Degree in Law from University of Bristol. PRC Qualified Lawyer Group Legal Counsel Junior Regulatory Litigation Associate prior career in PriceWaterhouse Coopers prior to joining Michael Page. [email protected] | +852 2848 4798 | linkedin.com/in/kamilbutt [email protected] | +852 2848 9561 | › 5+ PQE › 8+ PQE › 1-2 PQE linkedin.com/in/tina-wang-cpa-8b604746 › Well-established Financial Institution › Reputable Conglomerate › Reputable US Law Firm Joining an established legal team and reporting to the Our client is a reputable conglomerate with business in Our client is a well-established US law firm, seeking to Deputy Head of Legal, you will take on a focus across hospitality, FMCG, property and aviation sectors around take on a junior litigator. In this role, you will primarily corporate, private equity and banking finance matters. the globe. They are now seeking a Group Legal Counsel focus on white collar and regulatory defense matters, Sabina Li, Consultant, Legal Support Soraya Tennent, Consultant , Legal Support The ideal candidate will be a PRC qualified lawyer with as a result of business expansion. You will be a member shareholders’ and directors’ disputes, internal and at least 5 years’ relevant experience obtained in Hong of the executive team, work with different department regulatory investigations, commercial litigation as well as Sabina specialises in the recruitment of company secretarial Soraya’s career with Michael Page commenced in Australia in 2015. Kong, either gained with sizable law firms or financial heads and provide legal advice to business teams in handling enquiries from a variety of regulatory bodies in professionals at all levels, with a focus on in house commercial She has 2 years of recruitment experience in the areas of legal institutions. You will have strong working knowledge of respect to their operations and projects. Reporting to the Asia and overseas. The ideal candidate will possess at clients in Hong Kong. She has 2 years of recruitment experience and finance. After moving to Hong Kong, Soraya specialises in the PRC corporate transactions and with ability to advise on Managing Director and Executive Director, the successful least 1 year’s PQE, having qualified in a disputes practice servicing commercial clients across a variety of industries. Sabina recruitment of legal support staff for all leading and sizable law firms PRC law. You will have willingness to pick up on new work candidate will have a minimum of 8 years’ PQE with strong and ideally with some experience in regulatory or financial graduated from the UK with a Bachelor of Science and a Graduate as well as global and local financial institutions. Soraya graduated on top of your core focus and be a strong team player. analytical abilities, advocacy skills and solid technical legal services matters. Candidates from financial regulatory Diploma in Law. Prior to joining Michael Page, she worked with a law from Curtin University with a Double Major in Business Law and Maturity and a stable background is preferred. Excellent knowledge. Fluency in spoken and written English and practices without contentious experience will also be firm and a HK listed company as a paralegal and company secretary. Journalism. communication skills are required, as is fluency in English Chinese (Mandarin) is required. Ref: 3943947 considered. English and Chinese language skills are a and Chinese language skills. Ref: 3938909 must. Competitive package in line with New York rates is [email protected] | +852 3602 2480 | linkedin.com/in/sabinali [email protected] | +852 2848 4795 | on offer. Ref: 3944774 linkedin.com/in/soraya-tennent-0b9a6a95

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

Specialists in legal recruitment Legal www.michaelpage.com.hk MICHAEL PAGE LEGAL SPECIALISTS IN LEGAL RECRUITMENT

MEET THE TEAM FINANCIAL SERVICES COMMERCIAL PRIVATE PRACTICE

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

Specialists in legal recruitment Legal www.michaelpage.com.hk Hong Kong • Singapore • Beijing • Shanghai Specialising in Legal, Financial Services, and Commerce Hong Kong • Singapore • Beijing • Shanghai Specialising in Legal, Financial Services, and Commerce Private Practice In-house BANKING/FINANCE HONG KONG 2-6 PQE LEGAL COUNSEL (DIRECTOR) HONG KONG 8-15+ PQE This UK firm with a strong banking/finance team seeks an This manufacturing and technology company seeks a legal director associate. You will represent banks, corporates and sponsors to join their expanding business. You will lead a small team of on a wide-range of deals from syndicated loans and leverage lawyers and focus on the company’s business globally. You will have finance, to acquisition finance, structured finance and project commercial experience in the manufacturing and/or technology finance. You will have excellent technical and drafting skills. (HKL sector, and strong communication and negotiation skills. Written and 14759) spoken Chinese language skills are mandatory. (HKL 15652) CORPORATE / M&A HONG KONG 1-6 PQE HEAD OF LEGAL HONG KONG 10+ PQE This global law firm with a leading corporate practice in the Well known insurance company seeks a head of legal to support its region is led by a strong team of highly-regarded partners. You Hong Kong business. As well as managing the legal department the will focus on complex and multifaceted cross-border corporate head of legal is expected to play a hands on role advising on product M&A/PE and/or capital markets transactions. You will have launches as well as developing and maintaining good relations with strong academic background and experience gained within an the various regulatory bodies. Fluency in Cantonese is critical. (HKL international law firm. (HKL 15679) 15549) DISPUTE RESOLUTION HONG KONG 3-5 PQE LEGAL MANAGER HONG KONG 5-10 PQE Top-tier US international law firm is looking for litigators to join A well-known property developer seeks a mid to senior level lawyer their dispute resolution practice. You will be working with the to support their Hong Kong legal team. You must be Hong Kong world’s leading clients on matters ranging from international qualified with solid experience in handling commercial and M&A commercial disputes, arbitration and regulatory investigations. transactions. Excellent communication skills in both written and (HKL 15561) spoken English and Chinese required. (HKL 15632) EMPLOYMENT HONG KONG 1-4 PQE FMCG HONG KONG 5-10 PQE Hong Kong based law firm is keen to develop its employment UK listed company with significant growth plans for Asia Pac has department with the addition of a junior associate. You will join a headcount to appoint an in-house counsel in Hong Kong to support solid team focusing on a mix of contentious and non-contentious the regional management team covering Asia Pac. Great opportunity employment matters. Hong Kong or commonwealth qualified to support a dynamic and young executive team in a business that is required. (HKL 15192) one of the sectors’ best global performers. (HKL 15027) DEBT CAPITAL MARKETS HONG KONG 1-4 PQE EMPLOYMENT LAWYER HONG KONG 4-8 PQE We are looking to recruit a junior associate to join our clients A high profile conglomerate seeks a commercially astute lawyer to DCM team. You will have experience within bonds and a lawyer assist in a range of employment and commercial litigation matters. The qualified in HK or UK and trained with an international law firm. employment advice will span both contentious and non-contentious Mandarin language skills are a must. (HKL 15211) matters, while the disputes issues will include contractual, suppliers, personal injuries, IP and discrimination claims. (HKL 15675) TMT HONG KONG NQ-4 PQE This is a great opportunity to join an international law firm with LEGAL COUNSEL (PART-TIME) HONG KONG 4-8 PQE a well-established TMT practice. You will advise blue chip tech Fast growing retail brand seeks a legal counsel to support their global companies on high-profile contentious and non-contentious operations. You will advise on a wide range of operational issues cases. Candidates with legal experience in commercial including commercial contracts, IP, employment, regulatory matters. technology or litigation will be considered. Fluency in Mandarin Chinese language (Cantonese and Mandarin) required. Flexible part- is critical. (HKL 15704) time arrangement on offer. (HKL 15423) FUNDS ASSOCIATE HONG KONG 2+ PQE INTERNATIONAL LEGAL ADVISOR HONG KONG/CHINA 4-8 PQE This US law firm seeks a funds lawyer, with experience in funds Global technology company has a vacancy in their international legal and asset management to join their growing practice. You team. Solid experience in corporate and commercial law gained from will have SFC regulatory exposure and understand the set-up, a leading international law firm is required. Fluency in English and maintenance and restructuring of retail funds. Chinese language Mandarin and an ability to work in a fast-pacedwww.alsrecruit.com environment are skills are essential. (HKL 15692) critical. (HKL 15135) To apply, please send your updated resume to [email protected], or contact one of our Legal Consultants in Hongww Kong:w.alsrecruit.com ClaireTo apply, Park please send your updated Georgeannaresume to [email protected], Mok or contactKumiko one Lam of our Legal Consultants inWilliam Hong Kong: Chan Tel:Claire +852 Park 2920 9134 Tel:Georgeanna +852 2920 Mok 9101 Tel:Kumiko +852 Lam 2920 9125 Tel:William +852 Chan 2920 9105 Email: [email protected] Email:Tel: +852 c.park@als 2920 9134recruit.com Email:Tel: +852 g.mok@als 2920 9101recruit.com Email:Tel: +852 [email protected] 2920 9125 Tel: +852 2920 9105 Email: [email protected] Email: [email protected] Email: [email protected] Email: [email protected] A NEW SERIES COMING IN 2018

To receive the most updated Awards information, contact Tracy at [email protected]. SPECIALIST PROFESSIONAL RECRUITMENT LEGAL PROFESSIONALS

FINANCIAL SERVICES FINANCIAL SERVICES WEALTH MANAGEMENT LAWYER LEGAL COUNSEL GLOBAL FINANCIAL INSTITUTION TOP PRC SECURITIES FIRM OAA/608880 ZRW/591400 A leading global bank seeks a wealth management lawyer to join the team of four. A top PRC securities firm with a rapidly growing business in APAC is looking for a Coverage is over 15 countries in APAC with most profits generated in Hong Kong. Legal Counsel. Their lines of business span across a wide spectrum of DCM/ ECM/ Products will vary between bonds, unit trusts, structured products, etc. There is fixed income/ general corporate finance/ asset management experience as well as also a strong focus on FinTech and digital projects. As well as advising on product structured products. The role reports to the Head of Legal. development and manufacturing, lawyers are required to advise on the risk of Key Requirements: selling these products to customers as well as ‘conduct’ (ethical) considerations. Other matters include reviewing marketing material, account T&Cs, etc. ■ A Hong Kong qualified lawyer with two to seven years’ PQE Key Requirements: ■ Experience in DCM/ ECM/ fixed income/ general corporate finance/ asset management/ structured products ■ Law firm trained applicants preferred ■ A qualified lawyer with four to ten years’ PQE ■ Fluency in English, Cantonese and Mandarin are essential ■ A background in financial products (and interest to learn more) ■ Chinese languages are preferable but not essential FINANCIAL SERVICES COMMERCE & INDUSTRY COMPLIANCE, TRADE SURVEILLANCE LEGAL COUNSEL TOP AMERICAN BANKING GROUP MAJOR PROPERTY DEVELOPER QPD/611380 ZRW/608440 Our client is a well-renowned North American banking group with a strong A leading property developer with extensive business in Hong Kong, Macau and corporate banking, investment banking, and capital markets platform. This China is looking for a seasoned lawyer to join as Legal Counsel. You will take headcount will be responsible for monitoring and trade surveillance on the capital charge of a broad portfolio including property leasing, sales, development and markets side, interacting closely with the front line. management. The role reports to the Head of Legal and joins a team of three lawyers. Occasional travel to Macau and other Chinese cities is required. Key Requirements: Key Requirements: ■ At least four year’ experience in compliance monitoring and surveillance role ■ Knowledge of financial products (such as FX, Fixed income, Swaps and OTC ■ A Hong Kong qualified lawyer of six to ten years’ PQE derivatives) and day-to-day sales and trading practices in capital markets ■ Experience in property law including sales, leasing and tenancy, experience in trading environment working for or with major developers is ideal ■ Sound working knowledge of regulatory requirements ■ Fluency in English, Cantonese and Mandarin is essential ■ Working knowledge of industry standard trading technologies is preferred (e.g., Smarts Broker Surveillance and Cognos Database) ■ Excellent English communication skills is required COMMERCE & INDUSTRY LAW FIRM LEGAL & COMPLIANCE OFFICER CORPORATE/ FUNDS ASSOCIATE FORTUNE 500 CORPORATION LEADING OFFSHORE LAW FIRM WDM/605590 OAA/6383308 A globally recognised corporation with manufacturing and distribution hubs in A top ranked offshore law firm, growing rapidly in Asia, seeks associates to Greater China is hiring a Legal & Compliance Officer to join their Hong Kong join the funds practice. All associates work with all partners so there is a great team in the Wan Chai office. This role will be primarily focused on Compliance opportunity to learn. They require a lawyer with a corporate background and and regional trade regulations but will also support the legal team on an ad hoc they will then teach the funds work. If you are looking for a firm where you can basis so a legal foundation (degree or training) would be an asset as well. work with some of the most sophisticated clients in the hedge fund and private equity market, progress according to your ability and be in a culture that is both Key Requirements: collegiate and rewarding, then this is a very strong opportunity. ■ A minimum of three years’ relevant experience in either a law firm or Key Requirements: corporate setting supporting both legal and compliance functions ■ Strong knowledge of global compliance regulations and requirements (FCPA, ■ A UK, PRC or Commonwealth (ideally Australia or New Zealand) qualified anti-corruption/bribery, AML, trade regulation, sanctions, etc.) lawyers with three to six years’ PQE ■ Excellent communication skills and strong stakeholder management skills to ■ A very strong academic background and preferably some funds experience, work with non-local stakeholders in a diverse global organisations although solid general corporate/ M&A experience is also relevant ■ Good understanding of the general operation of international business and ■ Chinese languages are preferable but not essential regional product distribution ■ Fluency in English, Cantonese and Mandarin is essential

TO FIND OUT MORE ABOUT THESE EXCITING LEGAL CAREER OPPORTUNITIES, PLEASE CONTACT: Megan Craighead +852 2103 5377 [email protected] Oliver Allcock +852 2103 5317 [email protected] Ricky Mui +852 2103 5370 [email protected] Tony Wilkey +852 2103 5338 [email protected] Sharon Siu +852 2103 5319 [email protected] www.robertwalters.com.hk ROBERT WALTERS HONG KONG • 20/F NEXXUS BUILDING • 41 CONNAUGHT ROAD CENTRAL • CENTRAL • HONG KONG taylorrootchina

In-House Private Practice

HEAD OF LEGAL HONG KONG 8-12 YEARS CORPORATE / FUNDS HONG KONG 3-8 YEARS

MNC in consumer products industry seeks a Head of Legal to provide legal Law firm with an international platform seeks an associate with mutual support in the Greater China region & to develop legal strategy & structure. funds and M&A experience. Your experience will be from another reputable HK qualification & corporate commercial experience in both HK & China are law firm/financial institution & include handling matters related toSFC- essential. Fluent English, Cantonese & Mandarin are required. HKL6619 authorised funds & other retail funds products. HKL6581

REGULATORY/INVESTIGATION HONG KONG 6+ YEARS ARBITRATION HONG KONG 5-7 YEARS

Global bank seeks a regulatory lawyer to join its internal investigations A leading Magic Circle arbitration practice seeks a senior associate. You will team. You will have at least 6 PQE focusing on contentious/non-contentious have strong arbitration/disputes experience from a reputable international financial services regulatory matters. Excellent opportunity to join an firm. Strong drafting skills & common law qualification are required. Chinese established team. Chinese language skills not needed. HKL6592 language skills are not a prerequisite. HKL6642

EQUITIES HONG KONG 4-8 YEARS CORPORATE PSL HONG KONG 6+ YEARS

Bulge bracket bank seeks a VP, you will deal with equities trading, OTC, International firm seeks a professional support lawyer to assist its corporate listed/corporate derivatives & structured products. Prior in-house experience department. You will be responsible for preparing precedents, drafting legal would be ideal. Chinese language skills preferable but not essential. Top updates & newsletters, maintaining the knowhow database and delivering quality work & attractive remuneration on offer. HKL6638 training. Chinese language skills an advantage. HKL6639

DERIVATIVES HONG KONG 4-8 YEARS INTELLECTUAL PROPERTY HONG KONG 5+ YEARS

Well-known financial conglomerate in Asia seeks a derivatives lawyer Well-known boutique IP firm seeks a senior associate to strengthen with relevant experience from a reputable law firm or another financial its team. You will advise major clients throughout Asia on a range of IP institution. Structured finance experience would be a bonus. Mandarin matters particularly trademark registration. You will have IP experience skills are essential. Attractive remuneration on offer. HKL6615 gained in Hong Kong and fluent Chinese is essential. HKL4045

COMMERCIAL/TMT HONG KONG 4-8 YEARS LITIGATION HONG KONG 4+ YEARS

Major global player in the internet/technology industry seeks a mid-level A reputable international firm is looking for a mid-level litigator. You will general commercial lawyer. You will have solid corporate experience gained have at least 4 years of post-qualification experience, proven financial from a top tier law firm. Exposure to internet, e-commerce or TMT matters services regulatory experience & strong commercial awareness. Chinese will be advantageous. Mandarin is essential. HKL5546 language skills not required and open to relocations. HKL5853

PART-TIME LEGAL COUNSEL HONG KONG 4-6 YEARS FUNDS/PE HONG KONG 3+ YEARS

Leading insurance provider seeks a part-time lawyer to handle commercial Top tier offshore firm is looking for a funds associate with 3 to 5PQE, contracts, product development, compliance & regulatory issues. Prior solid training from a peer firm and must be admitted in a commonwealth insurance/funds experience advantageous. Flexible working arrangement jurisdiction. Prior experience in M&A or finance will also be considered. on offer. Chinese language skills are not required. HKL6644 Chinese language skills are helpful but not required. HKL6355

REGULATORY – AVP HONG KONG 3-5 YEARS DCM HONG KONG 0-2 YEARS

Investment bank seeks an AVP to join its regulatory team. This role has an Magic circle firm seeks an NQ to 2PQE junior lawyer who would like to APAC coverage & will involve providing analysis & implementation of new focus on DCM transactions. Great opportunity to gain exposure to regional regulations. You will be at least 3 years’ qualified in HK/a Commonwealth DCM work including bonds, PIPEs, global depository receipts & pre-IPO jurisdiction. Chinese language skills are not essential. HKL6609 investments. Chinese language skills not needed. HKL6483

This is a small selection of our current vacancies. Please refer to our website for a more comprehensive list of openings. Please contact Lindsey Sanders, [email protected] +852 2537 7409 or Eleanor Cheung, [email protected] +852 2537 7416 or Karishma Khemaney, [email protected] +852 2537 0895 or email [email protected]

www.lewissanders.com We wish you a Happy Mid-Autumn Festival!

中秋佳節快樂!