Overview

Clients turn to Alan Linning for counsel on civil and criminal investigations and litigation, compliance issues and regulatory policy. He has over 35 years of experience in commercial litigation and disputes, with a focus on financial services regulatory matters and investigations. With the extensive experience gained from his roles in the finance sector as well as with the Hong Kong regulators, Alan is trusted by clients on both contentious and non-contentious regulatory matters.

Prior to joining JSM, Alan headed the Asia regional compliance team of a leading investment bank. He was previously the Executive Director of the Enforcement team of the Hong Kong Securities and Futures Commission (SFC) and was heavily involved in formulation and implementation of the securities legislation for Hong Kong's financial markets.

Experience

Represented:
  • A fund manager in Market Misconduct Tribunal proceedings and in related civil proceedings brought by the SFC under section 213 of the Securities and Futures Ordinance (SFO).
  • A Korean company in section 213 SFO proceedings brought by the SFC in relation to allegations of insider dealing. The case was struck out.
  • A leading multinational corporation in relation to issues arising from acquisition of a Chinese company, including an internal investigation, and the formulation of responses to regulatory investigations.
  • Numerous Hong Kong-listed companies in investigations relating to allegations of disclosure of false and misleading information, failure to disclose inside information and other forms of market misconduct.

  • Investment banks, fund managers, securities brokers and senior management in SFC investigations and interviews and in subsequent civil and criminal litigation under the SFO, including cases in the Securities and Futures Appeals Tribunal and the Market Misconduct Tribunal.
  • Licensed corporations and individuals in disciplinary proceedings brought by the SFC.
  • Listed companies in disciplinary proceedings brought by the Stock Exchange of Hong Kong.
  • A non-executive director of a listed company in disqualification proceedings brought by the SFC.
  • Various multinational companies and Hong Kong-listed companies in investigations and claims in Asia relating to fraud, malfeasance, and breach of fiduciary duty. Successfully obtained Mareva injunctions, tracing orders and Bankers Trust orders from Hong Kong courts on behalf of clients.
  • A number of authorized institutions in internal investigations and in HKMA inquiries regarding a wide range of regulatory issues including AML/CFT, alleged misselling, market conduct and suspected fraud.

Recognition

  • Thought Leading Author – Data Protection, Hong Kong – Mondaq Thought Leadership Awards
  • Global Elite Thought Leader – Investigations – Who’s Who Legal: Thought Leaders – Global Elite
  • Thought Leader – Banking – Who’s Who Legal: Thought Leaders – Mainland China & Hong Kong SAR
  • Thought Leader – Business Crime Defence – Who’s Who Legal: Thought Leaders – Mainland China & Hong Kong SAR
  • Thought Leader – Investigations – Who’s Who Legal: Thought Leaders – Mainland China & Hong Kong SAR

  • Thought Leader – Investigations – Who’s Who Legal: Thought Leaders – GIR
  • Recommended – Banking – Regulatory – Who’s Who Legal: Banking 
  • Leading Individual – Dispute Resolution: Litigation (International Firms), China – Chambers Global
  • Leading Individual – Dispute Resolution: Litigation (International Firms), China – Chambers Greater China Region
  • Leading Individual – Dispute Resolution: Litigation (International Firms), China – Chambers Asia Pacific
  • Leading Individual – Financial Services: Contentious Regulatory (International Firms), China – Chambers Greater China Region
  • Leading Individual – Financial Services: Contentious Regulatory (International Firms), China – Chambers Asia Pacific
  • Leading Individual – Regulatory, Hong Kong – The Legal 500 Asia Pacific
  • Highly Regarded – Financial Services Regulatory, Hong Kong – IFLR1000
  • Litigation Star – Government and Regulatory, China, Hong Kong – Benchmark Litigation Asia-Pacific
  • Dispute Resolution Star – Commercial and Transactions, Hong Kong – Benchmark Litigation Asia-Pacific
  • Dispute Resolution Star – Commercial and Transactions (International Firms), Hong Kong – Benchmark Litigation Asia-Pacific
  • Leading litigation and dispute resolution and financial services regulatory lawyer – Chambers GlobalChambers Asia PacificLegal 500 Asia Pacific and IFLR 1000
  • An “experienced pair of hands and easy man to work with.” – Chambers Asia Pacific
  • Praised by clients for ability to “understand, easy to communicate with and good at identifying potential issues further down the road.” – Chambers Asia Pacific
  • “clients also benefit from his previous experience as the executive director of the Securities and Futures Commission” – Chambers Asia Pacific

Qualifications

Education

  • University of Edinburgh, LLB (Hons)

Admissions

  • Hong Kong
  • Scotland

Languages

  • English

Professional & community involvement

  • Former Vice Chair, Anti-Money Laundering Committee, Law Society of Hong Kong
  • Committee Member, Financial Markets Committee, The British Chamber of Commerce in Hong Kong
  • Member of the HKSAR Solicitors Disciplinary Tribunal (SDT) (2001 to 2014)
  • Convenor of SDT (2014 to 2017)
  • Chairman of the HKSAR Buildings Appeal Tribunal (2011 to 2017)