Mr. Suen, formerly a Director of Enforcement of The Securities and Futures Commission (“SFC”), is now a full-time practicing barrister-at-law specializing in the following areas of litigation and advisory work:
- Contraventions of Securities and Futures Ordinance (“SFO”), Takeovers Code, Listing Rules, Code of Conduct for Persons Licensed by or Registered with the SFC (“Code of Conduct”)
- Market misconduct e.g. market manipulation, insider dealing, disclosure of false/misleading information
- White collar crimes, money laundering, and various types of fraud
During the past 34 years from 1983 to 2017, Mr. Suen has four rewarding yet exciting professional careers in both public and private sectors. Mr. Suen started his first career as a Police Inspector with the Royal Hong Kong Police Force in 1983. During the seven years with the Police (the last three years with Commercial Crime Bureau (“CCB”)), Mr. Suen participated in a number of high profile and complex commercial crime cases. These cases earned him commendations from both the Police and High Court Judge.
In 1989, Mr. Suen joined the newly established SFC to enforce securities and futures laws. In 1999 Mr. Suen was promoted to Director of Enforcement. During the 18 years from 1989 to 2007, Mr. Suen was responsible mainly for leading and supervising teams of accountants and lawyers in the investigation and prosecution of insider dealing, market manipulation, misconduct involving licensed persons, listed companies directors, as well as referral of fraud and corruption cases to CCB and ICAC respectively.
In year 2000 Mr. Suen was appointed by the then Acting Financial Secretary of HKSAR (“FS”) as an Inspector to investigate and report on the ownership of shares in Oxford Properties & Finance Limited, a listed company on the Stock Exchange of Hong Kong (“SEHK”). After meticulous investigation work and overseas enquiries, an Inspection Report setting out the findings of the Inspection and recommendations was submitted by the Inspector to the FS who approved publication of the Inspection Report. The Inspection Report can be accessed via the website of the Financial Services and Treasury Bureau (“FSTB”) of the Government of HKSAR.
In 2007 Mr. Suen joined a Hong Kong listed company as its Executive Director and Deputy Managing Director. Mr. Suen also acted as a Responsible Officer (“RO”) of four licensed corporations in the listed company. He was responsible for the overall supervision of seven regulated activities (“RA”). These RA included dealing and advising in both securities and futures contracts, margin financing, corporate finance and assets management.
Mr. Suen has accumulated over 33 years of solid and practical experience and knowledge in the enforcement of SFO and commercial crime investigations. Mr. Suen’s specialties include advising on investigation and prosecution vis-a-vis commercial crimes, insider dealing, market manipulation, intermediaries’ disciplinary proceedings, contravention of Code of Conduct, Listing Rules and Takeovers Code.
Mr. Suen’s professional qualifications include Postgraduate Certificate in Laws (“PCLL”), Juris Doctor, Master in Accountancy, and Bachelor of Social Science (Economics). Mr. Suen is a member of Hong Kong Bar Association, Hong Kong Institute of Certificate Public Accountants and Hong Kong Securities and Investment Institute.