Background of the Company

TF International Securities Group Limited (TFI) is a Hong Kong-based subsidiary fully owned by TF Securities (TFS). We serve as one of the key state-owned interface that connects the capital market overseas with Hubei Province and the rest of Mainland China, bridging the gap between domestic and foreign markets. Our subsidiaries are regulated by SFC to conduct Type 1 (Dealing in Securities), Type 2 (Dealing in Futures Contracts), Type 4 (Advising on Securities), Type 5 (Advising on Futures Contracts), Type 6 (Advising on Corporate Finance) and Type 9 (Asset Management) regulated activities, establishing ourselves among the most active Chinese-funded securities firms in the Hong Kong market. Our businesses comprise DCM, ECM, Asset Management, Wealth Management, Structured Project Financing and Investment and our work is well-recognised in the market.

My role as General Counsel

In my legal role at TFI, I advise on a broad range of legal, compliance, and corporate governance matters, including the firm’s general corporate governance, regulatory compliance and contentious matters such as disputes resolutions and regulatory investigations. Further, I also act as the in-house legal advisor to provide the business teams with constructive and rigorous assistance in all business transactions and projects, including private and public issuances or placements of securities, capital market transactions, fund establishment and structuring, repacked or structured products, and OTC derivatives trading. Under my leadership, our legal team consisted of 3 professional legal counsels is well versed to structure and execute complex and cutting-edge transactions that usually involves multiple parties, cross-border feature and various financial instruments. I am committed to continually expanding my legal expertise and pushing beyond the boundaries of my prior experience to drive our Company’s and team’s growth.

As the General Counsel, my role has been pivotal in ensuring robust legal governance, regulatory adherence, and risk mitigation across all business verticals, strengthening the foundation of our organization. Operating in Hong Kong’s highly regulated financial landscape, I have balanced legal expertise with strategic compliance oversight to safeguard the firm’s integrity while enabling sustainable growth.