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 a 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 adviser 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, consisting of 4 professional legal counsels, is well-versed to structure and execute complex and cutting-edge transactions that usually involve multiple parties, cross-border features 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 organisation. 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.

Career Highlights and Achievements

As the General Counsel of TFI, my key achievements include: Strategic Leadership: Spearheaded legal frameworks for our firm’s international expansion especially with a focus on the Belt and Road Initiative and its business developments featuring an organic combination of capital market transactions, strategic investments and asset management products. Regulatory Excellence: Navigated complex SFC, HKEx and cross-jurisdictional compliance, securing licence and regulatory compliance focusing in our firm’s transformation towards the fintech initiatives. Deal Execution: Advised on high-value IPOs, bond issuances, and PE or secondary market investments, driving TFI’s positioning as a competitive boutique investment bank in Asia. Risk Mitigation: Built scalable compliance programmes, and actively respond to a wide scope of regulatory investigations and litigations to prevent or mitigate material penalties. Cross-Border Collaboration: Partnered with mainland regulators and global institutions to align offshore operations with China’s financial policies.Recognised for blending legal acumen with commercial pragmatism to enable organic growth in dynamic markets.

My Philosophy in Continuous Learning

I actively foster a culture of continuous learning within my legal and compliance team, emphasising the critical importance of keeping abreast of evolving regulations, market trends, and enforcement priorities in Hong Kong’s dynamic financial sector. Given the rapid changes in law, I ensure my team dedicates time to ongoing education through structured training, industry seminars, CPD sessions and regulatory bulletins in different areas of law. Our legal team also remains unwavering in its commitment to the highest standards of professionalism, ethical conduct, and corporate governance. This principled approach not only safeguards compliance but ensures we stay agile and well equipped to navigate the dynamic world of finance with trust and credibility.