Bernard Mak

Call 1993 (Hong Kong)

LANGUAGES

English, Cantonese, Mandarin (basic)

CONTACT

T: +852 2840 1130
E: bernard.mak@parksidechambers.com.hk

Secretary: Ms. Cynthia Lam
E: cynthia.lam@parksidechambers.com.hk

Profile

Bernard was educated in HK and was called to the HK Bar in 1993. His main areas of practice are commercial disputes, shareholders/share transactions disputes, financial services, market misconducts, regulatory compliance, and disciplinary matters.

He experienced a wide range of work involving listed companies and listed securities. He advises sponsors, listing applicants, and listed companies regularly on regulatory compliance.  Other than commercial litigations, he advises on

  • investigations, petitions and inquiries by the Securities and Futures Commission (SFC)
  • inquires by the Stock Exchange of Hong Kong (HKEx)
  • Listing Rules compliance
  • Takeovers Codes compliance
  • Securities and Futures Ordinance, Cap. 571 (SFO) compliance for regulated businesses/persons/products, disclosure of Interests matters

and related civil, regulatory and disciplinary matters in the High Court of HKSAR (Civil and Criminal), Market Misconduct Tribunal (MMT), Securities and Futures Appeal Tribunal (SFAT),  HKEx Listing Committee disciplinary proceedings, the Takeover Panel, and Takeovers and Mergers Panel disciplinary proceedings.

He is one of the most experienced local counsel in insider dealing and market misconduct cases. He advised and acted for the defence in high profile insider dealing and market manipulation prosecutions, and listed companies, listed securities and corporate finance related prosecutions.

He also commands a broad range commercial practice including banking, company law, securities law, and real property. He appeared in arbitrations, applications for pre-emptive remedies, professional disciplinary inquiries and judicial reviews. He advised and appeared in various matters relating to representation and administration of estate, conflicts of laws and trusts.

Practice Areas

Commercial Law
Company Law
Compliance, Securities and Banking
Equity and Trusts
Probate
White-Collar Crime

Education

1993

P.C.LL., University of Hong Kong

1992

LL.B., University of Hong Kong

CEDR Accredited Mediator (2009)

Judiciary Appointments

  • Deputy Special Magistrate (1999)
  • Deputy District Judge (2009)

Academic Appointments

  • Shantou University, PRC: Visiting Professor, Law School (09-11)

Public Services

  • Chairman of Buildings Appeal Tribunal
  • Member of Appeal Panel (Housing)
  • Member of Inland Revenue Board of Review
  • Member of Criminal and Law Enforcement Injuries Compensation Boards
  • Member of Financial Reporting Review Panel of the Financial Reporting Council
  • Securities Law: HKSAR & PRC – served as Editor in chief
  • Butterworths Hong Kong Securities Law Handbook – served as Co-General Editor
  • Hong Kong Civil Procedure – served as contributing Editor
Advised or appeared as Counsel for Implicated Person(s) in the following inquiries by the Insider Dealing Tribunal in relation to the dealings in the listed securities of:
  • Founder Holdings Ltd
  • Harbour Ring International Holdings Ltd
  • Vanda Systems
  • Siu Fung Ceramics Holdings Ltd
  • Easy Concepts
  • Stime Watch International Holding Ltd
  • China Appollo Holdings Ltd
Advised or appeared as Counsel for Specified Person(s) in the following inquiries by the Market Misconduct Tribunal into dealings in the shares of:
  • China Gas Holdings
  • China Huiyuan Juice Group
  • Sino Katalytics Investment Corporation
  • Chaoda Modern Agriculture (Holdings) Ltd
  • ABC Communications (Holdings) Ltd
  • Mirabell International Holdings
  • QPL International Holdings Ltd
  • Sunny Global Holdings Ltd
Selected cases:
  • HKSAR v Sik Siu-kwan Gary HCC 476/2012 – successfully defended an ibanker in an over 70 days trial against an allegation of s.9 PABO offence arose in a Reverse Takeover Context.
  • Koon Wing Yee v Insider Dealing Tribunal and Anor (2008) 11 HKCFAR 170 – the CFA declared the unconstitutionality of certain powers of the IDT.
  • Lim Yi Shenn v Wong Yuen Yee & Ors [2012] 3 HKLRD 505, CACV 55/2015 – successfully defended the MDs of a listed company against claims by a placee based on alleged guarantees or contracts arose in a private placement context.
  • SFC v Wong Yuen Yee & Ors [2016] 5 HKLRD 11 – regarding admission of expert evidence for s.213 Petition by the SFC.
  • SFC v Wong Yuen Yee & Ors [2017] 1 HKLRD 788 – regarding the disclosure obligation of the SFC in a s.213 SFO Petition.
  • Ma Wai Wah v Neway Karaoke Box Ltd [2018] HKCFI 842 – successfully defended the majority shareholder against claims by an ex-shareholder based on alleged guarantees or contracts arose in a pre-IPO context.
Successful IPO Advised:
  • Oi Wah Pawn (1319)
  • Season (8127) (now 1709)
  • Cool Link (8491)
  • Gudou Holdings (8308)
  • GIC (1669)
  • Modern Dental (3600)
  • Jete Power (8133)
  • Bexcellent Group (1775)
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