Alan Linning is a partner of Mayer Brown and a member of the firm's Litigation and Dispute Resolution practice. He has over 30 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 well placed to provide strategic advice and assistance to clients on both contentious and non-contentious regulatory matters including civil and criminal investigations and litigation, compliance issues and regulatory policy.
Alan is listed as a leading litigation and dispute resolution and financial services regulatory lawyer by Chambers Global, Chambers Asia Pacific, Legal 500 Asia Pacific and IFLR 1000. He is recognised as an “experienced pair of hands and easy man to work with.” (Chambers Asia Pacific 2019). Clients praised his ability to “understand, easy to communicate with and good at identifying potential issues further down the road.” (Chambers Asia Pacific 2018) and clients also benefit from his previous experience as the executive director of the Securities and Futures Commission (Chambers Asia Pacific 2019).
Immediately prior to joining Mayer Brown, Alan practiced for 8 years in another international firm. Before that, 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. Between 2001 to 2014, Alan sat as a member of the HKSAR Solicitors Disciplinary Tribunal (SDT). From 2014 to 2017, he was the Convenor of the SDT. Alan sat as a chairman of the HKSAR Buildings Appeal Tribunal from 2011 to 2017.
Areas of Focus
- Litigation & Dispute Resolution
- Financial Services Regulatory & Enforcement
- Bank Regulatory
- Broker-Dealer Regulation & Compliance
- Cross-Border Investigations & Enforcement
- Commercial Litigation
- Internal Investigations
- Securities Litigation & Enforcement
- Global Investigations & White Collar Defense
- Enterprise Risk & Crisis Management
- Acting for 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).
- Acting for a Korean company in section 213 SFO proceedings brought by the SFC in relation to allegations of insider dealing. The case was stuck out.
- Advising 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.
- Advising 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.
- Acting for investment banks, fund managers and securities brokers in SFC investigations and interviews and in subsequent civil and criminal litigation under the SFO.
- Acting for licensed corporations and individuals in disciplinary proceedings brought by the SFC.
- Acting for listed companies in disciplinary proceedings brought by the Stock Exchange of Hong Kong.
- Acting for a non-executive director of a listed company in disqualification proceedings brought by the SFC.
- Acting for 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.
- Acting for 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.
University of Edinburgh, LLB (Hons)
- Hong Kong
- Member, Anti-Money Laundering Committee, Law Society of Hong Kong
- Member, Investment Products and Financial Services Committee, Law Society of Hong Kong
- Member, Financial Markets Committee, The British Chamber of Commerce in Hong Kong
- Leading Individual – Who’s Who Legal: Banking (2021, 2022)
- Leading Individual – Who’s Who Legal: Investigations (2021)
- Leading Individual – Dispute Resolution: Litigation (International Firms), China – Chambers Global (2018-2023)
- Leading Individual – Dispute Resolution: Litigation (International Firms), China – Chambers Greater China Region (2022, 2023)
- Leading Individual – Dispute Resolution: Litigation (International Firms), China – Chambers Asia Pacific (2018-2021)
- Leading Individual – Financial Services: Contentious Regulatory (International Firms), China – Chambers Greater China Region (2022, 2023)
- Leading Individual – Financial Services: Contentious Regulatory (International Firms), China – Chambers Asia Pacific (2018-2021)
- Leading Individual - Regulatory, Hong Kong – The Legal 500 Asia Pacific (2018-2019)
- Highly Regarded - Financial Services Regulatory, Hong Kong – IFLR1000 (2018-2022, 2022/23)
- Litigation Star - Government and Regulatory, Hong Kong - Benchmark Litigation Asia-Pacific (2020-2022)
- Dispute Resolution Star - Commercial and Transactions, Hong Kong - Benchmark Litigation Asia-Pacific (2019)
- Dispute Resolution Star - Commercial and Transactions (International Firms), Hong Kong - Benchmark Litigation Asia-Pacific (2018)