Greg Heaton is a partner of Hauzen LLP. He is a legal and financial services professional with over 20 years of experience in advisory and regulatory roles.

Admitted as a solicitor of the High Court of Hong Kong and a legal practitioner of the Supreme Court of New South Wales, he was formerly a partner of another Hong Kong law firm, advising on asset management, securities regulation, and contentious regulatory matters, and director of an international consultancy firm, providing regulatory advice and project-based consultancy services to Hong Kong and global financial services firms.

In addition, he was formerly a senior director of the Securities and Futures Commission (SFC), where he played a key role in the oversight of SFC-licensed intermediaries and the development of regulatory policy. He was head of the Licensing Department at the SFC and a member of the Board of the Financial Dispute Resolution Centre, the body responsible for the arbitration and mediation of disputes between financial institutions and their clients.

Education

  • University of New South Wales, Master of Law and Management (2005)
  • Australian Graduate School of Management, Graduate Diploma in Management (2003)
  • University of Canterbury, LL.M. Honours (First Class) (2000)
  • University of New South Wales, LL.B. (1999)
  • University of Canterbury, B.A. (1995)
  • Osaka University of Foreign Studies, Diploma of Japanese Language and Culture (1994)

Experience

  • Advising on securities regulation, listing rules and corporate governance.
  • Fund formation and restructuring.
  • Acquisition and sale of SFC licensed corporations.
  • Drafting business plans, compliance manuals, operations manuals and services agreements.
  • Contentious regulatory matters including SFC investigations and disciplinary actions.
  • Assisting licensed corporations with preparation for and handling of regulatory inspections.
  • Conducting audits of licensed corporations’ operations and internal control frameworks.
  • Advising on APAC licensing requirements, product disclosure rules and marketing restrictions.
  • Providing training on regulatory requirements and industry developments.
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