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.