Having spent most of his career in APAC, Mark has advised a wide range of clients on various matters relating to over 12 different jurisdictions. Among his clients are asset managers (PE, Alt/Hedge, VC and others), financial institutions (banks, insurance companies, financial advisers, and brokers/dealers), financial technology companies and multinational corporations. For these clients, Mark handles issues as diverse as securities and regulatory practices, private and cross-border investments, structuring, distribution channels, operations, and best practices, as well as other general corporate/commercial matters.
Mark’s practice focuses on innovative and novel deals and business structures. Recent projects include lead counsel for the word’s first fund to use a rules-based investment strategy to invest in private securities, lead advisor to Singapore’s first successful Sandbox applicant, lead counsel to APAC’s first block-chain incorporation agent and smart contracting platform, lead counsel to Singapore’s first robo advising platform, lead counsel to Singapore’s first equity crowd funding platform, deal counsel to Singapore’s first revenue sharing arrangement, and deal counsel to Singapore’s first P2P platform.
- Advise on fund establishment for PE, Alt/Hedge, and VC funds, including LP/GP, corporate, and trust structures
- Advise on regulatory requirements, compliance, operations, governance, and best practices for a wide variety of fund managers
- Advise on distribution/marketing for various funds, including PPMs/OMs, distribution channels, marketing agreements/guidelines, and the review of marketing materials
- Advised in most major jurisdictions and liaised with a broad spectrum of regulators, including the MAS, the SFC, the SEC, FINRA, the CFTC, the NFA, the FCA, and the FSA
- Currently serving as General Counsel for RHT Compliance Solutions, the leading and largest standalone governance, compliance and risk consultancy in Southeast Asia
- Providing compliance and regulatory consulting for banks, asset managers, dealers, brokers, financial advisors, insurance and reinsurance companies, and fintech platforms in APAC, Europe and North America
Private and cross-border investments
- Counsel to various PE managers and strategic investors on investments/acquisitions and post‑transaction integration and operations in over ten jurisdictions in APAC
- Structured overseas investments or control mechanism for off-shore entities engaged in on-shore activities through direct and indirect control agreements
- Advise on shareholder disputes (as both minority or majority advisor) and other dispute resolution matters, including contentious matters for contracts, crisis management and corporate investigations (both as external advisor or advisor to the board of directors/audit committee)
- Advisor to global insurance/reinsurance companies on various commercial arrangements and investments/divestments
- Advisor to insurance brokers on regulatory compliance and other commercial agreements
- Advise major insurers in North America and Asia on regulatory matters, including financial regulation compliance and float calculation
- Mentor and advisor to various fintech accelerators in SE Asia
- Regularly advise and consult with over fifty fintech companies in APAC and globally on regulatory compliance, business models, cross-border expansion, and investment rounds
- Advise on commercial agreements and legal contracts for a wide range of fintech platforms, including crowd funding, robo advising, social trading, payments/transfers, blockchain, digital currency, and insurance
Prior to coming to Singapore, Mark was in association with three global top twenty-five law firms in Hong Kong, Shanghai, Beijing, London, San Francisco, and New York. He also worked at the U.S. SEC in the Office of the Chief Counsel for the Division of Corporation Finance, clerked for the presiding judge (Sir Richard May) in the Slobodan Milosevic trial at the International Criminal Tribunal for the Former Yugoslavia, and worked for the U.S. Department of Justice.
Mark graduated from Stanford Law School, where he was the Editor-in-Chief of the Journal of Law Business and Finance and conducted directed research and wrote papers on capital market formation and financial institutions for two professors. Mark also has a B.A. (Hons) from Purdue University (double major in philosophy and political science) and has studied advanced Mandarin at Peking University.