Financial Services

Our financial services legal practice group encompasses asset management and investment funds, financial services regulations and investigations, financial services compliance and licensing, and broker-dealer related matters. Our lawyers have acted for a wide range of fund managers (from boutique to institutional, local to international), securities firms, financial advisors and other types of financial services firms.

Our lawyers have acted for a wide range of fund managers in the formation of private funds (encompassing hedge funds, private equity funds and real estate funds) as well as SFC authorized funds and RQFIIs. Our lawyers are able to advise and create investment vehicles and structures which are similar to those that are typical of private funds. These can be limited companies, limited partnerships or trusts. Our lawyers are also experienced in acting for investors (for example family offices, HNWIs and institutional investors) in their investments into private funds.

We are experienced in acting for clients in the entire licensing cycle – from initially obtaining the SFC license, to post licensing compliance and general support, to dealing with regulatory inspections, investigations, enforcements and disciplinary proceedings. We advise our clients on a wide range of licensing, regulatory, market conduct, broker-dealer and compliance related issues.

Banking and Compliance

Our lawyers have extensive experience in the banking business and in providing advice on banking operations and compliance related matters. We are regularly engaged by licensed banks in Hong Kong in providing legal advice comprising drafting legal documentations in connection with banking businesses including loan, security, internet banking and import and export bills financing documents. We also act for corporate borrowers in their financing transactions. In addition, we have acted for licensed banks in enforcement action taken by the regulator.

General Commercial and Corporate

Our lawyers are knowledgeable and experienced in a wide range of commercial transactions and business operations. Our clients include both local and international businesses, ranging from start-up businesses to listed corporations. Our services include drafting legal documentations in relation to business and share acquisitions and disposals, shareholder and employment arrangements, joint venture arrangements, corporate restructuring, partnership agreements and a wide range of general commercial transactions.

Intellectual Property

Intellectual property protects applications of ideas and information that are of commercial value. It also plays a significant role in the modern and digitized world. Our firm provides one-stop service for intellectual property and our lawyers have extensive experience in assisting client to protect intellectual property rights by registration of trade marks, designs and patents in Hong Kong or elsewhere. Our services also include advice on building up intellectual property portfolios and enforcement of, and litigation for, intellectual property rights.

In addition, we have built a strong network with major jurisdictions in the world to provide all-round services for intellectual property.

Other Practice Areas

Our services cover work undertaken by general legal practitioners including real estate and conveyancing, litigation, employment, formation of companies and company secretarial matters.

Mainland China & Taiwan Network

We have established an extensive Mainland China and Taiwan network by linking up with other law firms in prime cities in Mainland China and Taiwan including Shenzhen, Guangzhou, Shanghai, Beijing and Taipei for the provision of relevant services.

“Dedicated to offer Quality, Efficient and Tailor-Made service”

Our team of lawyers is highly experienced to deal with complex legal issues, to tackle legal problems and to provide effective legal solutions.

Regulatory compliance regulatory agency regulatory filing: 監管文件 regulatory affairs: 監管事務 regulatory arbitration: 監管仲裁 監管套利 Compliance Advisers Compliance Officer regulatory compliance中文: 法規遵從 律師事務所 Risk assurance Regulatory compliance Audit Compliance with Laws and Regulations Regulatory investigations SFC Investigation and Prosecution Regulatory crisis management sfc notice of investigation Regulatory enforcement Disciplinary proceedings Corporate disclosure Insider dealing Intermediary misconduct Market manipulation false information unlicensed dealing late disclosure of inside information alleged insider dealer bank accounts of suspected boiler rooms

Contact us for compliance and regulatory services, compliance company, compliance consultants, finance compliance consulting firms outsourcing, financial regulation and compliance regulatory compliance, auditing and assurance services business, financial services consulting firm, compliance legal specialist services, compliance consultancy outsourcing, regulatory agencies advisors, regulatory compliance law firm service, to ensure compliance of sec filing and sec compliance. Contact us for regulatory conformance risk assessment, financial regulatory auditing solution plan, regulatory compliance audit, global regulatory compliance testing and securities compliance, director compliance, regulatory compliance risk assessment, banking regulatory compliance, securities and futures financial resources, securities and futures licensing registration information rules, securities compliance legislation standards.