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Asset Management
Fund Formation →

Regulatory & Compliance →
Corporate & Commercial →


Lawyer in New South Wales, Australia, 1998
Lawyer in England and Wales, 2003
Lawyer in Hong Kong, 2011

Mr. Ben Wong

 Senior Consultant

was qualified as a lawyer in New South Wales, Australia in 1998, in England and Wales in 2003 and in Hong Kong in 2011. He was previously a lawyer in the Sydney, London and Hong Kong offices of preeminent international law firms such as White & Case, Mayer Brown JSM and Norton Rose Fulbright, as well as being an in house deal counsel at Citi. Ben’s expertise is in financial services and in particular asset management. Ben has over 15 years of experience focused on acting for fund managers and investors in private funds. His clients on the fund manager’s side have ranged from start-ups, boutique asset managers, asset management arm of large international banks and securities firms. His clients on the investors’ side have included sovereign wealth funds, fund of funds, large financial institutions, single and multi-family offices, and high net worth individuals. Ben also acts for other types of financial services firms including broker dealers, financial advisors, financial intermediaries and FINTECH start-ups.


Asset Management and Fund Formation

Acting for Fund Managers:

  • assist on formation and launching of all types of regulated and unregulated collective investment schemes, including private equity funds, hedge funds, real estate funds, fund of hedge funds, fund of private equity funds, RQFII funds and products, other fund-linked financial and structured products and MPF schemes;
  • advice on and assist in creating a wide range of fund structures including parallel funds, master feeder structures, various types of umbrella structures, club-style funds, co-investment vehicles, simple single fund vehicles, single purpose funds and managed accounts. These funds include limited companies, limited partnerships, trust, segregated cell companies, whether domiciled in Hong Kong or offshore;
  • draft and review asset management and fund related agreements including investment management agreement, advisory agreement, managed account agreement, distribution agreement, custody agreement, fund administration agreement, prime brokerage agreements, ISDA and stock lending agreements;
  • structuring bespoke investment vehicles.

Acting for Investors:

  • conduct legal due diligence on fund managers;
  • reviewing and negotiating fund documents;
  • negotiating side letters and seeding arrangements with fund managers.

Regulatory and Compliance

  • assist a wide range of financial services firms in obtaining SFC licenses, seeking approvals for new substantial shareholders and removal of licensing conditions;
  • assist financial services firms in obtaining licenses issued by the HKMA (including licences pursuant to the Payment Systems and Stored Value Facilities Ordinance);
  • provide legal advice on all aspects of fund management business, including distribution of fund and fund products in Hong Kong, compliance with AML obligations and trading related legal and compliance issues;
  • assist financial services firms in preparing internal compliance and control documents and in fulfilling their continuing regulatory compliance obligations;
  • assist financial services firms with their regulatory investigations;
  • advising on FINTECHs on financial services regulatory issues.

Corporate and Commercial

  • assist shareholders and other stakeholders in asset management and other types of financial services businesses with their shareholding and incentive arrangements;
  • act for vendors or purchasers in relation to the sale and purchase of companies (including SFC licensed corporations) and forming JVs;
  • act for fund houses and portfolio companies on their acquisitions and disposal of investments;
  • prepare general commercial and financing agreements.

– a sample list of Ben’s present and past clients can be provided upon request

• advising on corporate finance, asset management attorney, auditing and assurance services, banking and bank compliance, compliance advisor analyst audit and compliance officer (compliance合規), convertible bond arbitrage, legal and corp governance, corporate and investment compliance, hedge fund compliance, regulatory compliance • enterprise and corporate governance companies law, corporate governance family business law, corporate governance manager, corporate governance report, disciplinary hearing and proceedings, stock manipulation laws • financial conduct authority, financial services conduct, insider trading policy, market manipulation law, market misconduct law, money lenders ordinance, securities and futures financial resources rules and securities litigation • sfc license, sfc licensed representative, sfc licenses, sfc regulator