Financial Intermediaries

Financial Intermediaries

Providing integrated legal services for financial intermediaries

Across the globe, financial intermediaries seek out our structuring capability to assist them with theirs and rely on our knowledge of the relevant compliance, enforcement and broker-dealer framework. We go beyond the technical and transactional advice, bringing together experts from different disciplines and regions to put the law or “lore” in the context of the full spectrum of their business objectives.

Our experience spans decades, advising on the regulatory and legal framework for financial intermediaries. We regularly advise on the development of new products, regulatory requirements, compliance, tax, codes of practice and protocols, regulatory investigations, securities litigation and alternative risk structures.

If you are a financial intermediary, our lawyers can advise you on:

  • Authorisation and licensing
  • Codes of practice
  • Regulatory investigations
  • Class actions
  • Securities litigation
  • Regulatory change and compliance
  • Structuring techniques
  • Tax
  • Marketing materials
  • Securities distribution arrangements (including client engagement)
  • Derivatives contracts and regulation
  • Independent reviews to reduce conduct and legal risk.
"The knowledge of the subject matter is excellent, and their interpretation of the rules is first-class."

- Chambers

We have a full team specialising in this area.

Discover our latest insights into legal issues affecting your business

We analyse the HKMA's regulatory guidance on big data analytics and artificial intelligence applications.

13 January 2020

We summarise the key implications on regulatory enforcement trends based on the SFC's latest quarterly report.

03 January 2020

We discuss two significant recent insolvency law judgments given by the Hong Kong courts.

23 December 2019

Based on an SFC circular on the use of external electronic data storage providers, we look into why organisations are moving to the Cloud.

12 December 2019

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