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We have substantial experience dealing with regulators in respect of applications for licensing, authorization and other matters within the ambit of regulatory discretion and regularly act for financial institutions in the management of regulatory relations as well as compliance, litigation and reputational risks.
We advise on best practices, corporate governance and internal controls, identifying areas of specific concern and developing strategies to address those concerns. We provide ongoing compliance support to trading, portfolio management, sales, research and investment banking operations.
Representative Experience
Conducting a full compliance review for the asset management operations of a Fortune Global 200 financial institution Conducting a mock SFC audit of the Hong Kong offices of a hedge fund manager with over US$4 billion in assets under management
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Asia-Pacific Legal 500 - "Highly commended" in financial services regulatory
Timothy Loh
+852 2899.0179
tloh@timothyloh.com
Gavin Cumming
+852 2899.0149
gcumming@timothyloh.com
SFC Guidance on Requirements for Licensing under the Law: Reliable or Not
New Short Position Reporting: Analysis of Hong Kong Proposals
New Proposals to Regulate Mis-Selling of Investment Funds & Structured Products in Hong Kong: Right or Wrong?
How to Start a Hedge Fund in Hong Kong: A Legal Primer
"Communications from Collective Investment Schemes Authorized in Hong Kong: A Snapshot of SFC Proposals
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