Broking. Financing. Dealing.
We have deep experience in all aspects of securities and futures broking, leveraged foreign exchange and gold dealing, margin finance and securities borrowing and lending.
Securities and Futures
We have acted for introducing brokers, executing brokers and clearing and carrying brokers. We have substantial knowledge of the conduct of business requirements for these businesses, including the trading and clearing rules of the Stock Exchange of Hong Kong and the Futures Exchange of Hong Kong.
- Counsel to a U.S. based agency broker in relation to its acquisition of a seat on the Stock Exchange of Hong Kong
- Counsel to a Fortune Global 500 financial institution in respect of the restructuring of its commodities trading operations in Hong Kong
- Counsel to a European based hedge fund with US$1 billion of assets under management on the acquisition of a Hong Kong stock broker
OTC and Derivatives
We have substantial experience with over-the-counter (OTC) and derivatives products including in respect of the management of credit risks and legal risks.
- Counsel to a Fortune Global 500 financial institution in respect of the establishment of a securities options dealing service
- Counsel to a leading Asia region investment firm in relation to the launch of a new securities borrowing and lending service
- Counsel to an Asia based financial services firm in relation to its ISDA agreement