Mutual Funds

Overview

Hong Kong is a leading asset management centre serviced by a diverse and broad pool of investment professionals as well as a leading fund distribution centre in Asia, with deep pools of retail capital as well as significant assets held by high net worth individuals. The significant increase of inbound investment into China and outbound investment from Chinese investors to markets around the world routed through Hong Kong has facilitated the material growth of assets under management in Hong Kong.

We frequently represent asset managers in the formation and marketing of unit trusts and mutual funds. We have experience in making applications for regulatory authorization from the Securities and Futures Commission ("SFC") for sale to the retail public and for the listing of funds for trading on the Stock Exchange of Hong Kong. We advise in relation to the SFC Investment Product Handbook, including most significantly the Code on Unit Trusts and Mutual Funds, as well as the full range of applicable corporate, trust, securities and tax law issues which may affect players in this sector.

Experience

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  • Counsel to Fortune Global 100 financial institution in relation to the public launch of UCITS III equities and fixed income fund in Hong Kong

  • Counsel to a Fortune Global 100 financial institution in relation to the transition of GBP11 billion UCITS I equities fund to UCITS III

  • Counsel to a Fortune Global 100 financial institution in relation to the transition of GBP4 billion UCITS I fixed income fund to UCITS III

  • Counsel to Fortune Global 100 financial institution in relation establishment of fund marketing operations in Greater China

  • Counsel to a Fortune Global 100 financial institution in relation to the launch of a unit trust and mutual fund dealing and custody platform in Hong Kong

  • Counsel to a European based financial services company with a market capitalization of over USD10 billion on the establishment of fund marketing operations in Greater China

  • Advising a Canadian public investment management company listed on the Toronto Stock Exchange with over USD140 billion under management in connection with regulatory issues arising from its business in Hong Kong

  • Advising an NYSE listed asset management firm in connection with Hong Kong short selling reporting requirements

  • Advising Hong Kong asset managers in highlighting risks and recommendations in advance of SFC inspections

  • Counsel to Fortune Global 100 financial institution in relation to the public launch of UCITS III equities and fixed income fund in Hong Kong

  • Counsel to a Fortune Global 100 financial institution in relation to the transition of GBP11 billion UCITS I equities fund to UCITS III

  • Counsel to a Fortune Global 100 financial institution in relation to the transition of GBP4 billion UCITS I fixed income fund to UCITS III

  • Counsel to Fortune Global 100 financial institution in relation establishment of fund marketing operations in Greater China

  • Counsel to a Fortune Global 100 financial institution in relation to the launch of a unit trust and mutual fund dealing and custody platform in Hong Kong

  • Counsel to a European based financial services company with a market capitalization of over USD10 billion on the establishment of fund marketing operations in Greater China

  • Advising a Canadian public investment management company listed on the Toronto Stock Exchange with over USD140 billion under management in connection with regulatory issues arising from its business in Hong Kong

  • Advising an NYSE listed asset management firm in connection with Hong Kong short selling reporting requirements

  • Advising Hong Kong asset managers in highlighting risks and recommendations in advance of SFC inspections

Awards

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  • Corporate INTL Magazine

    Regulatory Law Firm of the Year in Hong Kong

    Financial Services Regulatory

  • Chambers & Partners

    Leading Practice

    Financial Services Regulatory

  • Chambers & Partners

    Leading Individual

    Financial Services Regulatory

  • Legal 500

    Leading Individual

    Financial Services Regulatory

  • Legal 500

    "Recommended Practice"

    Financial Services Regulatory

  • IFLR 1000

    Leading Practice

    Financial Services Regulatory

  • Asialaw Profiles

    Leading Practice

    Financial Services Regulatory

  • Asialaw Profiles

    Market-Leading Lawyer

    Financial Services Regulatory

  • Chambers & Partners

    Leading Lawyer

    Financial Services Regulatory

  • Asialaw Leading Lawyers

    Market-Leading Lawyer

    Financial Services Regulatory

  • Asialaw Profiles

    Outstanding Practice

    Financial Services Regulatory

  • IFLR 1000

    "Positively Ranked"

    Financial Services Regulatory

  • IFLR 1000

    Highly Regarded Lawyer

    Financial Services Regulatory

  • Chambers & Partners

    Well Regarded Lawyer

    Financial Services Regulatory

  • Chambers & Partners

    Leading Practice

    Investment Funds

  • Chambers & Partners

    Leading Individual

    Investment Funds

  • Legal 500

    Recommended Practice

    Investment Funds

  • Chambers & Partners

    Leading Lawyer

    Investment Funds

  • Asialaw Profiles

    Leading Practice

    Investment Funds

  • Asialaw Profiles

    Market-Leading Lawyer

    Investment Funds

  • Asialaw Leading Lawyers

    Market-Leading Lawyer

    Investment Funds

  • Asialaw Profiles

    Highly Recommended

    Investment Funds

  • IFLR 1000

    Leading Practice

    Retail Funds

  • IFLR 1000

    "Positively Ranked"

    Retail Funds

  • Corporate INTL Magazine

    Regulatory Law Firm of the Year in Hong Kong

    Financial Services Regulatory

  • Chambers & Partners

    Leading Practice

    Financial Services Regulatory

  • Chambers & Partners

    Leading Individual

    Financial Services Regulatory

  • Legal 500

    Leading Individual

    Financial Services Regulatory

  • Legal 500

    "Recommended Practice"

    Financial Services Regulatory

  • IFLR 1000

    Leading Practice

    Financial Services Regulatory

  • Asialaw Profiles

    Leading Practice

    Financial Services Regulatory

  • Asialaw Profiles

    Market-Leading Lawyer

    Financial Services Regulatory

  • Chambers & Partners

    Leading Lawyer

    Financial Services Regulatory

  • Asialaw Leading Lawyers

    Market-Leading Lawyer

    Financial Services Regulatory

  • Asialaw Profiles

    Outstanding Practice

    Financial Services Regulatory

  • IFLR 1000

    "Positively Ranked"

    Financial Services Regulatory

  • IFLR 1000

    Highly Regarded Lawyer

    Financial Services Regulatory

  • Chambers & Partners

    Well Regarded Lawyer

    Financial Services Regulatory

  • Chambers & Partners

    Leading Practice

    Investment Funds

  • Chambers & Partners

    Leading Individual

    Investment Funds

  • Legal 500

    Recommended Practice

    Investment Funds

  • Chambers & Partners

    Leading Lawyer

    Investment Funds

  • Asialaw Profiles

    Leading Practice

    Investment Funds

  • Asialaw Profiles

    Market-Leading Lawyer

    Investment Funds

  • Asialaw Leading Lawyers

    Market-Leading Lawyer

    Investment Funds

  • Asialaw Profiles

    Highly Recommended

    Investment Funds

  • IFLR 1000

    Leading Practice

    Retail Funds

  • IFLR 1000

    "Positively Ranked"

    Retail Funds

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