Securities and Futures

Overview

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.

Experience

  • 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

Awards

  • Co-counsel to a private investment firm in relation to its US$500 million acquisition of a global asset management operation

  • Co-counsel to a Fortune Global 200 financial institution in a US$80 million spin-off of its global private wealth management operations

  • Co-counsel to a private funds manager in relation to its acquisition of the private equity real estate firm with US$300 million of assets under management

  • Lead counsel to a US$1 billion hedge fund on its acquisition of a Hong Kong brokerage

  • Lead counsel to a Fortune Global 200 bank on its acquisition of a Hong Kong private client financial advisory business

Insights