Securities Brokers and Dealers

Overview

Hong Kong has one of the world's most active and liquid public securities markets. It is a key gateway for the flow of capital into and out of China, with the Stock Connect programmes now providing direct trading linkages between the Hong Kong and Mainland Chinese stock exchanges and the Bond Connect programme now providing direct access from Hong Kong through to the debt capital markets of Mainland China.

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. We regularly advise on the full range of legal issues affecting the businesses of brokers and dealers, including corporate, commercial, tax, employment and securities law issue. We represent them in dealings with regulators, including the Securities and Futures Commission, the Stock Exchange of Hong Kong and the Hong Kong Futures Exchange. We understand the needs of institutional brokers and retail brokers and frequently advise on the establishment of operations, the launch of new products and services, and implications of emerging technologies and the associated legal and regulatory requirements.

Experience

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  • Counsel to the Hong Kong financial services arm of a global business conglomerate based in the People’s Republic of China that has entities listed on the Shenzhen Stock Exchange and Hong Kong Stock Exchange with annual revenues exceeding USD15 billion, in connection with a major restructuring of the client including a capital injection, the establishment of a joint venture and the structuring of the relationship between the parties

  • Co-counsel to a Fortune Global 200 financial institution in a USD80 million spin-off of its global private wealth management operations

  • Co-counsel to a Fortune Global 300 financial institution in respect of the USD430 million sale of its global commodities business

  • Representing a stock brokerage firm regulated by the SFC in connection with an arbitration regarding claims by a client for restitution based on allegations of fraudulent and unauthorized loss of client assets

  • Advising a managing director at one of the largest banks in Hong Kong in connection with the potential termination of his employment as a result of allegations of breaches of internal compliance requirements

  • Counsel to the Hong Kong financial services arm of a global business conglomerate based in the People’s Republic of China that has entities listed on the Shenzhen Stock Exchange and Hong Kong Stock Exchange with annual revenues exceeding USD15 billion, in connection with a major restructuring of the client including a capital injection, the establishment of a joint venture and the structuring of the relationship between the parties

  • Co-counsel to a Fortune Global 200 financial institution in a USD80 million spin-off of its global private wealth management operations

  • Co-counsel to a Fortune Global 300 financial institution in respect of the USD430 million sale of its global commodities business

  • Representing a stock brokerage firm regulated by the SFC in connection with an arbitration regarding claims by a client for restitution based on allegations of fraudulent and unauthorized loss of client assets

  • Advising a managing director at one of the largest banks in Hong Kong in connection with the potential termination of his employment as a result of allegations of breaches of internal compliance requirements

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

  • 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

Insights