Grounded Ingenuity | Refined Results


In our Financial Institutions M&A practice, we advise buyers and sellers of regulated financial institutions, including stock brokerage firms, futures and derivative trading firms, hedge fund managers, private equity sponsors and other asset managers, wealth managers, private banks, insurance companies and insurance brokerage firms. We have acted both as lead counsel and, in global deals where New York or London based M&A law firms have sought specialist knowledge on Hong Kong subsidiaries involved in the transaction, as local Hong Kong counsel.

Our cross-disciplinary practice is a synergy of our internationally recognized Financial Services Regulatory and Mergers and Acquisitions expertise. Guided by market-leading regulatory and corporate lawyers, we advise buyers and sellers, offering a comprehensive approach to regulated financial institutions' acquisitions and mergers.

Leveraging more than twenty years of experience serving clients in the financial sector, our firm has carved out a formidable standing as the preferred organisation for businesses in search of tailored and inventive legal guidance.


Acquisitions Of
SFC Regulated
Securities Firms

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Our market leading regulatory and corporate lawyers have experience in mergers and acquisitions involving firms regulated by the Securities and Futures Commission (“SFC”) (including SFC licensed corporations and SFC registered institutions) or firms with products authorized by the SFC.

Facilitating Control

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We specialize in change of control transactions, acquisitions of minority interests, and joint ventures. Our experience ensures seamless transitions, working with firms regulated by the Securities and Futures Commission (“SFC”), aligning strategies with your business objectives.

Under SFO

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We guide clients through the intricate regulatory requirements of the Securities and Futures Ordinance (“SFO”), including substantial shareholder approvals, post-completion notifications of changes in shareholding structure, and approvals and notifications in respect of changes in business plans, changes in management personnel and changes in key personnel under the Code on Unit Trusts and Mutual Funds (“Mutual Fund Code”).

Acquisitions Of

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Our regulatory and corporate lawyers are experienced in the mergers and acquisitions of insurance companies and insurance agents and brokers regulated by the Insurance Authority (“IA”).

Our lawyers have seasoned expertise in mergers and acquisitions of companies regulated by the Insurance Authority (“IA”). We manage compliance with change of control requirements, including securing no-objections or consents from the IA in respect of changes of controllers, directors or key control function personnel, and ensuring compliance with notification requirements.

We ensure compliance with regulatory obligations because of a change of controller under the Code on Investment Linked Assurance Schemes (“ILAS Code”) where an insurer offers investment linked assurance schemes (“ILAS”), or under the Mandatory Provident Fund Schemes Ordinance (“MPFSO”) where an insurer’s affiliate offers Mandatory Provident Fund schemes regulated by the Mandatory Provident Fund Schemes Authority (“MPFA”). Our methodical approach ensures a thorough understanding and adherence to the legal frameworks, protecting and advancing your interests.

Our legal team has been recognised by:

“Leading Practice”

“Market Leading Lawyer”

“Leading Practice”

“Leading Lawyer”

“Highly Regarded Lawyer”



With deep expertise in advising on financial institution M&A transactions, our legal team can help with acquisitions of SFC and IA regulated firms, facilitating control transitions, compliance under SFO and the IO, advising on deal structure and terms and assisting with due diligence.

Contact us if you need assistance.

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