Hong Kong SFC Inspections & Audits Lawyers

In our SFC Inspections and Audits practice, our highly experienced regulatory lawyers routinely advise SFC licensed corporations, including stock brokerage firms, traders, hedge fund managers, investment banks, corporate finance sponsors and advisers, wealth managers, financial advisers and other intermediaries on how to deal with SFC inspections and audits under section 180 of the Securities and Futures Ordinance (“SFO”).

We offer a deep understanding of both market practices in the securities and futures markets and SFC regulatory expectations. Combined with an understanding of the boundaries of requirements under the SFO, we identify and pre-empt concerns which the SFC may have before they become the subject of SFC criticism and advise clients on how to make a case to resist finding a breach or non-compliance.

We have a market-leading Financial Services Regulatory Practice and have been recognized by IFLR1000, the Legal 500, Chambers and Partners, and other authoritative bodies. Through engaging our firm, expect seamless compliance, risk mitigation, and steadfast support through every regulatory challenge.

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.