金融服务业监管

概览

一直以来,我们的金融服务监管业务被包括《国际金融法律评论》(IFLR1000)、The Legal 500、钱伯斯 (Chambers and Partners)、《亚洲法律概况》 (Asialaw Profiles) 在内的多家国际法律评级机构评定为一流推荐业务。我们的律师也一贯被形容为该领域的“领军人物”以及“被高度评价的律师”。

我们的对冲基金私募基金、投资基金与零售基金业务也受益于我们在金融服务监管领域丰富的专业知识。我们有关上述基金的业务亦获得多家国际法律评级机构的认可。

同时,我们的金融服务监管业务在香港证监会的调查、起诉上诉案件以及市场失当行为的审理程序中补充了我们的白领犯罪与监管辩护业务。

证券及期货市场

我们优秀的金融服务监管业务律师频繁为香港证监会下的持牌机构、个人以及持牌机构的负责人与高管提供法律咨询服务。

我们就香港证监会牌照提供的法律服务亦获得了对冲基金经理、私募基金发起人、单位信托与共同基金经理、经纪公司、财富管理人以及独立财务顾问的一致信赖。

我们的业务范围涵盖:

  • 香港证监会牌照业务,包括是否需要申请牌照,需要申请何种牌照,以及如何满足证监会有关牌照申请的要求

  • 香港证监会的检查与审计,包括如何为证监会检查作准备,如何回应证监会质询,以及如何回应证监会在检查中索要文件与信息的请求

  • 香港证监会的调查与起诉包括如何为面谈作准备,如何回应证监会索要文件及书面答复的通知,以及如何回应证监会拟采取纪律处分的通知或传票

  • 香港证监会的监管合规,包括持续遵守《证券及期货条例》下的监管规定与证监会不时发布的守则、指引及通函(例如《证监会持牌人或注册人操守准则》《基金经理操守准则》《适当人选的指引》《胜任能力的指引》

  • 反洗钱与经济制裁,包括遵守香港有关反洗钱的法律规定及监管指引

  • 香港证监会下被监管机构的并购,包括证监会下持牌的公司、银行、保险公司、证监会批准的共同基金、单位信托或与投资有关的人寿保险计划,以及由于控制权或主要股东变更而产生的监管合规义务

金融市场基础设施

我们优秀的金融服务监管业务律师在香港及海外的金融市场基础设施(例如交易与清算系统运营商)领域拥有丰富的执业经验。我们的业务范围涵盖:

  • 协助电子交易与清算系统运营商以确定其是否属于自动化交易服务而须获香港证监会批准,并在必要时候申请证监会的批准

  • 为经营期货与金融衍生品的清算系统的清算成员就破产 后的应对方案向香港证监会提供法律意见

  • 确定《证券及期货条例》《公司(清盘及杂项条文)条例》《金融机构(处置机制)条例》下的破产条款在交易与清算安排中的适用

  • 审查香港联交所被授予的股票市场垄断的范围,以及在香港经营期货市场和商品交易所的法定限制

保险

我们为香港保险业监管局规管下的保险公司、保险代理人及保险经纪人提供法律服务。我们的业务范围涵盖:

  • 《保险业条例》下的持续合规义务,以及香港保险业监管局、香港证监会不时发布的守则与指引(例如《与投资有关的人寿保险计划守则》)下的持续合规义务

  • 《强制性公积金计划条例》下有关强积金的规定,以及强制性公积金计划管理局对于强积金的监管

  • 《保险业条例》下牌照的申请,以及保险代理人与保险经纪人的持续合规义务(例如《持牌保险经纪操守守则》《持牌保险代理人操守守则》下的合规义务)

此外,受益于我们一流的并购业务,我们在香港保险业监管局规管下的保险公司及保险经纪人的并购事务方面亦拥有丰富经验。

银行、借贷与货币服务

在银行、借贷与货币服务领域,我们的业务范围涵盖:

  • 协助受监管机构(例如银行)持续遵守香港金融管理局发布的监管手册、指引,以及香港证监会发布的业务要求(针对香港证监会下的注册机构)

  • 向电子支付系统运营商(例如储蓄支付工具运营商)就相关监管规则(例如《支付系统及储值支付工具条例》《打击洗钱及恐怖分子资金筹集条例》)与合规义务提供法律意见

  • 协助放贷人履行合规义务,包括《放债人条例》下的牌照要求,并就牌照要求豁免、信息披露以及利率规定提供法律意见

  • 作为我们反洗钱与经济制裁业务的重要组成部分,就金钱服务经营者业务(例如货币兑换业务及汇款业务)提供法律服务(例如《打击洗钱及恐怖分子资金筹集条例》下的牌照申请)

我们经验丰富的金融服务监管业务律师将纯熟的法律技能与对香港及国际商业环境的深刻理解相结合,为客户提供完善的法律意见,战略性的见解以及务实的解决方案,以满足客户的商业需求。

奖项

钱伯斯法律评级机构 (Chambers and Partners)

金融服务业监管

“一流业务 ”

钱伯斯法律评级机构 (Chambers and Partners)

金融服务业监管

“杰出个人”

钱伯斯法律评级机构 (Chambers and Partners)

金融服务业监管

“杰出律师”

钱伯斯法律评级机构 (Chambers and Partners)

金融服务业监管

“被认可律师”

IFLR 1000

金融服务业监管

“积极评价”

IFLR 1000

金融服务业监管

金融服务业监管

Legal 500

金融服务业监管

“杰出个人”

Legal 500

金融服务业监管

“推荐业务”

《亚洲法律概况》 (Asialaw Profiles)

金融服务业监管

“一流业务”

《亚洲法律概况》 (Asialaw Profiles)

金融服务业监管

“杰出业务 ”

《亚洲法律概况》 (Asialaw Profiles)

金融服务业监管

“领军人物 ”

《亚洲法律概况》 (Asialaw Profiles)

金融服务业监管

“杰出律师 ”

 

经历

Acquisition of Trading Membership in Stock Exchange of Hong Kong for U.S Based Global Institution

Lead counsel to a US based global institutional agency broker in connection with the acquisition of a Trading Right and the application to become an Exchange Participant and the establishment of third party clearing arrangements.

Establishment of Broking-Dealing Office in Hong Kong for a Fortune Global 200 Financial Institution

Lead counsel to a Fortune Global 200 financial institution in relation to the establishment of a non-equities broking and dealing business in Hong Kong.

Global Corporate Re-Organization of Financial Institution

Hong Kong counsel to a Fortune Global 200 financial institution advising on complex tax and securities and insurance regulatory issues in connection with a global re-organization in connection with US Government TARP funding.

Defence of Regulatory Investigation into Crypto Exchange

Lead counsel to one of the world’s largest cryptocurrency exchanges in connection with an SFC investigation and an HKMA investigation. The exchange has daily digital asset trading volume exceeding US$4 billion.

Spin-off of Global Commodities Business

Hong Kong counsel to a Fortune Global 200 financial institution in respect of the US$430 million spin-off of its global commodities brokerage and derivatives business.

分布式分类帐技术与金融科技

Hong Kong counsel to a U.S. based insurer with over US$500 billion of assets under management in respect of the US$1.7 billion sale of an interest in its Hong Kong life insurance operations in exchange for an interest in Hong Kong listed fintech focused financial services provider.

证券经纪人与证券交易员

Lead counsel to one of the world’s largest precious metals trading exchanges in respect of the structuring and issuance of a stablecoin which was created and redeemed upon delivery of underlying precious metal.

税务领域助力某世界500强金融机构完成集团重组

Hong Kong counsel to Fortune Global 200 financial institution in connection with a multi-step global corporate restructuring which triggered complex tax and regulatory issues.

代表某对冲基金经理解决与前雇主的劳动纠纷

Lead counsel to a portfolio manager of a PRC based asset management firm with over US$110 billion of assets under management in connection with potential employment, regulatory and negligence claims arising from a trading loss exceeding US$100 million.

香港市场失当行为审裁处应诉

Lead counsel before the Market Misconduct Tribunal, the Court of Appeal and the Court of Final Appeal in precedent setting market manipulation case stemming from the issuance of a short selling report targeting a PRC based company listed on the Stock Exchange of Hong Kong.

在香港终审法院推翻针对对冲基金违反《证券及期货条例》的指控

Lead counsel to a hedge fund manager in a successful appeal to the Court of Final Appeal in a precedent setting case which defined the scope and application of the professional investors exemption.

帮助某企业前雇员洗脱欺诈罪嫌疑

Lead counsel to former employee of a US based bank in respect of suspicions of fraud and dishonesty arising from trading activities. Advised on potential criminal offences and prepared submissions which ultimately resulted in no prosecution moving forward.

助力某金融机构出售旗下价值1.02亿美元的私人财富管理业务

Hong Kong counsel to U.S. based Fortune Global 200 financial institution with a market capitalization of over US$35 billion in respect of US$102 million sale of its private wealth management business to a European based financial institution.

帮助某中国资产管理人应对香港证监会检查

Lead counsel to PRC based asset manager with US$15 billion of assets under management in connection with an SFC inspection of its Hong Kong offices. Successfully assisted client to avoid adverse findings following initial compliance concerns.

助力某美国对冲基金开设香港办公室

Lead counsel to New York based hedge fund manager with over US$4 billion of assets under management on establishment of Hong Kong operations. Fund focused on volatility and convertible arbitrage and special situations. Addressed all corporate, tax, employment and regulatory issues.

助力某美国基金经理对香港私募房地产基金经理的投资与联合经营

Co-counsel to US private funds manager on an investment into a Hong Kong private equity real estate fund manager with US$450 million of assets under management.

助力某 UCITS III共同基金获得香港证监会授权

Hong Kong counsel to European based asset manager with over €500 billion of assets under management in respect of the marketing of its flagship UCTIS funds in Hong Kong and mainland China.

法律研究

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