• 让每一所乡村学校都“美”得有特点、“优”得有亮点 2019-03-25
  • 人民日报社黑龙江分社 2019-03-25
  • 美元短线拉升 随后回吐涨幅 2019-03-19
  • 人民网专访中国中小企业协会副会长、一带一路工作委员会主任商世伟 2019-03-19
  • 候选企业:神州优车集团 2019-03-17
  • 广西百色贫困山区经济社会发展现状调研报告 2019-03-17
  • 邻邦扫描:自卫队训练情报员讲中文 越军列装二手韩国战舰 2019-03-10
  • 欧宝将会在今年推出全新GT概念车 2019-03-08
  • 你轻信老伴四两枕边话?[微笑] 2019-03-08
  • 以保法治反腐公信力,以保中国社会普正义。 2019-03-06
  • 新时代 新担当 新作为 2019-03-06
  • 2017地方领导留言板APP2.0 2019-03-05
  • 《魔兽世界》怀旧服开荒时间最长的三大团队副本 2019-03-03
  • 新闻中心给记者留下美好记忆 2019-02-28
  • 中国和巴基斯坦将合拍电影《天路》 2019-02-28
  • Select Page

    Securities dealers

    Charltons provides high impact advice to securities dealers on all areas of their operations and through the full life cycle of their businesses.

    We help securities dealers to set up and structure their businesses in Hong Kong and assist in the preparation of shareholder and employment agreements. We advise securities dealers on SFC licensing requirements, approval criteria and application procedures. We can advise on whether (and what type of) SFC licence is required in a particular case, whether the experience and qualifications of proposed “responsible officers” are sufficient, and identify other issues that may arise during the application process. We will also coordinate the licensing application process, including assisting corporations to draft business plans and compliance and operations manuals, working with clients to respond to queries raised by the SFC, and preparing applications for exemptions or waivers from particular licensing requirements.

    We can also assist licensed securities dealers to draft securities and futures trading agreements, stock borrowing agreements and other contracts with clients. We advise securities dealers on their on-going obligations as licensed persons, providing guidance on the Financial Resources Rules, Client Money Rules and Client Securities Rules, updating compliance manuals, policies and procedures to reflect the evolving Hong Kong regulatory and compliance framework for financial intermediaries, reviewing internal control systems (for example relating to record keeping and staff dealing) and suggesting fixes for identified deficiencies, and assisting in establishing client take on procedures, in particular “know-your-client” and anti-money laundering policies, and procedures to verify professional investor status.

    We advise securities dealers on the regulatory implications of offering investment products in Hong Kong. We help clients to structure and launch investment products, advising on the applicable regulatory framework and suggesting structures, selling restrictions and other solutions.

    We have a dynamic capital markets practice with extensive experience in negotiating underwriting and placing agreements in connection with IPOs and follow-on offerings on both the Main Board and the Growth Enterprise Market (GEM) of the Hong Kong Stock Exchange. Our M&A team can also advise on restructurings of financial groups involving securities and futures businesses, add-on acquisitions or disposals, and due diligence on target companies.

    Charltons can also assist securities dealers in relation to SFC investigations, enforcement and disciplinary matters. Our experience includes advising SFC licensed corporations on misconduct by employees and advising financial intermediaries on potential unauthorised selling of investment products and carrying on “regulated activities” without proper licensing.

    We provide an insightful and highly personalised service to clients, and aim to deliver legal advice on complex issues in plain language.

     

    023期特码生肖:Securities dealers

    SFC licensing requirements

    Corporate finance law

    Securities dealers legal advice

    Hong Kong Corporate finance law

    Hong Kong legal advice for Securities dealers

    Hong Kong Securities and Futures Commission SFC licensing requirements

    Coordinate SFC licensing application process

    Assist licensed securities dealers to draft securities and futures trading agreements

    Financial resources rules

    Client money rules
    Client securities rules
    Regulatory implications of offering investment products in Hong Kong
    Hong Kong securities regulator
    Financial law

    Privacy Preference Center

    Strictly Necessary

    Cookies that are necessary for the site to function properly.

    gdpr, PHPSESSID

    Performance

    These are used to track user interaction and detect potential problems. These help us improve our services by providing analytical data on how users use this site.

    _ga, _gat, _gid, _atuvc, _atuvs

  • 让每一所乡村学校都“美”得有特点、“优”得有亮点 2019-03-25
  • 人民日报社黑龙江分社 2019-03-25
  • 美元短线拉升 随后回吐涨幅 2019-03-19
  • 人民网专访中国中小企业协会副会长、一带一路工作委员会主任商世伟 2019-03-19
  • 候选企业:神州优车集团 2019-03-17
  • 广西百色贫困山区经济社会发展现状调研报告 2019-03-17
  • 邻邦扫描:自卫队训练情报员讲中文 越军列装二手韩国战舰 2019-03-10
  • 欧宝将会在今年推出全新GT概念车 2019-03-08
  • 你轻信老伴四两枕边话?[微笑] 2019-03-08
  • 以保法治反腐公信力,以保中国社会普正义。 2019-03-06
  • 新时代 新担当 新作为 2019-03-06
  • 2017地方领导留言板APP2.0 2019-03-05
  • 《魔兽世界》怀旧服开荒时间最长的三大团队副本 2019-03-03
  • 新闻中心给记者留下美好记忆 2019-02-28
  • 中国和巴基斯坦将合拍电影《天路》 2019-02-28