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    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

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  • 苹果高管驳斥iPhone计划报废说 iOS 12就是证据 2019-05-07
  • 热门楼盘趁势而入迎热销 红六月正式上线 ——凤凰网房产天津 2019-04-29
  • 国家税务总局:国地税改革进入具体实施操作阶段 2019-04-28
  • 习近平关于生态环境保护的十个精妙论述 2019-04-28
  • 生态环境部严厉打击转移倾倒固体废物及危险废物 2019-04-27
  • 马克思的每个人全面而自由发展,是人的最高需求层次理论。 2019-04-22
  • 空调还装墙壁上?聪明人都是往这里装,好看又省地 ——凤凰网房产 2019-04-22
  • 这下就真的更加坐实你的老蚕了,所有网友都是见证!想赖都赖不掉了。 2019-04-20
  • 空姐,到底要不要漂亮?-光明时评 2019-04-18
  • 沃尔沃全新S60高性能版官图曝光 2019-04-18
  • [视频]《乡村振兴战略大家谈》第六集4分钟精编版 2019-04-12
  • 赵哲春季写真大公开 百变风格切换自如 2019-04-07
  • “无中生有”也能助力文旅 2019-04-07
  • 坚守一条红线 维护生态安全(在习近平新时代中国特色社会主义思想指引下——新时代新作为新篇章) 2019-04-07
  • 中国石油呼和浩特石化公司获第十二届人民企业社会责任奖年度环保奖 2019-04-07