Securities, Futures & Funds

Securities and Futures

Our practice in securities and futures involves the following services:-

  • giving advice on and preparing documents for the establishment of securities and futures company / business
  • giving advice on and preparing documents for application for licence or registration for securities and futures trading, brokerage and dealing
  • preparing agreements and documents relating to securities and futures trading, brokerage and dealing
  • preparing dealing service agreements for provision of securities dealing and settlement arrangements
  • preparing securities lending agreements
  • preparing documents for investment products, including convertible note, warrant, equity linked note and equity linked securities
  • giving advice on legal and regulatory compliance
  • giving advice and preparing documents relating to acquisition of securities & futures brokerage business, performing due diligence and liaising with relevant regulatory bodies
  • giving advice and preparing documents relating to the restructuring of financial groups involving securities and futures brokerage business
  • giving advice on investigations conducted by regulatory bodies such as SFC
  • general retainer services relating to securities and futures brokerage and investment advisory business

 

Investment Fund and Asset Management

Our practice in investment fund and asset management involves the following services:-

  • giving advice and preparing documents relating to the establishment of asset management company
  • giving advice on and preparing documents for application for licence or registration for asset management business
  • giving advice on and preparing documents for establishment of various types of private investment funds
  • giving advice on and preparing documents for establishment of various types of public and authorized investment funds
  • preparing agreements and documents relating to asset management business
  • general retainer services relating to asset management business