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