Regulatory Compliance

To maintain and promote the fairness, efficiency, transparency and orderliness of the financial industry of Hong Kong, sophisticated regulation has been put in place to market participants. Financial regulation is also a rapidly evolving area as financial technology advances and global market environment changes.

Having established in the international financial centre of Hong Kong, we provide clients with all-round advice, which takes into account various factors such as regulatory compliance, potential legal liability, vetting process by the regulators, corporate governance and business reputation. We are experienced in handling a wide range of regulatory issues both on a local and multi-jurisdictional basis.

We support clients on formulating practical measures in preventing non-compliance and in minimising risks of disciplinary, civil and criminal penalties. For instance, we have advised clients on structuring capital market transactions, which complies with the Main Board and GEM Listing Rules of SEHK, and the regulations relating to derivatives and securitization.

Our high calibre team can provide your business with innovative solutions in this increasingly regulated financial market.

Our related regulatory compliance services include advising clients on dealing with anti-money laundering investigations and white-collar crimes. Please refer to our Commercial Crime and Litigation & Dispute Resolution practices.

If you would like to know more about our capital markets practice or how we can help your business, please contact us at (852) 2810 1212 or at

Please refer to our articles in ‘Knowledge’

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