In Hong Kong, investment activities in the securities and futures markets are regulated by the Securities and Futures Commission (“SFC”) since 1989. The investigative, remedial and disciplinary powers of SFC are derived from the Securities and Futures Ordinance (“SFO”) and related subsidiary legislation. The SFC regulates a wide range of participants in the securities and futures markets, including fund managers.

ONC Lawyers has wide-range experience in assisting financial intermediaries such as fund managers, corporate finance and investment advisers and brokers. We assist our client on licensing approval criteria for the particular type of activity and application process. We have in-depth knowledge of the operation of SFC and the requirements under the SFO. We offer practical advice on daily regulatory issues and assist licensed corporation in developing and maintaining compliance programmes.

On top of the above, ONC Lawyers prepares submission or respond to consultation proposal on the securities and futures practice in Hong Kong.

If you would like to know more about our Asset Management & Funds practice or how we can help your business, please contact us at (852) 2810 1212 or at cc@onc.hk.

Please refer to our articles in ‘Knowledge’