Select Page

                    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.


                    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

                    Privacy Preference Center

                    Strictly Necessary

                    Cookies that are necessary for the site to function properly.

                    gdpr, PHPSESSID


                    These are used to track user interaction and detect potential problems. These help us improve our services by providing analytical data on how users use this site.

                    _ga, _gat, _gid, _atuvc, _atuvs


                                                        双色球4个红球相同 体彩排列五走势图最近500 彩票吉林时时彩走势图 河北11选5任八技巧 香港白小姐四不像彩图 云南快乐十分开奖走势图 一尾中特连准 双色球彩票资讯 幸运武林走势图 陕西十一选五开奖直播 银河赌场网址 老11选5定胆技巧 重庆百变王牌开奖直播官网 p3开机号码 六肖中特准资料