Hong Kong Securities Regulation

The Hong Kong securities market is one of the largest and most dynamic in the world. Our lawyers have decades of experience helping corporations tap into this pool of capital.

We advise Hong Kong, Chinese and international companies, banks and financial institutions, private equity groups, hedge fund managers and individuals on compliance with the increasingly complex securities regulatory regime in Hong Kong, supervised by the Hong Kong Stock Exchange (HKEx) and the Securities and Futures Commission (SFC).

Our regulatory practice includes advice on:

  • HKEx main board and GEM Listing Rules,
  • Securities and Futures Ordinance and related legislation and regulations,
  • SFC Codes and Guidelines,
  • applications for licensing by the SFC,
  • continuing obligations of licensed intermediaries, and
  • regulation of investment products.

We also act for listed companies in Hong Kong and their directors or senior staff as well as other financial intermediaries and their licensed representatives and responsible officers involved in statutory investigations or disciplinary proceedings brought by regulatory authorities (such as the Securities and Futures Commission and the Hong Kong Stock Exchange) and statutory bodies (such as the Market Misconduct Tribunal).

As part of our Securities Regulation practice, we provide advice to private equity, venture capital and hedge fund managers and advisors on regulatory matters under the Securities and Futures Ordinance. We assist managers and advisors with setting up in Hong Kong, applications for licences from the SFC for their businesses and staff and with their ongoing compliance obligations such as disclosures of interests in shares.

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