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Timothy Loh LLP is a pre-eminent Hong Kong regulatory law firm. Our Hong Kong regulatory lawyers have particular experience advising on laws and regulations governing all financial services sectors in Hong Kong, including securities and futures, virtual assets, banking, insurance and payment and clearing systems.
We have represented private equity firms, hedge fund managers, insurance companies, insurance brokers and other financial institutions in M&A transactions the aggregate value of which exceeds US$30 billion. Our regulatory lawyers have successfully represented private equity sponsors, hedge fund managers, global operators of electronic trading and clearing systems and digital asset platforms, global private banks and wealth managers, global broker-dealers, regional banks, global insurance companies, listed companies and state owned enterprises in some of their most challenging contentious and non-contentious Hong Kong regulatory matters. In the former regard, our regulatory lawyers are highly sophisticated and experienced in regulatory enquiries, regulatory investigations and prosecution action by the Securities and Futures Commission ("SFC"), the Hong Kong Monetary Authority ("HKMA") and Insurance Authority ("IA").
Our Hong Kong regulatory law practice includes internationally recognized sub-practices in:
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Contact UsAdditional Services
sfc investigation
& PROSECUTION
We are frequently the Hong Kong regulatory law firm of choice for clients to respond to SFC enforcement action, including investigations and prosecutions, providing guidance on how respond to SFC requests to produce documents or answer written questions, how to prepare for and handle an SFC interview, what steps to take in the event of the execution of a warrant to enter and search premises and how to address a notice of proposed disciplinary action or a summons in connection with criminal proceedings.
Should you find yourself in the unfortunate situation of being under investigation or facing prosecution, we offer guidance to help you navigate potential pitfalls and present your case in the best light.
sfc regulatory
COMPLIANCE
Our Hong Kong regulatory lawyers offer comprehensive support to SFC licensed corporations in respect of ongoing compliance with regulatory requirements and obligations under the Securities and Futures Ordinance (“SFO”) and the SFC Code of Conduct, the Fund Manager Code of Conduct (“FMCC”), the Corporate Finance Adviser Code of Conduct, the Internal Control Guidelines as well as guidance and circulars issued by the SFC.
In the rapidly evolving landscape, compliance can pose a challenge for most companies. Let our Hong Kong legal team assist you in streamlining this process, ensuring your company's adherence to regulatory standards.
financial market
INFRASTRUCTURE
We are a dominant Hong Kong regulatory law firm in advising operators of trading and clearing platforms and advising on Hong Kong laws and regulations governing financial market infrastructure.
Our Hong Kong regulatory lawyers have guided clients through regulatory requirements for automated trading services (“ATS”) and have represented clients in applying for authorization or licensing by the SFC as an ATS provider, issuing legal opinions on the application of insolvency laws to clearing operations, advising on trading and clearing rules in the event of exchange and clearing member default and on the effect of various specialized statutory regimes in respect of financial market infrastructure, including under the Financial Institutions (Resolution) Ordinance (“FIRO”) and the Securities and Futures Ordinance (“SFO”).
regulatory obligations for
INSURANCE COMPANIES
With regards to insurance, our Hong Kong regulatory lawyers frequently advise insurance companies, agents and brokers regulated by the Insurance Authority (“IA”).
We advise on ongoing regulatory obligations under the Insurance Ordinance (“IO”) and codes and guidelines issued by the IA including those in the Code of Conduct for Licensed Insurance Brokers and the Code of Conduct for Licensed Insurance Agents. We advise on regulatory obligations in respect of specialized products such as the Code on Investment Linked Assurance Schemes (“ILAS Code”) and the Mandatory Provident Fund Schemes Ordinance (“MPFSO”) and related codes and guidelines issued by the SFC and the Mandatory Provident Fund Schemes Authority (“MPFA”).
Through our market leading M&A practice, we have significant experience with mergers and acquisitions involving IA regulated insurers and insurance brokers as well as MPFA regulated intermediaries and trustees and SFC regulated ILAS schemes.
banking
SERVICES
In the banking sphere, our Hong Kong regulatory lawyers assist authorised institutions in complying with regulations administered by the Hong Kong Monetary Authority (“HKMA”) including obligations under the HKMA Supervisory Manual and conduct of business requirements issued by the SFC.
We provide legal advice to electronic payment system operators (including store value facility operators) on applicable regulatory requirements and obligations, including those in the Payment Systems and Stored Value Facilities Ordinance (“PSSVF”) and AMLO.