Financial Markets

We offer complete and comprehensive advice on Hong Kong’s financial regulations.

Our financial regulatory services include:

  • SFC inquiries, interviews and investigations
  • Stock Exchange inquiries and investigations
  • SFC licensing applications and ongoing compliance matters
  • Licensing applications for money lenders, money services operators, payment services operators and stored value facilities (SVFs)
  • Licensing and regulation of insurers and insurance intermediaries
  • Compliance with anti-money laundering and counter-terrorism financing laws and regulations
  • Compliance training and SFC mock inspection
  • Reviewing compliance policies and procedures
  • Regulatory and compliance assurance

Greg Heaton


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Nickolas Sam

Of Counsel

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