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Hong Kong Securities, Futures and Funds Lawyer

Securities and Futures

ONC Lawyers' practice in securities and futures involves the following services:

  • Giving advice on and preparing documents for the establishment of securities and futures company / business
  • Giving advice on and preparing documents for application for licence or registration for securities and futures trading, brokerage and dealing
  • Preparing agreements and documents relating to securities and futures trading, brokerage and dealing
  • Preparing dealing service agreements for provision of securities dealing and settlement arrangements
  • Preparing securities lending agreements
  • Preparing documents for investment products, including convertible note, warrant, equity linked note and equity linked securities
  • Giving advice on legal and regulatory compliance
  • Giving advice and preparing documents relating to acquisition of securities & futures brokerage business, performing due diligence and liaising with relevant regulatory bodies
  • Giving advice and preparing documents relating to the restructuring of financial groups involving securities and futures brokerage business
  • Giving advice on investigations conducted by regulatory bodies such as SFC
  • General retainer services relating to securities and futures brokerage and investment advisory business

Investment Fund and Asset Management
ONC Lawyers' practice in investment fund and asset management involves the following services:

  • Giving advice and preparing documents relating to the establishment of asset management company
  • Giving advice on and preparing documents for application for licence or registration for asset management business
  • Giving advice on and preparing documents for establishment of various types of private investment funds
  • Giving advice on and preparing documents for establishment of various types of public and authorized investment funds
  • Preparing agreements and documents relating to asset management business
  • General retainer services relating to asset management business