Regulatory

Robertsons’ dedicated Fintech team provides advisory services to Fintech innovators, startups and investors on a number of matters including advice on various regulatory matters, corporate and management (re)structures, and issues related to fund raising (including through ICOs and pre-ICO funding as well).

Examples of Robertsons’ work in the Fintech space includes:-

• Advised on creation of one of Hong Kong and India’s first P2P lending platforms.
• Advised on US$26 million ICO of cryptocurrency backed debit and credit cards.
• Advising on planned ICO launching shortly concerning blockchain based facial recognition technology.
• Advised on creation of investment fund providing asset management and related investment and advisory services specific to the blockchain and cryptocurrency spaces led by former head of markets of ANZ Bank.

Robertsons’ Fintech team also provides ongoing compliance advice and assistance to Fintech companies and investors in the Fintech space on all aspects of their fintech business and investments in the territory.

Our Regulatory Investigations and Proceedings team has substantial experience in dealing with enquiries and investigations by the Securities and Futures Commission (SFC), the Hong Kong Monetary Authority, the Hong Kong Stock Exchange and the Confederation of Insurance Brokers. In addition, we have acted in several cases of prosecutions before the Market Misconduct Tribunal, in proceedings in the Securities and Futures Appeals Tribunal and in various contested proceedings pursued by the SFC in its regulatory watchdog role.

We also work closely with our Criminal and Commercial Crime Department on more serious investigations undertaken by the regulatory authorities in the Territory.

Robertsons’ Licensing and Compliance team provide a wide array of specialist services to meet the increasingly complex requirements of our clients in one of Asia’s leading financial services centres.

In addition to representing a broad range of financial services’ clients, and advising them on all areas of the regulatory regimes in Hong Kong, we regularly assist funds and asset managers in establishing a presence in the territory and obtaining the requisite licenses for their businesses here. We have represented clients in their applications for the various types of licences issued by Securities and Futures Commission (“SFC”) as well as assisting these clients in all matters relating to the ongoing maintenance of their licences.  We also advise on licensing matters for institutions regulated by the Hong Kong Monetary Authority as well as as licensed companies under Money Lenders Ordinance.

In conjunction with our Private Equity & Commercial Department, we have acted on numerous successful applications to approve takeovers of SFC – licensed vehicles. Together with our Corporate Finance and Capital Markets Department, we act on the regulatory aspects of all types of transactions undertaken by listed companies in Hong Kong.

More generally, our Regulatory Team provides ongoing compliance advice and assistance to banks, financial institutions, regulated intermediaries and Hong Kong listed companies on all aspects of their business in the territory.

• Fintech
• Regulatory Investigations & Proceedings
• Licensing & Compliance