Contact details

Katherine Liu

T: +852 2533 2717 M: +852 6193 5227 Email Katherine | Vcard Office: Hong Kong

Katherine Liu Senior associate

Contact details

Katherine Liu

Katherine Liu
Senior associate

T: +852 2533 2717 M: +852 6193 5227 Email Katherine | Vcard Office: Hong Kong

Being a member of the regulatory compliance team and focusing on financial services sector, Katherine has advised financial services clients on a wide range of issues such as regulatory compliance, commercial and employment law issues for more than 10 years. She is known to be able to give precise and commercially sound advice.
  • Profile
  • Services

Her clients include financial services providers (such as banks, brokers, financial advisers and fund managers) and financial services users (such as borrowers, investors and issuers). She has acted for various banks and financial institutions relating to their establishment of securities-related or money lending business in Hong Kong and advised them on their on-going operational and compliance issues. She also advises on financing and refinancing transactions.

Katherine graduated with an LLB degree from University College London and then obtained her Master of Laws (Chinese Law) and PCLL from the University of Hong Kong. She joined Stephenson Harwood as a trainee in 2005.

  • Regulatory compliance
  • Finance

Financial business licensing

Advising what regulatory licences are needed for banking, lending broking, advisory and other financial services businesses and obtaining those licences.

Financial product authorisation

Advising how financial products may be marketed and obtaining any regulatory authorisations needed.

Financial services compliance

Advising on compliance with financial services laws, regulations and codes and assisting with investigations by regulatory bodies.

More: Regulatory compliance

Lender side

Structuring, documenting and negotiating secured and unsecured financings of all kinds for banks, money lenders, funds and other lenders.

Borrower side

Negotiating secured and unsecured financings of all kinds for financial institutions, corporates, individuals, funds and other borrowers.

Finance asset sales and mergers

Advising buyers and sellers of loans and other finance assets including providing guidance on mergers of financial institutions.

More: Finance

Latest news & insights

31 Aug 2016

From News

Stephenson Harwood advises on landmark stored value license in Hong Kong

Stephenson Harwood has advised TNG on its successful application to the Hong Kong Monetary Authority for a licence to provide stored value facilities (SVF).

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16 Aug 2016

From Insights

Dangers of selling managed real estate projects, Structuring unregulated multi-investor private investment vehicles

During this year, certain court decisions and SFC enforcement activity have shed some light on the regulatory issues arising when structuring and selling real estate i..

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05 Jun 2015

From Insights

Regulatory update - Court of Final Appeal’s ruling on an investment product advertising case

We look at a recent high court decision concerning the relief of distributors of securities investments in Hong Kong.

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