Regulatory compliance

Financial business licensing

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

Financial product authorisation

Advising on whether and, if so, 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, including the drafting and revamping of standard documentation.

Yacht and superyacht

Sale and purchase

Advising both sellers and buyers on the legal aspects of a yacht sale and purchase, particularly as it pertains to documentation, title due diligence, closing, flagging and title transfer.

Yacht financing

Advising lenders on yacht financing loans as regards both new builds and non-new builds.

Yacht advisory

Advising yacht owners, shipbuilders and berth managers on yacht-related regulatory and licencing issues.

Finance

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 assets

Advising buyers and sellers of loans and other finance assets.

Technology

Securities brokerage

Advising one of Hong Kong's largest retail securities brokerage and fin-tech companies on a wide range of matters, including: (i) drafting their extensive client agreement and standard form client documentation, which account for 7 different types of regulated activities under the Hong Kong Securities and Futures Ordinance, (ii) advising on their launch of new products and services, including the brokerage of cryptocurrencies, NFTs and other virtual assets, and the provision of robo and automated investment advice, and (iii) advising on their collaboration with other local and international fintech companies, involving credit cards and payment systems.

Fintech

Advising a number of virtual banks and other fintech companies on the following: (i) their licensing applications with the relevant regulator(s), (ii) the digitization of their existing businesses, and (ii) their launch of new fintech products and services, including B2B and B2C payment and remittance systems, currency exchange systems, centralized KYC/AML platforms, and electronic investment systems.

Personal data and data privacy

Advising various clients on personal data privacy and data security. Highlights include advising a multi-national shipping conglomerate on the relocation of its servers from Hong Kong to Singapore. James frequently drafts personal data-related standard documentation for financial institutions. 

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