Contact details

Katherine Liu

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

Awards

Recommended lawyer for Fintech: foreign firms- China/ Banking and finance – Hong Kong

Recommended lawyer for Fintech: foreign firms- China/ Banking and finance – Hong Kong

Next generation partner for Regulatory – Hong Kong

Next generation partner for Regulatory – Hong Kong

Asian Legal Business 40 under 40 2020

Asian Legal Business 40 under 40 2020

Katherine Liu Partner

Contact details

Katherine Liu

Katherine Liu
Partner

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

Being a partner of the regulatory team in Hong Kong, with a focus on the financial services sector, Katherine advises clients on a wide range of issues, including compliance with financial services laws and regulations, employment and personal data laws. She is known to be responsive and able to give precise and commercially sound advice.
  • Profile
  • Services

Her clients include financial services providers (such as banks, brokers, financial advisers, asset managers and Fintech companies) and financial services users (such as borrowers, investors and issuers). She has acted for various financial institutions relating to the establishment of their financial services business in Hong Kong, advised them on their on-going operational and compliance issues and some of their mergers and acquisitions or closures.

In recent years, she has worked with a number of fintech startups and established financial institutions in establishing their online businesses. Her first fintech-related experience started when she assisted a e-wallet company in obtaining a stored value facility licence, and has since moved on to advise a number of traditional and new financial institutions on the development of their websites and mobile apps to facilitate online investment trading or online lending. She has recently worked with a virtual bank on its standard client documentation and two financial services groups to digitalise their financial services.

Katherine regularly speaks at seminars and conferences on financial services regulations, seeks to raise people’s awareness on topical issues and considers how new technological and legal developments can impact the financial services industry. She was one of the top 5 finalists for the “Young Lawyer of the Year” award at the ALB Hong Kong Law Awards in 2019. She was also listed in ALB's "40 under 40" most outstanding lawyers in Asia in 2020 and recognised as "Next Generation Partner (Regulatory)" by Legal 500 Asia Pacific 2021.

"Katherine Liu is easily reachable and quickly responsive."
The Legal 500 Asia Pacific 2021

  • 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

Awards

Recommended lawyer for Fintech: foreign firms- China/ Banking and finance – Hong Kong

Recommended lawyer for Fintech: foreign firms- China/ Banking and finance – Hong Kong

Next generation partner for Regulatory – Hong Kong

Next generation partner for Regulatory – Hong Kong

Asian Legal Business 40 under 40 2020

Asian Legal Business 40 under 40 2020

Latest news & insights

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21 Jul 2021

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12 Jul 2021

From Insights

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23 Jun 2021

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18 Jun 2021

From Insights

Consultation conclusions: regulatory regimes for virtual asset exchanges and dealers in precious metals and stones

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28 May 2021

From Insights

Hong Kong employment law update: suspensions of staff

Unclear drafting of the suspension provisions in section 11 of the Employment Ordinance ("EO") have meant employers and Human Resources managers have needed to tread v..

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19 Mar 2021

From Insights

Money lending regime: more stringent regulatory measures

As we have discussed in our article "Money lending in Hong Kong – pitfalls for lenders and protections for borrowers", the Consumer Council published a report in Septe..

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21 Jan 2021

From Insights

Coronavirus guidance

With our strong presence in Asia, Stephenson Harwood has been involved in addressing the issues surrounding coronavirus (COVID-19) right from the very start.

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29 Dec 2020

From Insights

SFC proposes new investor ID regime

On 4 December 2020, the SFC issued a consultation on proposals to implement a new investor identification regime at the trading level (as opposed to the ownership leve..

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23 Dec 2020

From Insights

SFC consults on proposed enhancements to competency framework for intermediaries and individual practitioners

We have summarised the proposed changes to the Competence Guidelines and the CPT Guidelines in our latest article.

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11 Nov 2020

From Insights

Two new regulatory regimes: virtual asset services providers and dealers in precious metals and stones

On 3 November 2020, coinciding with Hong Kong's fintech week, the Financial Services and the Treasury Bureau ("FSTB") launched their public consultation on legislative..

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20 Oct 2020

From News

Huay Yee Kwan and Katherine Liu recognised in ALB’s 40 under 40 list

Stephenson Harwood partners Huay Yee Kwan and Katherine Liu have been recognised in Asian Legal Business’ (ALB) 40 under 40 2020 list.

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25 Sep 2020

From Insights

SFC's additional guidance on licensing requirements for family offices

On January 7 2020, the Securties and Futures Commission (the "SFC") issued two circulars to clarify the licensing requirements for private equity ("PE") firms and fami..

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03 Sep 2020

From Insights

When a search of a mobile phone or device by the Hong Kong Police is lawful

This update is about the recent important Court of Appeal decision in SHAM WING KAN v COMMISSIONER OF POLICE [2020] HKCA 186.

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04 Jun 2020

From News

Stephenson Harwood advises HKT Flexi Limited on successful launch

Law firm Stephenson Harwood LLP has advised HKT Flexi Limited (HKTF), a subsidiary of HKT Limited, on its successful launch of its money lending business in Hong Kong.

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05 May 2020

From Insights

Regulatory update : Hong Kong Police and ICAC search warrants

In our last update issued on 2 April 2020, we discussed the recent judgment of the Honorable Mr Justice Chow which dismissed challenges to the Securities and Futures C..

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