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.

  • 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

03 Jul 2018

From Insights

Recent updates on the PI Rules, the Code of Conduct and the Fund Manager Code of Conduct

There have been three regulatory updates following the consultations by the Securities and Futures Commission (SFC) on various topics.

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10 May 2018

From Insights

Are you ready for the GDPR?

The EU General Data Protection Regulation 2016 (GDPR) will come into effect on 25 May 2018. The GDPR aims to protect EU individuals’ data privacy rights and targets or..

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27 Feb 2018

From Insights

Hong Kong securities regulator warns of cryptocurrency risks again

On 9 February 2018, the Securities and Futures Commission (the “SFC”) issued a statement (the “Statement”), cautioning investors again of the potential risks of invest..

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22 Feb 2018

From Insights

Initial Coin Offerings and regulation - a review of significant jurisdictions

As anyone who is active in the blockchain space is very well aware, 2017 has seen an enormous increase in the number of "Initial Coin Offerings" (ICOs) that have been ..

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22 Dec 2017

From Insights

The SFC’s Fintech Regulatory Sandbox – What does this mean for you?

Following the launch of the Securities and Futures Commission’s Fintech Contact Point and Fintech Advisory Group in March 2016, the SFC introduced the Fintech Regulato..

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21 Dec 2017

From Insights

Bitcoin Futures – the SFC outlines the regulatory requirements and risks associated with cryptocurrency-related investment products

The Securities and Futures Commission released a circular on 11 December 2017, outlining the legal and regulatory requirements of providing financial services in relat..

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15 Sep 2017

From Insights

Setting up a P2P lending platform - What do you need to do?

Previously we have examined the potential HK regulatory pitfalls in equity crowd funding. We now examine the issues that may arise in loan crowdfunding, which is commo..

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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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