Contact details

Katherine Liu

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

Awards

Legal 500 Asia Pacific 2020 (China) - Fintech: foreign firms/ Legal 500 Asia Pacific 2020 (Hong Kong) – Banking and finance; Regulatory

Legal 500 Asia Pacific 2020 (China) - Fintech: foreign firms/ Legal 500 Asia Pacific 2020 (Hong Kong) – Banking and finance; Regulatory

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. She has also recently acted for a few fintech companies and advised them on how to structure their business.

She regularly deals with regulators in Hong Kong such as the Securities and Futures Commission, the Hong Kong Monetary Authority, the Police and the Customs & Excise Department.

"Katherine Liu maintains a great balance between legal advice and commercial realities."
The Legal 500 Asia Pacific 2020

  • 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

Legal 500 Asia Pacific 2020 (China) - Fintech: foreign firms/ Legal 500 Asia Pacific 2020 (Hong Kong) – Banking and finance; Regulatory

Legal 500 Asia Pacific 2020 (China) - Fintech: foreign firms/ Legal 500 Asia Pacific 2020 (Hong Kong) – Banking and finance; Regulatory

Latest news & insights

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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12 Aug 2020

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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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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07 Apr 2020

From Insights

SFC provides regulatory relief for SFC-licensed businesses affected by COVID-19

On 5 February 2020, the Securities and Futures Commission (the "SFC") released a circular acknowledging the disruptions caused by COVID-19 to licensed corporations ("L..

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28 Feb 2020

From Insights

Managing the impact of the novel coronavirus outbreak – a brief guide for SFC-licensed businesses 管控新型冠状病毒爆发的影响 — 持牌法团简明指南

The Securities and Futures Commission have in previous years issued various guidance on the measures that licensed corporations should implement to manage the effects ..

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20 Feb 2020

From Insights

在香港借贷—放债人应避免的陷阱与对借款人的保障

截至2019年12月31日,香港已有超过2,300个持牌放债人。持牌放债人位于银行系统之外,为个人和公司提供了一个替代性融资渠道。

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17 Feb 2020

From Insights

Money lending in Hong Kong - pitfalls for lenders and protections for borrowers

As at 31 December 2019, there were more than 2,300 licensed money lenders in Hong Kong. Licensed money lenders, which are outside the banking system, provide an altern..

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04 Feb 2020

From Insights

香港证监会申明私募股本公司及家族办公室的发牌要求

2020年1月7日,香港证券及期货事务监察委员会(“证监会”)发出两份通函,申明香港私募股本公司及家族办公室的发牌规定。

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17 Jan 2020

From Insights

SFC’s clarification on licensing requirements for private equity firms and family offices

On January 7 2020, the Securities and Futures Commission (“SFC”) issued two circulars to clarify the licensing requirements for private equity (“PE”) firms and family ..

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03 Oct 2019

From Insights

The Court’s strict interpretation of a job offer allows an employee to back out of their obligations with impunity

Recently in Law Ting Pong Secondary School v Chen Wai Wah [2019] HKCFI 2236, the Court of First Instance overturned the decision made by the Labour Tribunal concerning..

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11 Apr 2019

From News

Stephenson Harwood promotes thirteen to partnership

Law firm Stephenson Harwood LLP has promoted thirteen lawyers in its largest round of internal partner promotions. They will take effect on 1 May 2019.

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09 Apr 2019

From Insights

香港证监会因保荐人失职开出史上最高罚款

2019年3月14日,香港的证券及期货事务监察委员会(“证监会”)针对上市申请中保荐人的失职行为开出史上最高罚款。所有该等失职行为均由证监会认为的尽职调查不足所引发。

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25 Mar 2019

From Insights

SFC imposes largest ever fines for sponsor failures

On 14 March 2019, Hong Kong’s securities regulator, the Securities and Futures Commission (the “SFC”) imposed its largest ever fines for sponsor failures in IPOs. All ..

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