{"id":5594,"date":"2021-08-03T12:00:54","date_gmt":"2021-08-03T12:00:54","guid":{"rendered":"https:\/\/oln-new.olnwp.wpengine.com\/practice-areas\/regulatory-practice\/"},"modified":"2024-04-24T06:39:38","modified_gmt":"2024-04-24T06:39:38","slug":"regulatory-practice","status":"publish","type":"practice-areas","link":"https:\/\/oln-law.com\/fr\/practice-areas\/regulatory-practice\/","title":{"rendered":"Financial Service and Regulatory"},"content":{"rendered":"\n<p>There is no exaggeration to say that Hong Kong is an international financial hub for the past decades, thanks in part to the world-class financial service regulatory framework and the robust monitoring and enforcement actions of the Securities and Futures Commission (SFC).&nbsp;<\/p>\n\n\n\n<p>By establishing its presence in Hong Kong, a financial institution enjoys the best of both worlds \u2013 the credentials of being regulated by a \u201cfirst tier\u201d jurisdiction, and a simple, one-tier tax system of a typical Asian city-state with a substantially lower effective tax rate than the Western counterparts.<\/p>\n\n\n\n<p>Our team has the requisite expertise to provide a one-stop service for current licensees, as well as prospective applicants, in setting up, maintaining and expanding its functions, covering every aspect of its operations.<\/p>\n\n\n\n<hr class=\"wp-block-separator has-alpha-channel-opacity\" \/>\n\n\n\n<h5 class=\"wp-block-heading has-large-font-size\"><strong>One-stop full service<\/strong><\/h5>\n\n\n\n<p>We understand the particular challenges facing a regulated institution in ensuring compliance in all aspects of its operations, including (without limitation) privacy and personal data protection, taxation, corporate governance and secretarial, employment and sub-contracting, and financial management.&nbsp;Our full service team leverages on expertise in all these areas to provide one-stop, fully integrated, practical solutions to our client.<\/p>\n\n\n\n<hr class=\"wp-block-separator has-alpha-channel-opacity\" \/>\n\n\n\n<h5 class=\"wp-block-heading has-large-font-size\"><strong>Flexible engagement structures<\/strong><\/h5>\n\n\n\n<p>Building good rapport and long-term relationship with our client is always our priority.&nbsp;&nbsp;We offer flexible engagement options tailor-made to the client\u2019s needs.&nbsp;We offer project-based, all-inclusive fixed fees for conducting licence applications and transactions, as well as preparing and reviewing template documents.&nbsp;We also offer annual or monthly retainer packages covering enquiries and advice in daily operations.<\/p>\n\n\n\n<hr class=\"wp-block-separator has-alpha-channel-opacity\" \/>\n\n\n\n<h5 class=\"wp-block-heading has-large-font-size\"><strong>Set-up stage<\/strong><\/h5>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Evaluating business plans and scope of proposed services and operations<\/li>\n\n\n\n<li>Identifying potential regulated activity(ies) and licence(s) required<\/li>\n\n\n\n<li>Analysing, evaluating and implementing options (application for a new licence vs acquisition of a licensed corporation) based on client\u2019s preference and circumstances<\/li>\n\n\n\n<li>Preparing and\/or reviewing internal control protocols and policies, template agreements and documents to ensure compliance<\/li>\n\n\n\n<li>Sourcing professional and other resources required for the compliance functions<\/li>\n<\/ul>\n\n\n\n<hr class=\"wp-block-separator has-alpha-channel-opacity\" \/>\n\n\n\n<h5 class=\"wp-block-heading has-large-font-size\"><strong>Maintenance stage<\/strong><\/h5>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Reviewing internal control policies in response to regulatory updates<\/li>\n\n\n\n<li>Evaluating proposed new business activities and operations, as well as projects and transactions, on legal and regulatory perspective<\/li>\n\n\n\n<li>Managing and advising on projects and transactions from start to finish<\/li>\n\n\n\n<li>Answering enquiries and providing legal and compliance advice on ad-hoc matters as and when required<\/li>\n\n\n\n<li>Advising on, setting up and maintaining offshore funds and special purpose structures<\/li>\n\n\n\n<li>Investigating and responding to enquiries from the SFC and (where relevant) The Stock Exchange of Hong Kong Limited<\/li>\n\n\n\n<li>Handling complaints from and disputes with clients of the financial institution<\/li>\n<\/ul>\n\n\n\n<hr class=\"wp-block-separator has-alpha-channel-opacity\" \/>\n","protected":false},"featured_media":5595,"template":"","categories":[174],"other_category":[169],"class_list":{"0":"post-5594","1":"practice-areas","2":"type-practice-areas","3":"status-publish","4":"has-post-thumbnail","6":"category-services-financiers-et-reglementations","7":"other_category-nos-services","8":"entry"},"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Financial Services Regulation Law | OLN<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/oln-law.com\/fr\/practice-areas\/regulatory-practice\/\" \/>\n<meta property=\"og:locale\" content=\"fr_FR\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Financial Services Regulation Law | OLN\" \/>\n<meta property=\"og:description\" content=\"There is no exaggeration to say that Hong Kong is an international financial hub for the past decades, thanks in part to the world-class financial service regulatory framework and the robust monitoring and enforcement actions of the Securities and Futures Commission (SFC).&nbsp; By establishing its presence in Hong Kong, a financial institution enjoys the best ...\" \/>\n<meta property=\"og:url\" content=\"https:\/\/oln-law.com\/fr\/practice-areas\/regulatory-practice\/\" \/>\n<meta property=\"og:site_name\" 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