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Investment Advisory Agreement Hk

Banks registered by the CFS in accordance with the Securities and Futures Regulations may also engage in regulated securities or futures trading activities. Hong Kong Monetary Authority (HKMA) is the regulator of banks and their advisory/sales staff. To check whether bank employees are allowed to carry out regulated activities, you can consult the Register of Member States` Officials on the HKMA website. If you are not satisfied with all aspects of an investment advisor`s behaviour, you can file a complaint. The first step is to address the issue directly with the company you have dealt with. If you are not satisfied with the answer, you can refer the question to the regulators. Investments made under discretionary investment agreements and advice under investment advisory agreements mainly include equities, bonds and/or other securities with fluctuating prices (subject to the risk of exchange rate fluctuations if currencies are denominated in foreign currency). As a result, the estimated value of the assets of the managed client varies and may be the main investment. We assist financial advisors in the creation and structuring of their Hong Kong operations and in the preparation of shareholder and employment contracts. We offer our clients an informative and highly personalized service and we offer to provide legal advice on complex issues in simple language. Charltons provides legal advice and a number of legal services to financial advisors. We have experience with SFC licensing requirements and investment advisory contracts. Charltons advises investment advisory firms, corporate financial advisors, investment catering companies, financial planners and other financial advisors across all areas of their business and across the entire lifecycle of their businesses.

Charltons can also assist financial advisors with cfS investigations, enforcement issues and disciplinary matters. Our experience is to advise SFC-licensed companies in the event of employee misconduct and to advise financial intermediaries on potential unauthorized sales of investment products and the conduct of regulated activities without an adequate license. The CFS does not grant or regulate all “investment advisors.” The term “investment advisor” is an indefinite and generic term that is generally used to describe intermediaries (individuals or companies) who sell and advise financial products such as securities, insurance contracts, mortgages and deposits. These investment advisors are subject to different regulatory regimes depending on the nature of the activities they carry out. The main risks associated with investment advisory contracts and discretionary investment agreements are listed below: we have a dynamic capital market practice with long experience in negotiating development and investment agreements related to IPOs and consecutive offers, both on the main board of directors and in the growth business market (GEM) of the Hong Kong Stock Exchange.