James Wong

James Wong is a trusted advisor to high-profile securities brokerage firms, fintech companies, and multinational financial institutions. His expertise spans financial services and fintech regulation, helping clients navigate the complexities of securities, banking, asset management, virtual assets and payments regulations. James is known for his strategic insight and ability to craft innovative business models that stretch across overlapping financial regulatory regimes, often finding exemptions, as well as his ability to draft highly bespoke and technical documentation. 

He provides comprehensive support in regulatory compliance, financial product authorisation, and financial services compliance, assisting clients in obtaining necessary licences and authorisations. He also represents clients on commercial contract negotiations. 

• One of Hong Kong's largest securities brokers - Revamp of client agreement

  Complete revamp of the client-facing securities agreement for one of Hong Kong's largest securities brokers to align with its new business processes and rapid expansion, including the launch of new products and services such as virtual asset trading, robo-advice and SPAC trading.  

• Central Asian bank - Advising on the launch of a bank branch

  Advising a Central Asian bank on all aspects (including extensive cooperation with the Hong Kong Monetary Authority) of the establishment of its first overseas bank branch. The establishment would also represent the first bank branch opening from that jurisdiction for Hong Kong. 

• A leading provider of online securities trading services in Hong Kong - Collaboration with other financial institutions

  Structured and drafted bespoke documentation in respect of a novel collaboration between a leading provider of online securities trading services in Hong Kong with a money lending firm and a payment company to launch co-branded credit cards where the credit limit was tied to the value of securities in the client's securities account.