Kenneth Hui is an associate in the Hong Kong office of Latham & Watkins. Mr. Hui is a member of the Financial Institutions Group and focuses on advising domestic and foreign financial institutions on regulatory issues.
Mr. Hui advises on a range of Hong Kong financial regulatory matters including licensing, marketing of products and services, conduct of business, money laundering, market misconduct, investigations, and regulatory aspects of M&A deals and other transactions. Mr. Hui has previously advised banks, brokers, private equity funds, asset managers, insurance companies, and other companies on matters relating to the Securities and Futures Commission (SFC), Hong Kong Monetary Authority (HKMA), Insurance Authority, and other regulators.
Prior to joining Latham, Mr. Hui worked at the Securities and Futures Commission, two Magic Circle law firms, and a leading international bank as a secondee.
Mr. Hui’s experience includes:
- Advising financial institutions on licensing requirements, including licensing requirements in respect of OTC derivative transactions*
- Advising an international bank on its application for a SFC license and the approval of its staff as responsible officers*
- Advising financial institutions on a range of conduct of business issues, including suitability, disclosure, reporting, record keeping, etc.*
- Advising domestic and foreign financial institutions on marketing of products and services in Hong Kong*
- Advising financial institutions on setting up new lines of business or restructuring of their existing business*
- Advising on regulatory matters in connection with the acquisition of banks, licensed corporations, insurance companies, and other entities regulated in Hong Kong*
- Advising financial and non-financial institutions on regulatory aspects of various types of transactions such as margin loans, bond issuances, convertible bond issuances, and complex derivative transactions*
- Advising international banks, private equity funds, asset managers, directors, and other individuals on their disclosure obligations in respect of their interest in Hong Kong listed shares*
- Advising a number of banks on their client documentation for compliance with local laws and regulations*
- Advising an overseas investment manager on its application to the SFC for the authorization of various funds*
- Advising an overseas investment manager on its continuing obligations in respect of SFC authorized funds, such as amendments to its constitutive documents and offering documents*
- Conducting internal reviews of certain business practices of international banks and a licensed corporation*
- Advising financial institutions on enquiries and investigations by the SFC and HKMA*
*Matter handled prior to joining Latham
Mr. Hui has previously been a guest speaker on anti-money laundering issues for post-graduate courses at the University of Hong Kong.