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Experience
- Advising on securities, banking, commodities and insurance regulations, compliance, licensing and other regulatory matters including the use of electronic means for delivery of financial services
- Has a long-established, close working relationship with regulatory authorities such as the Hong Kong Monetary Authority, the Securities and Futures Commission and the Insurance Authority, and can advise on likely approaches to be adopted by the regulators
- Preparing standard client and product documents for banks, brokers and other financial institutions, and loan and security documentation
- Advising on personal data privacy matters
Sara is a partner of JSM.Notable Engagements
- Obtaining / Surrendering licences and registration – assisting financial services providers and their personnel to obtain licences and registration from regulatory authorities, and to surrender licences and registration.
- Licensing and regulatory advice - advising private equity funds and hedge funds clients on licensing and regulatory implications for structuring and conducting activities in Hong Kong (including marketing of funds, fund raising and/or fund management).
- Inspections and investigations by regulatory authorities – assisting financial services providers in dealing with inspections and investigations, attending interviews of staff by regulators, providing strategic advice and working with public relations agencies on reputation management.
- Designing financial services and other products – assisting brokers, banks and financial institutions in designing products and preparing product documentation in light of applicable laws and regulations.
- Establishing virtual banks – assisting in obtaining approval.
- Personal data privacy – advising on implications of the personal data protection and confidentiality legislation and principles.
Education
The University of Hong Kong, LLB Languages
- English
- Cantonese
- Putonghua
Admitted
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