Ms. Kinki Lam

– Senior Legal Executive–

Ms. Kinki Lam

 Senior Legal Executive

Ms. Kinki Lam, joined Messrs. Yu, Chan & Yeung Solicitors in 2013 and is a Senior Legal Executive, who is equipped with a diverse set of skills, specializing in compliance for financial service industry, has sound and all-round experience in SFC-related regulatory compliance and SFC various license applications (both corporate and individual applications).

Kinki is engaged in the following services under the supervision of our handling solicitor and/or supervising partner:-

SFC Licensing Matters

• To assist clients in the entire license application process with respect to licenses for Types 1, 2, 3, 4, 5, 6, 7 and 9 regulated activities under the SFO

• To work on the application for removal / variation of the licensing conditions imposed on clients

• To deal with application for approval to become substantial shareholders of the SFC licensed corporations

Participantship Applications

• To handle the entire application process for admission as an Exchange Participant (for both SEHK and HKFE) and Direct Clearing Participant (for both HKSCC and HKCC)

Other Licensing Matters

• To participate in providing services to clients for application for trust company and Money Lender licenses as well as Money Service Operator licenses

Ongoing Regulatory Compliance Matters

• To provide services with respect to SFC regulatory inspections, investigations, enforcements and disciplinary proceedings
• To provide services to corporations licensed by SFC and banks licensed by HKMA on complying with their ongoing regulatory compliance obligations

• To review internal controls policies and procedures, agreements, forms and internal documents for the SFC licensed corporations from compliance perspective (e.g. Compliance Manual, Margin Policy, Operations Risk and Control Plan, Risk Management Policy, AML Guidelines, Terms and Conditions and Account Opening Form)

General Corporate Matters

• To assist fee earner in drafting various commercial documents (e.g. Sale and Purchase Agreement of Shares, Distribution Agreement, Investment Management Agreement, Loan Agreement and Security Documents)
• To carry out due diligence towards the transactions in relation to sale and purchase of shares and acquisition of assets

Fund Formation

• To take part in preparation of fund documentation for offshore Open-Ended Funds, Closed-End Funds and Private Equity Fund (i.e. Hong Kong Limited Partnership Fund)

Education

• LL.B. (Hons), Manchester Metropolitan University

Language

• Chinese (Cantonese and Mandarin)
• English