University of Hong Kong (LL.M. in Corporate & Financial Law)
Hong Kong Polytechnics University (Master in Corporate Finance)
University of London (LL.B.)
Practice Areas
Compliance & Regulations on Banking, Securities and Asset Management
Professional Qualification
Admitted as solicitor in Hong Kong
Admitted to the roll of solicitors in England & Wales
Certified AML Professional (CAMLP)
Part-time Lecturer at Faculty of Laws, Chinese University of Hong Kong
Mr. Edward Li is well-versed with experience in dealing with the HKMA and the SFC regulatory matters. He has over 20 years of legal experience and was previously holding senior positions in bank, investment bank and asset manager including:-
- Executive Director of a listed investment bank with market cap over HKD10 Billion;
- Alternate Chief Executive of a licensed bank authorized by the HKMA to conduct banking business in Hong Kong;
- Director of Legal & Compliance in an asset manager with businesses in hedge fund, fund-of-hedge-fund, real estate fund, private equity fund and wealth management.
Regulatory Investigation
- dealing with the SFC/HKMA on regulatory investigations, e.g. investigations on AML, investment product selling, insider dealing, market manipulations and short selling;
- attending interviews with clients on the SFC/HKMA on investigations; and
- handling regulatory enquiry on behalf of clients.
Compliance Advice
- advising on compliance with SFC Code of Conducts such as professional investor regime and suitability obligations;
- advising on AML compliance rules and regulations; and
- advising on compliance with Banking Ordinance, Securities and Futures Ordinance, Personal Data (Privacy) Ordinance etc.
Terms and Conditions of Business
- drafting terms and conditions for banking, securities, private banking and asset management services; and
- preparing customized compliance manuals for meeting regulatory requirements.
