Eddy advises Hong Kong‑licensed cash equity brokers on securities services, business structure, and third‑party provider selection. We support firms in navigating regulatory expectations, managing operational risk, and optimising cost bases with structures that are explainable, defensible, and auditable.
Advisory Focus
Securities Services RFP & Selection
Independent facilitation of RFP processes for clearing, custody, settlement, and execution providers, ensuring objective comparison, commercial clarity, and operational fit.
Securities Services Architecture
Advisory on end‑to‑end securities services arrangements, with attention to counterparty risk, operational resilience, and regulatory transparency.
Brokerage Business Structuring
Entity, booking, and operating model design to minimise duplicated cost, capital inefficiency, and unnecessary regulatory exposure.
Regulatory & Control Optimisation
Practical support across licensing scope, internal controls, and reporting frameworks designed to withstand SFC review and external audit scrutiny.
Our Approach
- Independent. Advice free from provider incentives or distribution bias.
- Regulation‑conscious. Structures designed to be explainable and auditable.
- Market‑aware. Grounded in the realities of Hong Kong cash equity brokerage.
- Execution‑focused. Clear recommendations that can be implemented without disruption.
Engage
If you operate or support an SFC‑licensed cash equity brokerage and are reviewing your securities services providers, regulatory footprint, or operating cost structure, we would be pleased to discuss how Eddy can assist.
Contact Eddy