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Profile of Investment Banking Club

Set up in the form of a club managed by a committee as part of the Association of Securities Companies on 20 December 1996

Objectives of Investment Banking Club

  • To support and improve the investment banking business, and the securities business in general
  • To promote and develop operating standards of the investment banking business, in both principle and practice
  • To represent the members in cooperating and coordinating with agencies concerned with a view to developing the investment banking business
  • To ensure that the members comply with the rules, regulations and code of business ethics established by the Club
  • To coordinate cooperation among the members in solving problems related to the investment banking business and settling disputes among the members or with outside parties regarding the investment banking business
  • To promote studies, research and dissemination


Members of the Club are companies licensed to operate securities business in the category of investment advisory service or securities underwriting, or financial institutions or juristic entities with an objective to operate investment advisory or accounting advisory service. Presently, there are 76 member companies, comprising

 Securities companies

34 companies


9 banks

 Investment advisory companies

33 companies

Club Committee

There are 15 Committee Member, comprising

  • One Chairman elected by members
  • Eight representatives of member companies of the Association of Securities Companies
  • Five representatives of other companies which are non-members of the Association and at least one out of five proposed and elected by company non-members whose business category is commercial banks.
  • Secretary General of the Association (who is Club Committee ex officio)

Advisory Group

The Advisory Group comprises three Directors of the Association of Securities Companies and a maximum of six other resource persons and representatives of other associations concerned. The term of the Advisory Group members is one year

Club Administration

Eligible candidates to be elected or appointed Chairman and Committee Members must hold a senior executive position in the investment banking function of member companies. The term of the Committee Members is three years.