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NDA Financial Services

NDA Financial Services Template for Hong Kong

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Key Requirements PROMPT example:

NDA Financial Services

"I need a Financial Services NDA for a Hong Kong fintech startup sharing sensitive trading algorithms with a potential investor, with specific provisions for source code protection and a confidentiality period until March 2025."

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Document background
The Financial Services NDA (Non-Disclosure Agreement) is essential for protecting confidential information in Hong Kong's dynamic financial sector. This document is particularly relevant when financial institutions, service providers, or technology vendors need to exchange sensitive information during business discussions, due diligence processes, or ongoing service relationships. The agreement incorporates specific requirements from Hong Kong's regulatory framework, including provisions from the Securities and Futures Ordinance, Banking Ordinance, and Personal Data (Privacy) Ordinance. It is designed to protect various types of confidential information including trading strategies, client data, financial models, proprietary software, and market analyses, while ensuring compliance with regulatory obligations and reporting requirements specific to the financial services sector.
Suggested Sections

1. Parties: Identification of the disclosing and receiving parties, including their registered addresses and company details

2. Background: Context of the relationship and purpose of sharing confidential information in relation to financial services

3. Definitions: Key terms including 'Confidential Information', 'Financial Services', 'Permitted Purpose', and 'Representatives'

4. Scope of Confidential Information: Detailed description of what constitutes confidential information in the financial services context

5. Obligations of Confidentiality: Core confidentiality obligations including use restrictions and security measures

6. Permitted Disclosures: Circumstances under which confidential information may be disclosed, including to regulators and professional advisers

7. Return or Destruction of Confidential Information: Obligations regarding the handling of confidential information upon termination or request

8. Term and Survival: Duration of the agreement and surviving obligations

9. Security Measures: Required security protocols for protecting confidential information

10. Regulatory Compliance: Obligations to comply with relevant financial services regulations and data protection laws

11. Breach and Remedies: Consequences of breach and available remedies including injunctive relief

12. General Provisions: Standard clauses including governing law, jurisdiction, and entire agreement

Optional Sections

1. Insider Trading Prevention: Additional provisions specifically addressing prevention of insider trading when confidential information includes market-sensitive information

2. Data Privacy Compliance: Specific provisions for compliance with PDPO when confidential information includes personal data

3. Third Party Rights: Provisions under Hong Kong's Contracts (Rights of Third Parties) Ordinance, if third party rights are to be excluded or included

4. Electronic Storage: Specific requirements for electronic storage and transmission of confidential information

5. Cross-Border Transfers: Provisions governing the transfer of confidential information outside Hong Kong

6. Regulatory Reporting: Specific provisions for regulatory reporting obligations in the financial services sector

7. Force Majeure: Provisions addressing obligations during unexpected events or circumstances

Suggested Schedules

1. Schedule 1 - Categories of Confidential Information: Detailed list of types of confidential information covered

2. Schedule 2 - Security Protocols: Specific security measures and protocols to be followed

3. Schedule 3 - Authorized Representatives: List of authorized representatives who may access confidential information

4. Schedule 4 - Data Processing Requirements: Specific requirements for processing personal data or sensitive financial information

5. Appendix A - Form of Acknowledgment: Template for representatives to acknowledge confidentiality obligations

6. Appendix B - Security Breach Notification Procedure: Procedure to be followed in case of security breaches

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Affiliate
Authorized Representatives
Business Day
Business Purpose
Confidential Information
Confidentiality Period
Control
Data Protection Laws
Disclosing Party
Financial Data
Financial Institution
Financial Services
Group
Inside Information
Intellectual Property Rights
Material Non-Public Information
Parent Company
Permitted Purpose
Personal Data
Professional Advisers
Receiving Party
Regulatory Authority
Regulatory Requirements
Related Party
Representatives
Securities
Security Measures
Subsidiary
Term
Third Party
Trade Secrets
Unauthorised Access
Working Hours
Relevant Industries

Banking

Financial Services

Investment Management

Insurance

FinTech

Wealth Management

Capital Markets

Private Equity

Asset Management

Securities Trading

Financial Technology

Professional Services

Regulatory Compliance

Financial Advisory

Relevant Teams

Legal

Compliance

Risk Management

Information Technology

Operations

Finance

Investment Banking

Trading

Research

Business Development

Project Management

Data Analytics

Information Security

Corporate Development

Treasury

Portfolio Management

Client Services

Product Development

Relevant Roles

Chief Executive Officer

Chief Financial Officer

Chief Technology Officer

Chief Compliance Officer

Chief Risk Officer

Head of Legal

Head of Compliance

Investment Manager

Portfolio Manager

Financial Analyst

Risk Manager

Compliance Officer

Legal Counsel

Investment Banker

Financial Controller

Business Development Manager

Project Manager

Systems Administrator

Data Analyst

Technology Consultant

Operations Manager

Trading Manager

Research Analyst

Due Diligence Officer

Industries
Personal Data (Privacy) Ordinance (Cap. 486): Primary legislation governing the collection, use, and handling of personal data in Hong Kong, crucial for ensuring compliance with data privacy requirements in the NDA
Securities and Futures Ordinance (Cap. 571): Regulates financial products and services in Hong Kong, including provisions about confidential regulatory information and insider dealing
Banking Ordinance (Cap. 155): Contains specific provisions regarding banking secrecy and confidentiality obligations in the banking sector
Law of Contract (Common Law): Hong Kong's contract law is based on common law principles, which govern the formation and enforcement of contracts including NDAs
Official Secrets Ordinance (Cap. 521): May be relevant if the financial services involve government-related information or regulated data
Crime Ordinance (Cap. 200): Contains provisions relating to fraud and misuse of computers, relevant for protecting confidential electronic information
Financial Services and Markets Ordinance: Provides regulatory framework for financial services and markets, including requirements for handling sensitive financial information
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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