Long history of establishment with progressive business development

Pacific Foundation Securities Limited (“PFSL”), our Group’s main operating subsidiary, has established securities brokerage business since 1988 and our Group started providing asset management services business in 2004. In around 2009, our Group set up an online trading system for its securities trading, with a view to allowing its customers to operate their trading activities interactively through our Group’s online trading system without reliance on our Group’s dealing staff so as to let customers benefit from the lower brokerage charges and ease of access to trades.

With a long history of establishment and a progressive business development, our Group has built an effective operating system and a recognised brand name amongst its customers. Our directors believe that our Group can offer quality services to meet its customer’s needs in a constantly changing financial market.

Experienced management

Our Group is managed by a team of experienced management who (i) formulate corporate strategies, (ii) monitor compliance and day-to-day operations and (iii) implement plans for business development. The management team comprises mainly Responsible Officers and persons with over five years of experience in the securities dealing and financial services industry. In particular, Mr. Lo Tak Wing, Benson, our chairman, our executive director and a Responsible Officer of PFSL, has attained more than 25 years’ experience in the financial services industry. He is responsible for the formulation of corporate strategy, overall management and business development and customer referrals. Ms. Tam Kit Chun, one of the Responsible Officers for our Group’s Type 1 SFO regulated activity and the senior dealing officer of PFSL, has over 38 years’ experience in the securities industry. She is responsible for, among other things, monitoring the daily operation of settlement, dealing with regulatory authorities and general administrative duties. With the extensive experience and market foresight, our directors believe that our Group can adapt and respond quickly to the changes of market conditions and implement suitable measures in accordance with changing credit risks.

Well-established relationship with customers and expanding customer base

Our Group has always been positioning itself as a securities house providing prompt and quality service, and managing with a reliable risk management system. Our Group recognises that market reputation and customers’ confidence in its services are keys to success, which will enable our Group to retain existing customers and solicit customer referrals from its existing customers. In this regard, our Group places great emphasis on winning customer loyalty by providing them with quality and reliant services, and thus gradually has developed a diversified customer base over the years.

Solid platform for placing and underwriting business

Our Group’s placing and underwriting business can leverage on its extensive securities customer network which comprises institutional investors and retail customers. It also maintains good relationship with other brokerage firms which may provide opportunities to our Group to act as sub-underwriters or sub-placing agents for various new issues and fund-raising exercises in the market. Our Group has also successfully retained several companies listed on the Main Board or GEM or shareholders of companies listed on the Stock Exchange in its customer base, such that they or their shareholders may consider appointing our Group as the placing agent, sub-placing agent, underwriter, or sub-underwriter when they require funding activities.
Advanced computer system and technology

Our Group has invested in the upgrading of our computer system to enhance the technological infrastructure to meet customers’ increasing needs and in an attempt to stay ahead when technological upgrades for securities trading are introduced to the market. Our Group has established stable and efficient online trading platform for our customers to access the securities market. Our Group’s trading systems have been upgraded to OCG and are equipped with the new and advanced IT infrastructures, servers and terminals as well as tailor-made computer screen interfaces for retrieving securities market information to suit customers’ different requirements.