金融监管与合规

金融监管与合规的全球挑战

在宏观经济凝聚力增强的同时，监管和合规压力也在加大。这一点在金融服务业表现得最为明显，全球范围内加强控制和提高透明度的举措增加了监管和合规成本及警惕性。对于许多跨国公司和金融机构来说，这意味着必须应对管理符合国内、地区和全球各级审查和执法要求的合规制度这一日益严峻的挑战。

数十年的经验和广泛的能力

本所的金融监管与合规部是新加坡最成熟的同类部门之一，同时被视为该地区最好的部门之一。该团队由咨询和争议解决专家组成，多年来与众多国际和本地机构、基金、上市公司和蓝筹股公司合作，具备丰富的专业知识，能够就金融服务法律法规的各方面事务提供无缝整合的全方位建议。

本所的顾问团队在以下方面拥有丰富的经验：许可及业务要求的执行、金融服务业兼并、收购及重组的金融监管、外包安排、证券法，以及批发及零售市场新产品和创新产品的结构设计及分销。此外，该团队还编制和审查金融机构的客户文档和交易文档，并就衍生品和其他金融交易提供建议，包括容量和净额结算意见。

我们的争议专家处理大范围的争议性监管和合规事务。本所律师就金融监管相关突击搜查和调查、当局的执法行动、反洗钱立法、监管制裁和银行保密提供全面的服务建议。此外，我们还经常就市场不当行为提供法律意见，例如操纵市场、内幕交易和欺诈，这些行为可能涉及跨境事项以及其他市场和辖区的监管机构。

Global challenge of financial regulation and compliance

With increasing macro-economic cohesion comes increasing regulatory and compliance pressure. Nowhere is this more apparent than in financial services, where a global move to tighter control and higher transparency has intensified regulatory and compliance costs and vigilance. For many multinational companies and financial institutions, this means having to meet the steadily growing challenge of managing a compliance regime that conforms to domestic, regional and global levels of scrutiny and enforcement.

Decades of experience and broad capabilities

Our Financial Regulatory & Compliance Practice is one of the most established in Singapore and regarded as one of the best in the region. Comprising both advisory and disputes specialists, our team has the expertise to provide seamless advice on the gamut of financial services laws and regulations, having worked over the years with an extensive array of international and local institutions, funds, listed corporates and blue-chip companies.

Our advisory team is highly experienced in licensing and conduct of business requirements, the financial regulatory aspects of mergers, acquisitions and reorganisations in financial services, outsourcing arrangements, securities law and the structuring and distribution of new and innovative products for both wholesale and retail markets. In addition, our team prepares and reviews financial institutions’ customer and transaction documentation and provides advice, including capacity and netting opinions, on derivatives and other financial transactions.

Our disputes specialists act in a broad range of contentious regulatory and compliance matters.  We provide full service advice on financial regulatory-related raids and investigations, enforcement actions by authorities, anti-money laundering legislation, regulatory sanctions and banking secrecy. We also frequently advise on market misconduct such as market-rigging, insider trading and fraud which may involve cross-border issues and regulators from other markets and jurisdictions.

Serving our clients and shaping the future

All our team members are fully dedicated to the financial services arena and specialise in the regulatory environment. As a market-leading practice in this area, we are regularly consulted by and provide feedback to regulators on behalf of our clients on proposed changes or developments. We pride ourselves on the active and constructive role we endeavour to play in the consultation process for new legislation or regulatory frameworks.