Financial Regulatory & Compliance

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.