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Financial services regulatory lawyers
It is easy for funds and other finance providers to find themselves on the wrong side of the complex and varied regulations that exist around the world. With detailed, global knowledge, our financial services regulatory lawyers can help you stay compliant and handle any approvals or investigations.
Navigating the regulations laid down by national governments – particularly the UK Financial Conduct Authority, Monetary Authority of Singapore, Securities & Futures Commission of Hong Kong, and the US Securities and Exchange Commission (SEC) – is an expensive, time-consuming task for hedge funds, asset managers and other financial service providers.
We have financial services regulatory services that make that process easier. By matching our knowledge of each country's regulations with a thorough understanding of your business's unique structure and needs, our team can scope out the extent to which regulations apply to you. We have an in-depth knowledge of financial services regulatory law that we apply to all activities and can talk to you about exemptions from regulation. We can also assist you in applying for appropriate authorizations and approvals from regulators.On hand to defend your position
Businesses and professionals working in the financial services arena are subject to formal inquiries from time to time. We can assist you in handling such requests and managing investigations that may arise. Should an investigation lead to government, civil or other proceedings, our experienced litigation teams are on hand to defend your position.As in all areas of our work, the corporate team of financial services regulatory solicitors taps into our global knowledge base, including colleagues who have worked at financial and securities regulatory agencies across the globe, to create compliance strategies unique to your situation.
How we can help
Track record
China Environmental Technology Holdings Limited
Represented China Environmental Technology Holdings Limited on the dispute between its board of directors. We advised the company on the relevant disclosure requirements and handled a number of enquiries raised by the Hong Kong Stock Exchange.
Recent recognition
crypto-assets disputes
Our team
David Guin
Partner | New York
Koji Yamamoto
Partner | Tokyo
Yoshiyuki Omori
Partner | Tokyo
David A. Stein
Partner | San Francisco
Harvey Knight
Partner | London
Simon Wong
Partner | Hong Kong
Ben Simpson
Special counsel | London
Hiroki Hosoda
Associate | Tokyo
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