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Financial services regulatory
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 we can help you to 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 make that process easier by matching our knowledge of each country’s regulations with a thorough understanding of your business’ unique structure and needs.We frequently advise clients who are establishing new financial products and services, and on bringing those products to market, ensuring compliance with regulations in different jurisdictions.
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 ,manage investigations which 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 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
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Recent recognition
Our team
David Guin
Partner | New York
Koji Yamamoto
Partner | Tokyo
Yoshiyuki Omori
Partner | Tokyo
David A. Stein
Partner | San Francisco
Sherlin Tung
Partner | Hong Kong
Harvey Knight
Partner | London
Ben Simpson
Special counsel | London
Hiroki Hosoda
Associate | Tokyo
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