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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.
 
Our team can scope the extent that regulations apply to all activity and talk to you about exemptions from regulation, and we can assist you in applying for appropriate authorizations and approvals from regulators.

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

Track record

Our team

David Guin

David Guin

Partner | New York

David Guin

Partner | New York

Corporate

Koji Yamamoto

Koji Yamamoto

Partner | Tokyo

Koji Yamamoto

Partner | Tokyo

Corporate

Yoshiyuki Omori

Yoshiyuki Omori

Partner | Tokyo

Yoshiyuki Omori

Partner | Tokyo

Corporate

David A. Stein

David A. Stein

Partner | San Francisco

David A. Stein

Partner | San Francisco

Private client and tax

Sherlin Tung

Sherlin Tung

Partner | Hong Kong

Sherlin Tung

Partner | Hong Kong

Litigation and Arbitration

Harvey Knight

Harvey Knight

Partner | London

Harvey Knight

Partner | London

Litigation

Ben Simpson

Ben Simpson

Special counsel | London

Ben Simpson

Special counsel | London

Corporate

Hiroki Hosoda

Hiroki Hosoda

Associate | Tokyo

Hiroki Hosoda

Associate | Tokyo

Corporate

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