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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.
 
Our financial services regulatory lawyers 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 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

Our team

David A. Stein

David A. Stein

Partner | San Francisco

David A. Stein

Partner | San Francisco

Private client and tax

David Guin

David Guin

Partner | New York

David Guin

Partner | New York

Corporate

Harvey Knight

Harvey Knight

Partner | London

Harvey Knight

Partner | London

Litigation

Koji Yamamoto

Koji Yamamoto

Partner | Tokyo

Koji Yamamoto

Partner | Tokyo

Investment Funds and Financial Regulations

Yoshiyuki Omori

Yoshiyuki Omori

Partner | Tokyo

Yoshiyuki Omori

Partner | Tokyo

Investment Funds and Financial Regulations

Sherlin Tung

Sherlin Tung

Registered Foreign Lawyer (New York) - Withers Hong Kong, Partner - Withersworldwide | Hong Kong

Sherlin Tung

Registered Foreign Lawyer (New York) - Withers Hong Kong, Partner - Withersworldwide | Hong Kong

Litigation and Arbitration

Ben Simpson

Ben Simpson

Special counsel | London

Ben Simpson

Special counsel | London

Corporate

Hiroki Hosoda

Hiroki Hosoda

Associate | Tokyo

Hiroki Hosoda

Associate | Tokyo

Investment Funds and Financial Regulations

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