Financial Regulatory & Compliance

Evolving regulations for financial regulation and compliance in the region

Increasing macro-economic cohesion within South-east Asia has given rise to increasing regulatory and compliance pressures. Nowhere is this more apparent than in financial services sector, where a distinct move towards tighter control and higher transparency has intensified regulatory and compliance costs and vigilance. For investors, multinational companies, and financial institutions, this means having to understand and comply with the challenge of managing an evolving compliance regime that conforms to domestic, regional and global levels of scrutiny and enforcement.

Expertise across multiple jurisdictions

Our team is fully capable of providing seamless advice on the gamut of financial services laws and regulations across the region. As part of A&G Asia, we are further able to tap on the extensive experience of lawyers who have worked with an array of international and local institutions, funds, listed corporates and blue-chip companies.

Furthermore, we are capable of advising on the 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 is able to prepare and review financial institutions’ customer transaction documentation and provides advice, including capacity and netting options, on derivatives and other financial transactions.

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

We pride ourselves on the active and constructive role we endeavour to play in the consultation process for new legislation or regulatory frameworks.