Regulatory

We have substantial experience in regulatory work especially in the areas of securities & futures regulations, financial advisory, asset & wealth management, trusts & fund administration & custodial services and competition/anti-trust.

Our clients include brokers, distributors, financial advisers, market operators, capital market intermediaries, banks, finance houses, insurance companies and other industries regulated by the Monetary Authority of Singapore. Leveraging on our extensive experience, we frequently work as an interface between our clients and the regulators to assist them in finding viable solutions, safe harbours, exemptions, suitable licences and/or approvals.

Our Regulatory Practice is multi-disciplinary and often covers other jurisdictions. We frequently coordinate with counterparts in multiple jurisdictions to help clients harmonise their compliance requirements and optimise their business objectives in a globalised economy.

Our experience includes:

• Analysing business models and applying for appropriate licences, exemptions and approvals, including making representations to regulators on complex and/or grey issues
• Advising and developing compliance strategies, including risk management and internal compliance policies & manuals
• Conducting briefings, internal reviews and investigations
• Competition regulation
• Advice and representation for external and internal investigations for misconduct, fraud and governance