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Financial Services Regulatory Practice

As a cross-disciplinary practice, our Financial Services Regulatory Practice gives practical advice on a broad range of financial services regulatory and compliance matters in a rapidly changing regulatory environment. We possess deep knowledge and practical insights on the various regulatory regimes that govern financial institutions including the Securities and Futures Act (SFA), the Financial Advisers Act (FAA), the Banking Act, the Insurance Act and the Commodity Trading Act.

Our expertise enables us to give comprehensive advice on banking secrecy issues, anti-money laundering concerns, outsourcing arrangements, rules relating to the sales and marketing of investment products etc. We provide guidance on licence applications and other regulatory submissions. If required, we will make representations before the relevant regulators on behalf of our clients. To facilitate practical compliance of on-going regulatory obligations, we are able to prepare legal compliance matrices and to provide training on these matters. We advise both major domestic and international financial institutions on the implications of existing rules and proposed new rules to their businesses and activities in Singapore.

Our disputes lawyers guide clients through rigorous enforcement investigations under the securities regulation and anti-money laundering legislation. Investigations with regulatory enforcement bodies such as the Singapore Exchange, Commercial Affairs Department  and the Monetary Authority of Singapore require specialised teams, working intensively over many months. Often investigations into market-rigging, insider trading and fraud also involve cross-border issues and regulators from other markets and jurisdictions. The skills required in such vast, multiple investigations are critical.