Financial Regulatory & Compliance

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Allen & Gledhill LLP’s group attracts praise for its ‘excellent response times and industry knowledge’.” The Legal 500 Asia Pacific (2018)

Our Financial Regulatory & Compliance practice is one of the most established in Singapore. With both an Advisory team as well as a Disputes team, our lawyers regularly advise on the full range of financial services laws and regulations. Both teams provide seamless solutions and value-added advice to established international and local financial institutions, funds, listed corporates and blue chip companies.

Our Advisory team advises on matters including licensing and conduct of business requirements for banking, money lending, securities, futures, asset management, corporate finance, insurance, payment service providers, remittance businesses, clearing houses, exchanges, trading platforms and other financial services, as well as those relating to commodity trading. We also advise on the financial regulatory aspects of mergers, acquisitions and reorganisations in the financial services sector, outsourcing arrangements, securities law and the structuring and distribution of new and innovative products for both wholesale and retail markets. In addition, we prepare and review financial institutions’ customer and transaction documentation, and provide advice, including capacity and netting opinions, on derivatives and other financial transactions.

By having our Advisory team members dedicated full-time to this field, we ensure that our expertise remains up-to-date in a challenging and rapidly changing regulatory environment. Our Advisory team plays an active role in the consultation process for new legislation or regulations and is often asked by regulators and financial institutions for input or assistance on proposed regulatory changes.

Our Disputes team specialises in contentious regulatory and compliance matters and regularly advises on financial regulatory related raids and investigations, enforcement actions by the authorities, anti-money laundering legislation, regulatory sanctions and banking secrecy issues. In addition, we frequently advise on market misconduct issues such as market-rigging, insider trading and fraud which may involve cross-border issues and regulators from other markets and jurisdictions.

Should you require any advisory services or assistance relating to your organisation’s compliance, risk and regulatory obligations, please click here for more information about our consultancy arm, Allen & Gledhill Regulatory & Compliance.