Banking & Financial Markets Regulation

Combining regulatory expertise and strategic thinking to navigate market change

The financial institutions value chain is increasingly subject to rapid change. Remaining one step ahead of these changes requires a combination of regulatory and legal expertise covering data protection to compliance and an understanding of the direct and indirect business drivers and technical and legal framework behind financial transactions.

Our financial services regulation lawyers are at the forefront of domestic and international developments and work closely with clients, government, regulators and industry bodies to shape financial markets regulation that supports a highly competitive and robust market.

Our dedicated financial services team works with clients to develop solutions to regulatory obligations, drive innovation in new product development and manage risks through robust compliance.

Areas of financial market regulations we cover, include:

  • Authorisation and registration
  • Appointment of agents
  • Passporting
  • Regulatory capital
  • Anti-money laundering
  • Conduct of business
  • Business structuring and transactions
  • Design and promotion of financial products
  • Consumer Credit
  • FinTech.

Show moreShow less

Our work highlights include acting for:

  • The Australian Government and banking industry on the Australian Government Guarantee Scheme introduced during the global financial crisis
  • Bank of China Frankfurt Branch in its role as the clearing bank for Germany on the German clearing and settlement agreement
  • A major financial services client on retail product development issues, adapting market products for retail distribution, and creating a lending structure for superannuation fund customers to fund share investments
  • Local and international financial institutions in Hong Kong in their customer documentation to address the requirements of FATCA from a Hong Kong perspective
  • An international financial institution on implementing its securities lending business platform in Hong Kong
  • A local Hong Kong bank in the establishment of its private banking platform. This included advising on the Hong Kong anti-money laundering / counter terrorist financing regime, assessment of private banking customers and other compliance and regulatory issues and preparing notifications to the Securities and Futures Commission and the Hong Kong Monetary Authority
  • A number of local retail banks on regulatory issues relevant to margin trading products on gold and other precious metals. This involved advice on the structure, offering regime, drafting/reviewing relevant product terms and conditions and liaising with the Securities and Futures Commission
  • Assisting HarbourVest Partners (Europe) Limited in applying to become authorised as a full scope UK AIFM, drafting all supporting documentation (including remuneration and risk policies, compliance manual and service provider agreements) and its preparations for depositary selection. A UK-based crowdfunding platform on its customer terms in the peer to peer (P2P) market.
"The knowledge of the subject matter is excellent, and their interpretation of the rules is first-class."


We have a full team specialising in this area.

Discover our latest insights into legal issues affecting your business

The UK’s Information Commissioner’s Office (“ICO”) has finally issued its decision regarding the fine imposed on British Airways (“BA”) for its 2018 data breach

21 October 2020

Fraud is a clear and present danger in Foreign Invested Enterprises. Curiously, the problems seem to be more severe in WFOEs than JV's In this episode of "China: the Art of Law" KWM Partner Mark...

02 October 2020

What is the best way to overcome the difficulties of setting up a business in China? How should you structure your business? KWM Partner Mark Schaub explores these questions and more in the webinar...

16 September 2020

On 9th July 2020, the UK Government published the Companies (Shareholders’ Rights to Voting Confirmations) Regulations 2020 (the “Regulations”)

08 September 2020

This site uses cookies to enhance your experience and to help us improve the site. Please see our Privacy Policy for further information. If you continue without changing your settings, we will assume that you are happy to receive these cookies. You can change your cookie settings at any time.

For more information on which cookies we use then please refer to our Cookie Policy.