Banking & Financial Markets Regulation

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.

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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."


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