Banking & Finance

Financial Services Regulatory

Navigating changing regulations  

Financial institutions are increasingly subject to more complex cross-border regulations. At KWM, helping our clients navigate the seismic shifts taking place in the way financial services are regulated and how products are delivered is at the heart of our practice.

Our dedicated Hong Kong financial services teamwork with clients to develop solutions to regulatory issues and obligations, drive innovation in new product development and manage risks through robust compliance. We assist in minimising regulatory surprises so you can focus on running your business.

Combining regulatory expertise and strategic thinking

Remaining one step ahead of these regulatory changes requires a combination of regulatory and legal expertise across data protection to compliance and a thorough understanding of the direct and indirect business drivers and technical and legal framework behind financial transactions. Tactically astute where necessary and strategic by nature, our goal is always the success of our clients.

Our lawyers operate across different practices, which means our clients have access to specialist corporate transactional, advisory, technology and dispute lawyers who work seamlessly to advise on all aspects of regulatory matters.

Our clients include key international, regional and local financial institutions, insurance companies, asset managers and private equity firms as well as new entrants in cutting-edge emerging technology and regtech. We also work with major corporations, government authorities and industry bodies.

Unique insight to policy developments

Leveraging our technical knowledge of international financial products and a strong understanding of the way things work in China Mainland, we help our clients anticipate and navigate risks in their cross-border regulatory activities.

Our clients benefit from our unique insights, gained through our work in policy developments in Hong Kong’s financial services industry. We have strong relationships with the Financial Services Development Council , Hong Kong Exchanges and Clearing Association , Hong Kong Monetary Authority , and Securities and Futures Commission and industry associations such as International Swaps and Derivatives Association , Asia Securities Industry & Financial Markets Association, and The International Capital Markets Association.

Seamless, multi-jurisdictional, multi-office coverage

The scope of our practice and client coverage allows us to advise on a wide range of local and cross-border complex regulatory matters, including:

  • cross-border PRC and international transactions
  • products and over-the-counter (OTC) derivatives
  • licence applications and registrations
  • cutting-edge financial technology (fintech)
  • anti-money laundering /counter-terrorism financing
  • financial crime and investigations
  • market misconduct
  • environment social governance 


King & Wood Mallesons' highly solution-oriented and commercial team has very good local knowledge of the market and regulatory expectations. The group is adept at assisting securities entities and banks with non-contentious regulatory work, however, the practice is also strong at handling SFC investigations.


Legal 500 Asia Pacific

The team recognises commercial and operational hurdles and does not hesitate to formulate a workable solution which addresses the legal risks and achieves the business needs.

Chambers Asia-Pacific

I am very impressed with their in-depth knowledge and experience in the regulatory service and contentious matters, as well as their solution-based and detail-minded analytical advice.

Chambers Asia-Pacific

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