Financial Services Regulation

We assist with non-contentious regulatory matters that may emerge in the financial services industry and guide you through the ever evolving and complex regulatory environment.

Our services include helping clients comply with a wide range of financial services laws and regulations in their daily operations, as well as assisting them in navigating the licensing requirements mandated by the regulatory regimes. 

Within this sector, our clients come from diverse segments, including asset managers, banks, brokers, custodians, family offices, funds, payment services providers, and trustees. For further information about our Financial Services Regulation practice, email us at contact@blackletterlaws.com.

Representative Experience

• CGS-CIMB on whether certain financial product with underlying instrument linked to interest rate benchmarks is a derivative product subject to securities law or deposits subject to banking act. 

• Maybank Securities on whether its participation in syndicated loans would be classified as conducting banking or moneylending activities under applicable laws.

• MSIG on compliance with relevant insurance regulations and code of practice in relation to its bancassurance deal involving the distribution of general insurance products by the banks.

• Digital Assets Instituition on compliance with relevant laws in relation to its end-to-end product offering across a broad range of digital assets serving institutional clients, including tokenisation of capital markets instruments and custodisation of digital assets.

• Swiss Financial Intermediary on whether its product falls under the category of capital markets products or banking products and whether it is permitted under its licence to offer such products to accredited investors.