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Financial Regulation
Financial Regulation
Overview
The financial regulatory field requires specialized expertise in the supervisory and enforcement frameworks applicable to the financial industry as a whole. The LIN Finance Team provides practice-oriented legal advisory on licensing, supervision, and sanctions issues in finance. We support systematic risk management to enable proactive responses to a rapidly evolving regulatory environment. We help financial institutions and companies maintain stable business operations.
Key Services

Advisory on financial licensing, notification, and registration

Response to financial supervisory authority examinations and investigations

Response to sanctions for regulatory violations in finance

Advisory on internal control and compliance framework establishment

Strategic advisory on responses to regulatory changes in finance

Key Experience

1. Establishment, Registration, Authorization, Licensing, and Notification

Registration of overseas funds of foreign asset managers (e.g., Macquarie) under the Capital Markets Act

PEF establishment, GP registration, investment, and exit

Registration and terms review for electronic financial business (prepaid electronic payment instrument issuance and management)

PEF GP managing member registration

Registration of a privately placed fund-of-funds by an asset management company

Registration of publicly offered discretionary investment business

Registration as a new technology business finance company

Registration of a foreign exchange broker

2. Regulatory Sanctions Response

Response to sanctions imposed on financial institutions following FSS examinations

Defense against administrative dispositions arising from financial regulatory violations

Advisory on financial consumer protection regulation compliance