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Financial Regulation
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