Mayer Brown JSM’s Financial Services Regulatory practice regularly advises on banking, securities, commodities and insurance regulations, and compliance, licensing and regulation of financial services. In addition to our experience in corporate finance transactions and regulatory matters, a key focus of our Financial Services Regulatory practice is providing regulatory and structuring advice for authorized firms and start-ups. These experiences combined with knowledge of market practice and close connections with major institutions in the Asian region enables us to meet our clients' commercial objectives efficiently and cost-effectively.

Our range of services include:

• advising on all licensing, regulatory and compliance issues concerning finance and related investment products and services
• assisting with the preparation of compliance procedures, compliance manuals and related documents
• drafting and reviewing contracts typically required by financial institutions, including
• client agreements and contracts with service providers and business partners
• advising on the acquisition of regulated financial businesses
• advising on enquiries and investigations by regulators, including attending interviews of financial institutions’ personnel by regulators
• advising financial institutions on suspicious money laundering and fraud cases and preparing reports for submission to regulators and
• advising on other areas relating to the business, such as personal data privacy and control of exemption clauses and
• providing legal compliance audits, such as reviewing procedures and documentation against the requirements of applicable rules and regulations and reviewing marketing literature and websites for regulatory compliance.