Regulatory

Our regulatory experience includes advising on the following matters as well as assisting with drafting and negotiations:

  • Establishing new participants, assisting clients in obtaining regulatory authorizations and completing all legal and compliance steps.
  • The structuring of PRC financial market acquisitions and joint ventures, as well as licensing, approval or filing procedures.
  • Strategic advice and tactical analysis for business providing financial services in China.
  • Supporting ongoing activities and operations of financial institutions, including banks, securities and fund managers, insurance companies and representative offices of foreign banks in China, including assisting clients to tackle legal issues relating to trading, clearing and settlement of domestic securities, futures, commodities and currencies products.
  • Operation of financial services such as factoring, auto finance, financial leasing, and supply chain finance.
  • Fintech-related advice, including blockchain, e-signature, data privacy, big data, financing, licensing, security and operational issues.
  • Market misconduct, including misrepresentation, short selling, insider trading, and market manipulation, among other issues.
  • Foreign exchange issues.
  • Cross-border investment activities, for example through the QFII, QDII schemes, CDR, Stock and Bond Connect, including reviewing investment documentation and advice on regulatory issues.
  • Market access to, and risks associated with, the exchange clearing system and clearing houses in china.
  • Regulatory investigations into securities investment, asset management, banking, foreign exchange, and anti-money laundering.
  • Complex cross-jurisdictional regulatory investigations and enforcement issues.
  • In-depth reviews of the corporate governance of financial institutions, including all aspects of regulatory governance, systems and controls requirements, assisting with putting in place reporting structures and decision-making processes, and advising on board and committee regulation.
  • Issues relating to system deployment, data storage and security, cross-border data transfer, privacy protection, including mandatory requirements and best practice.