Securities, Financial and Corporate Regulatory
We make the complex simple.
In a world with increasingly porous borders, Singapore as a financial hub needs to keep up with the complicated, widespread, and extra-territorial regulatory web that spans the globe. For businesses, this means having to understand and apply a multitude of different rules and regulations that can, and often do, change at the drop of the hat.
Whether it is to structure your data privacy policies, or to navigate the licencing regime for products and services from insurance and healthcare to e-wallets and virtual banking, or to explain the laws on cutting-edge securities such as Initial Coin Offerings (ICOs) and tokens – we are here to help with the difficult stuff and cut the Gordian Knot. This lets you focus on what you do best: running your business.
Notable Briefs
Advised a Japanese Bank on their regulatory requirements under the Securities and Futures Act (SFA) and the Financial Advisers Act, as well as advising on the extra-territoriality jurisdiction of the SFA, in relation to the restrictions and prohibitions on the provision of certain material for the purpose of explaining and introducing their master fund to potential investors outside of Singapore.
Internal inquiry and investigations for a leading foreign bank in respect of potential rate fixing of the Singapore Inter-Bank Offer Rate (SIBOR) and Swap Offer Rate (SOR), and representing the bank in dealings with regulatory authorities.
Internal inquiry for an international oil company on insider trading complaints by the Monetary Authority of Singapore, including interviews, preparation of responses, and advising and reporting to clients’ top management.
Advised a major S&P 100 technology multinational on its prospective contractual and vicarious liability, exclusionary and limitation defences, and statutory reporting obligations arising from the significant loss of customer data due to server sabotage in China by its contractor.
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Stefanie Yuen Thio
Mark Jacobsen
Securities, Financial and Corporate Regulatory Insights
Thought-provoking legal insights with a global perspective, anchored on local sensibility.
In the news
28 February 2024
Stefanie Yuen Thio quoted in The Business Times: “Changes to SGX restructuring framework are an upgrade – for judicial managers: Opinion”