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Financial Regulatory
SJKP LLP provides comprehensive legal counsel to financial institutions, including banks, private banks, broker-dealers, insurers, investment firms, asset managers, payment exchanges, trading utilities, and other fintech and financial services organizations, addressing both current and emerging regulations.
We guide clients through the complexities of banking, securities, derivatives, futures, commodities, stock exchanges, and a wide array of other financial products. Our team integrates seamlessly with deal teams to manage the legal and regulatory risks of significant financial transactions. Additionally, we collaborate with SJKP LLP’s top-tier litigation team to navigate complex regulatory investigations and enforcement actions, ensuring our clients’ interests are protected at every stage. By combining transactional expertise with regulatory insight, we provide holistic solutions that keep our clients resilient in a constantly evolving financial ecosystem.
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1. Financial Regulatory: Global Expertise in Financial Services
SJKP LLP’s financial regulatory practice is uniquely positioned to advise clients in key financial centers around the globe, including the US, UK, Europe, Middle East, and Asia. Our lawyers regularly provide counsel on the most complex and precedent-setting issues faced by the financial services industry. With decades of combined experience, we bring global perspective and local depth to every regulatory challenge.
Strategic Guidance on Novel Financial Products
We guide clients in the expansion and introduction of novel financial products into global markets, helping them navigate regulatory complexities and ensure compliance with local laws. Whether entering new markets or launching innovative financial instruments, we provide the insights and strategies needed to stay ahead in the competitive financial landscape. Our team works with clients on everything from digital securities and tokenized assets to new payment platforms and ESG-linked instruments, ensuring that innovation is never hindered by regulatory uncertainty. By anticipating potential barriers and structuring transactions strategically, we help clients accelerate growth while maintaining full compliance.
2. Financial Regulatory: Designing Effective Legal Structures
SJKP LLP plays an active role in advising governments and financial regulators on the development of legislation, rulemaking, and legal policy. We assist in the design of securities laws, listing rules, financial markets regulation, and other reform projects. Our experience allows us to provide valuable insight into the regulatory framework and to help shape the future of financial regulation. We act as trusted advisors not only to private clients but also to policymakers who rely on practical guidance informed by real-world market dynamics.
Involved in the Regulatory Development Process
Our team’s extensive knowledge and experience in working with regulatory bodies globally allow us to provide strategic advice on legal reform, regulatory structures, and policy design. We help shape regulations that promote transparency, fairness, and stability in financial markets. From participating in public consultations to advising on the drafting of new rules, we engage with stakeholders at every level of the policymaking process. This proactive involvement ensures that our clients benefit from early insight into regulatory reforms and are well-prepared to adapt their business models accordingly.
3. Financial Regulatory: Engaging with Governmental and Supervisory Bodies
SJKP LLP’s financial regulatory group includes a number of former financial regulators, including officials from the US Securities and Exchange Commission (SEC), US Commodity Futures Trading Commission (CFTC), and US Department of Justice (DOJ). We leverage strong working relationships with major regulatory bodies worldwide to provide effective counsel to clients operating in all segments of the financial markets. Our team’s first-hand experience within supervisory agencies enables us to anticipate enforcement priorities and regulatory trends before they become headline issues.
Leveraging Former Regulators’ Experience
Our lawyers draw on their past regulatory experience to advise clients on how to effectively engage with governmental authorities and supervisory agencies. We help clients respond to inquiries, prepare for examinations, and design compliance frameworks that withstand scrutiny. By combining legal skill with practical regulatory insight, we position our clients to resolve potential issues proactively rather than reactively. This approach minimizes reputational risk, reduces the likelihood of enforcement actions, and strengthens long-term trust between institutions and regulators.
4. Financial Regulatory: Guiding Clients Through Cross-Border Compliance
SJKP LLP’s financial regulatory team provides comprehensive guidance on the most intricate matters related to global regulatory authorities. Our expertise covers a broad spectrum of regulations, ensuring that clients are fully equipped to navigate the complexities of financial governance and compliance in every major financial jurisdiction. We assist multinational financial institutions in harmonizing compliance programs, avoiding conflicting obligations, and implementing strategies that align with international best practices.
Key Regulatory Authorities We Work With
Our team brings deep expertise in advising clients on matters that involve a range of international regulatory bodies, including:
- - Commodity Futures Trading Commission (CFTC)
- European Banking Authority (EBA)
- European Systemic Risk Board (ESRB)
- Federal Reserve System (FRS)
- Federal Deposit Insurance Corporation (FDIC)
- Financial Conduct Authority (FCA)
- Financial Industry Regulatory Authority (FINRA)
- Investment Industry Regulatory Organization of Canada (IIROC)
- Israel Securities Authority (ISA)
- Hong Kong Monetary Authority (HKMA)
- Monetary Authority of Singapore (MAS)
- New York Department of Financial Services (NYDFS)
- Office of the Comptroller of the Currency (OCC)
- Prudential Regulatory Authority (PRA)
- Securities and Exchange Commission (SEC)
By working directly with these authorities, we ensure that our clients maintain compliance while also contributing to ongoing dialogues about market reform and supervision. Our global engagement provides clients with early insights into policy changes and practical strategies for implementation.
5. Financial Regulatory: Tailored Solutions for Evolving Regulations
SJKP LLP offers a full suite of services designed to help clients ensure seamless compliance with the regulations set forth by influential financial authorities worldwide. Our team stays at the cutting edge of regulatory changes, providing timely, adaptive solutions that allow clients to remain competitive in a rapidly shifting landscape. We help clients transform compliance into a strategic advantage rather than a burden.
Tailored Regulatory Strategies for Every Market
Whether it is navigating the complexities of international markets, adapting to evolving domestic regulations, or understanding cross-border compliance, we provide customized regulatory strategies for every client. Our deep understanding of each jurisdiction’s rules and the interconnectedness of the financial system ensures that our clients are always ahead of the curve. We design frameworks that balance regulatory expectations with business objectives, enabling financial institutions to avoid pitfalls while capitalizing on emerging opportunities. By integrating regulatory foresight with commercial strategy, we empower clients to grow confidently in even the most challenging environments.
The information provided in this article is for general informational purposes only and does not constitute legal advice. Reading or relying on the contents of this article does not create an attorney-client relationship with our firm. For advice regarding your specific situation, please consult a qualified attorney licensed in your jurisdiction.
