Solutions
Regulatory Compliance for Financial Institutions
Inspections and sanctions by the Financial Supervisory Service (FSS) require well-planned procedural strategies. We assist financial institutions through every stage—from inspection readiness to representation before the Sanctions Review Committee and subsequent administrative proceedings.
Key Services
- Developing strategies for responding to FSS examinations and sanctions
- Preparing responses and amicus briefs for the Sanctions Review Committee
- Representing executives and employees in administrative proceedings
- Conducting pre-inspection risk assessments
- Advising on improvements to financial internal control systems
Major Achievements
- Advised OO Securities on incomplete sales of financial investment products
- Advised an OO asset management company regarding credit provision to a majority shareholder
- Represented a financial investment company in a violation case concerning ownership restrictions on issued shares
- Advised on collective investment scheme management violations under a collective investment agreement
Main Contacts
MORE
