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Banking, Financial Institutions and FinTech

Banking, Financial Institutions and FinTech

New challenges and opportunities are quickly reshaping financial services – from AI to FinTech, to open platforms and data analytics, to greater

New challenges and opportunities are quickly reshaping financial services – from AI to

New challenges and opportunities are quickly reshaping financial services – from AI to FinTech, to open platforms and data analytics, to greater customer centricity and workforce shaping – all of which financial institutions need to address while navigating the evolving risk and regulatory landscape. On the other hand, global concerns about financial and compliance risk have been increasing. In this climate, financial institutions of all kinds and sizes are expected to build robust legal and compliance risk management frameworks and functions that satisfy regulatory demands, contribute to better decision making and enhance performance.

Truly appreciating these challenges faced by our financial and banking clients, our lawyers and compliance experts at KPMG Law Firm work seamlessly with other professionals from KPMG network such as risk management consulting, internal audit, cybersecurity, tax and deal advisory to advise clients in a collaboratively integrated, insight-driven and efficient manner.

KPMG Law Firm taps resources and talents across legal practice areas and other KPMG disciplinaries and professional teams in worldwide finance centers to advise clients on transactions, legislative development and compliance solutions and deliver a wide range of quality professional services including:
 

  • Banking Transactions:
    loans and various financial instruments, including syndicated loans, project finance, asset finance, trade finance, general corporate finance, ship/aircraft finance, bridge/acquisition loans for PE Fund and M&A transaction, leasing, etc.

  • M&A:
    investment, mergers and acquisitions involving financial institutions or FinTech firms, including legal, compliance and privacy due diligence, transaction documentation and negotiation, regulatory filings, post-closing compliance integration assistance, etc.

  • Regulatory and Compliance Advisory:
    including implementation of compliance solutions such as compliance risk assessment and management program, AML/CFT training services, CRS compliance, suitability compliance; as well as regulatory approval/licensing application services such as internet-only bank license, financial sandbox relief application and other approvals.

  • FinTech:

Our team is also actively advising and assisting financial institutions and FinTech firms on a variety of topics:

— Advising on corporate structures and regulatory issues that face financial and technology companies, including the myriad of regulatory issues companies engaged in the FinTech field in particular face. These issues may involve specific regulations governing financial licensing, anti-money laundering and sanctions, privacy (e.g. GDPR), trading and market regulation, taxation and consumer protection;

— Advising on intellectual property issues that are uniquely implicated in financial technology transactions and firms, including patent portfolio development, patent application and prosecution, patent licensing and establishment of intellectual property management system; and

— Negotiating all critical provisions related to equity financing documentation, including those related to governance, registration rights and other areas and ensuring that no provisions attract unnecessary regulatory scrutiny.

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