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Financial Investment Companies
Overview
Yoon & Yang’s Finance Practice offers advice on all aspects of operation and business of banks and financial holding companies, including the transfer and maintenance of licenses/permits, governance, internal controls, business conduct, cooperation among subsidiaries in the same financial group, new investments, FSS examination response, litigation, and disputes. Yoon & Yang’s attorneys with an in-depth understanding of the banking industry and financial holding companies, and expert advisors who formerly served in the financial supervisory authorities, Yoon & Yang’s Financial Investment Companies Practice provides premier advisory services that encompass all management activities of banks and financial holding companies by giving integrated legal advice that deliver an exceptional and user friendly product to clients.
Key Services
- Advising on inspections of and sanctions on financial investment companies
- Advising on financial investment company establishment and M&As
- Advising on licenses/permits, registration, filings, and reports related to financial investment companies
- Advising on products and services designed and sold by financial investment companies
- Advising on the internal compliance of financial investment companies
- Advising on litigation, dispute, and criminal cases related to financial investment companies
Representative Cases
Licenses/permits and new businesses related to financial investment services
- Advised NH Investment & Securities on the conduct of its hedge fund investment business and new technology venture capital business
- Advised Hanwha Asset Management on overseas office establishment and restructuring
- Advised Shinhan Investment on the application for innovative financial service designation related to its fractional share trading service for foreign stocks
- Advised KB Securities on its short-term financing business license
- Advised Kiwoom Securities on the restructuring of its IB business organization
- Filed applications for the addition of business units to financial investment service licenses on behalf of clients
- Advised comprehensive finance investment business entities (large-scale IBs) on their short-term financing business (issued notes) and prime brokerage business
- Advised KB Securities on restrictions on transactions with large shareholders and firewalls
- Advised Korea Securities Finance Corporation on its securities borrowing and lending and CMA products
- Reviewed Kiwoom Securities’ business structure for its contract for difference (CFD) trading
- Advised on foreign exchange transactions, including reports of foreign direct investments and rule violations
- Advised on the businesses of bond administration companies
Response to inspections of and sanctions on financial investment companies
- Responded to inspections and sanctions related to hedge fund products sales
- Responded to full-scope/targeted inspections of and sanctions on major securities firms
- Responded to partial inspections related to discretionary investment
- Responded to targeted inspections related to the breach of the duty to establish internal controls in connection with system failures
- Responded to targeted inspections related to the illegal assistance of affiliates
- Responded to targeted inspections related to OEM issues
- Responded to inspections and sanctions related to short selling
