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Finance ∙ Capital Markets
- Finance ∙ Capital Markets
- Financial Disputes ∙ Litigation
- Financial Consumer Protection Regulations
- Financial Compliance
- Financial Investment Companies
- Financial Company Examinations ∙ Sanctions
- Financial Company Licenses ∙ Permits
- Financial Company M&A
- Insurance
- Real Estate Financing ∙ Investing
- Unfair Trade Investigation ∙ Accounting Audit
- Investment Funds
- Trusts
- Specialized Credit Finance Companies ∙ Savings Banks
- Banks ∙ Financial Holding Companies
- Acquisition Financing
- Anti-Money Laundering
- Derivatives
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Overview
Yoon & Yang’s Finance Practice obtains successful results on behalf of major banks and securities firms in examinations and sanctions that are initiated by the Financial Supervisory Service in connection with financial accidents on the ground of a lack of internal control standards. In particular, the Practice offers premier legal services related to the internal controls and compliance of financial companies based on its accumulated know-how, as it has recently started providing internal control process review services in addition to consulting services for major financial companies regarding the Act on the Protection of Financial Consumers.
Key Services
- Advising clients on the establishment of internal controls, compliance organizations, and processes
- Advising clients on major laws and regulations related to internal controls, including the Act on Corporate Governance of Financial Companies, the Act on the Supervision of Financial Conglomerates, and the Act on the Protection of Financial Consumers
- Offering consulting services regarding internal control standards and internal control review systems
- Responding to examinations of and sanctions performed and issued by financial supervisory authorities regarding internal controls
Representative Cases
- Offered consulting services on the internal regulations of a financial holding company and its subsidiaries in connection
- with the enforcement of the Act on the Protection of Financial Consumers
- Offered consulting services on the internal regulations of a bank in connection with the enforcement of the Act on the Protection of Financial Consumers
- Responded to the FSS examination of and sanction on a securities firm for breaching its duty to establish internal control standards in connection with a financial accident
- Responded to the FSS examinations of and sanctions on major banks and securities firms for breaching their
- duty to establish internal control standards in connection with the sale of hedge fund-related products
- Responded to the examination & sanction regarding the process review of the overall fund-related activities of a securities firm
- Offered services to a securities firm for improving its OTC derivative transaction contracting process and reviewing its internal regulations
- Advised a commercial bank on its financial investment instrument sales process and review of documents provided by customers
- Advised a credit card company on its internal regulation improvement project related to My Data
