Regulatory, Compliance, Enforcement & Investigations
Our Regulatory, Compliance, Enforcement & Investigations Practice Group provides practical, strategic, professional and comprehensive advice to our broad base of local and international clients.
Financial and corporate activity today is subject to a wide array of legislation. This has led to a growing need for legal guidance on compliance and enforcement as well as managing relationships with the relevant authorities. We address the areas of activity coming under the purview of authorities including but not limited to the Securities Commission, Bursa Malaysia (Stock Exchange), Bank Negara Malaysia, Malaysia Competition Commission, Malaysian Anti-Corruption Commission, Companies Commission of Malaysia and other law enforcement agencies.
We advise a number of international and local banks in investigations by financial regulators, listed corporations in investigations and enforcement proceedings by securities’ and companies’ regulators and multi-national corporations on compliance with local regulations of all kinds.
We act for corporations in investigations and enforcement proceedings conducted by regulators, drawing on the expertise of our leading practitioners in handling complex cases including but not limited to antitrust, bribery, fraud, environmental, anti-money laundering, tax and financial services offences.
Our team works with organisations to conduct internal investigations into misconduct, misfeasance, misappropriation of funds, fraud, and breaches of duty involving directors, employees, consultants, and agents.
With a strong regional presence across Singapore, Indonesia, Thailand, the Philippines, Cambodia, Laos, Myanmar, and Vietnam, we are well-equipped to manage cross-border investigations and compliance matters seamlessly across multiple jurisdictions.
Within this practice, we offer strategic legal advice for cases related to:
- Investigations and Enforcement Action by Regulators
- Investigations on Directors, Employees, Consultants, and Agents
- Anti-Money Laundering
- Anti-Corruption
- Breach of Trust
- Insider Trading
- Financial Regulations and Securities Legislation
- Enquiries and Prosecution by Central Bank, Securities Commission and Bursa Malaysia
- Whistle Blowing
- Dawn Raid and Crisis Management