Regulatory Audit & Capital Market Investigation
"Huge pool of talent, which is useful when we come across unfamiliar territory or when we need a good network."
- Chambers & Partners Asia-Pacific
Overview
BKL works closely with clients throughout all stages of regulatory audit and capital market Investigation by regulatory agencies. Our Regulatory Audit & Capital Market Investigation group is highly acclaimed by Korean and overseas financial institutions, and clients can rely on our assistance in preparing for regulatory audits and investigations and formulating effective response strategies.
Korean regulatory agencies have reinforced their audit and investigative efforts in recent years with a view to protecting consumers and preventing unsound practices in the financial services sector. In addition, regulations are changing rapidly to keep up with developments in the financial market, which makes timely legal advice more important than ever.
BKL provide a full range of services, including preparing response plans, analyzing trends in audits/investigations, providing guidance throughout the audits/investigations, drafting post-audit/investigation opinions and providing legal representation before regulatory bodies such as the Disciplinary Committee, the Capital Markets Investigation Committee, the Audit Review Committee, the Securities and Futures Commission.
We mobilize our extensive resources to provide each client with a dedicated team that can adapt to meet the client’s specific needs. Our team consists of lawyers specializing in financial regulations, and ex-officials of government agencies such as the Financial Services Commission, the Financial Supervisory Service, the Korea Exchange and other financial regulatory agencies, which allows us to provide clients unique insight and well-balanced solutions.
