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Locations BAE, KIM & LEE IP

Securities

“They always provided legal expertise within limited timelines. Communication skills with agent/borrower’s counterparties is also fantastic."

- IFLR1000

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Overview Key Services Practices Representative Cases Key Contacts Related Content

Overview

BKL advises financial investment companies on the full range of transactions managed by them such as capital markets transactions, acquisition financings, structured financings, project financings and mergers and acquisitions. Financial investment companies regularly turn to us for advice on the design and sale of financial investment products, regulatory approvals and permits, audits by financial regulators and allegations of unfair trade practices. Our extensive experience enables us to provide customized solutions for each individual client, drawing on the expertise of other specialists within BKL to provide seamlessly integrated advice.

BKL’s Finance Group has an extensive track record of advising on transactions managed or participated by securities companies such as capital markets transactions, investments and mergers and acquisitions. Our attorneys are well versed in the business of financial investment companies and regularly advise clients on the design and sale of financial investment products, license and registration issues, internal compliance and responses to audits by financial regulators, as well as on the entry of foreign securities companies into the Korean market. Our in-depth knowledge of the industry and its regulatory environment, give us a unique insight into the commercial and legal needs of domestic and foreign financial investment companies and enable us to offer preemptive solutions to accomplish their objectives.

Attorneys in our Finance Group have access to the full range of BKL’s firm-wide expertise and work closely with experts in other areas as necessary, including tax and accounting, fair trade, labor and FinTech. Our Finance Group consists of experts with experience from local regulators such as the Ministry of Economy and Finance, the Financial Services Commission, the Financial Supervisory Service and the Korea Exchange, as well as specialists with prior experience at securities firms. This enables us to provide customized advice and practical solutions to complex financial regulatory issues.

Key Services

Advise on financial investment company licenses, registrations and reporting and file applications
Advise on the design and sale of financial investment products
Advise on all types of transactions involving or managed by financial investment companies
Advise on internal compliance protocols
Advise on responses to audits and investigations by financial regulators
Advise on the mergers and acquisitions activities of financial investment companies
Advise on disputes, lawsuits and criminal proceedings

Practice Areas

Representative Cases

Advised DGB Financial Group on the acquisition of Hi Investment & Securities
Advised on responses and defenses to potential sanctions in relation to alleged violations of public offering restrictions and misselling of OEM fund products involving asset management companies and banks
Represented fund sellers and asset management companies in litigation proceedings alleging misselling, breach of fiduciary duty of care, and breach of duty to protect investors
Financial investment company licenses and permits, M&A
Advised Kakao and Korea Investment Value Asset Management in relation to regulatory approval of their ownership of Kakao Bank in excess of regulatory limits
Advised Korea Investment Value Management on its acquisition of shares in Kakao Bank
Advised Shinhan Financial Group on regulatory approval of its acquisition of Asia Trust as a subsidiary
Advised LF on regulatory approval of major shareholder change of KORAMCO REITs & Trusts
Advised CGS-CIMB on its acquisition of an investment brokerage license
Advised NH Investment & Securities and Hanwha Asset Management on regulatory approvals of their capital contributions to private equity funds
Advised DGB Financial Group on the acquisition of Hi Investment & Securities
Advised DGB Financial Group on regulatory approval of its acquisition of Hi Investment & Securities and Hi Asset Management as subsidiaries
Advised Macquarie Group on regulatory approval of major shareholder change of Macquarie Investment Trust Management
Advised Meritz Securities on its designation as a comprehensive financial investment business
Advised UOB on its establishment of a Korea office and the acquisition of an investment brokerage license
Responses to audits and investigations by financial regulators
Advised on responses and defenses to potential sanctions in relation to alleged violations of public offering restrictions and misselling of OEM fund products involving asset management companies and banks
Advised on responses to regulatory sanctions in relation to alleged provision of proprietary information on trading and ownership by foreign securities companies and their employees in back-to-back trading of investment products
Advised on responses to regulatory sanctions in relation to securities resale agreements of domestic securities companies and failure to file derivatives business reports
Responses to disputes
Represented a merchant bank in a loan repayment claim against a university and a trust company in relation to a campus site development project
Represented an insurance company in a damages claim against asset management companies and fund sellers in relation to its investments in their ship funds and real estate funds
Represented an asset management company in a damages claim case brought by an investor of a private real estate fund
Represented an asset management company in a lawsuit against The Republic of Korea for damages in relation to an aircraft fund investment
Represented a securities company in a lawsuit filed by investors in bonds issued by insolvent members of the Tong Yang Business Group
Represented fund sellers and asset management companies in litigation proceedings alleging misselling, breach of fiduciary duty of care, and breach of duty to protect investors
Represented a securities company in a damages claim against an issuer which was later found to have engaged in accounting fraud
Represented a securities company in a claim of market price manipulation through massive stock sale
Represented an investor in a case involving securities law violations by securities firm employees and day traders who used an algorithm trading program to engage in “scalping” in the ELW market

Key Contacts

Our Team

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