St. Lucia Legal Services

Legal and Compliance Advice

Financial Services Regulation and Investigations

As regulators around the world sharpen their focus on the financial sector, never before has a deep understanding of regulatory change across the full spectrum of banking, insurance and securities markets been so important.

As the alphabet soup of regulations targeting the financial sector grows, from Dodd-Frank to MiFID to AIFMD to Solvency II, our integrated, cross-disciplinary approach is ideally suited to advising our financial services clients across the world to navigate through the regulatory maze not only to protect their businesses from regulatory risk, but to position them to take advantage of emerging opportunities.

Whether you are an asset manager, bank, insurer, fund or other alternative capital provider, our international regulatory team offers clients extensive regulatory experience and they lead thinking on regulatory developments, helping clients in lobbying on, planning for and implementing changes as they occur. Areas we advise on include bank regulation, insurance regulation, capital and liquidity requirements, marketing and selling restrictions, clearing and settlement, custody and prime brokerage and recovery and resolution planning. As an international team we are very experienced in providing comprehensive surveys and comparative advice on regulatory matters that helps our clients decide where best to conduct their business and gives them a competitive advantage.

Compliance issues are having an increasing impact on Corporations globally.

We provide general company and compliance advice to our corporate clients on the legal issues which most regularly impact upon their businesses.  Across all of our offices we help our clients navigate the maze of legislation and best practice codes relevant to corporate governance and corporate responsibility. Our boardroom practice covers and addresses all elements of company law, from advice on board procedures to issues arising in takeover situations, as well as, analysing corporate policies, codes of conduct, and assistance with shareholder engagement.

Our compliance expert Tonjaka Kho-Hinkson, advises on domestic and international corporate issues including corporate law, sector-specific regulations, relevant listing rules, liability and risks for board directors and senior executives.

Get in Touch

For more information or to discuss how we could work with you, please call us on +1-758-285-7447 or email


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