Overview

Our regulatory lawyers and professionals have assisted some of the world's largest financial institutions in establishing a presence in multiple jurisdictions, and in fostering their relationship with regulators, tax and enforcement authorities.  Through our presence on a range of industry associations and working groups in the development of financial service law and policy, and our established relationship with regulatory agencies, we can readily draw on this experience to offer prompt, pointed and clear advice to help our clients determine how best to maintain compliance.
 
With a depth of experience across all regulated sectors, our regulatory financial services advisory team is positioned to address your needs and sensitivities.

Anti-money Laundering & Counter-terrorism Financing Compliance

The Maples Group provides the following legal services with regard to anti-money laundering and counter-terrorism financing compliance:

  • Advising on the maintenance or delegation of Anti-money Laundering (AML) / Counter-terrorism Financing (CTF) procedures
  • Development and assessment of AML / CTF and risk management systems
  • Advising on suspicious activity reporting and reliance on relevant third party obligations
  • Conduct of mock regulatory and AML / CTF inspections
  • Provision of advanced AML / CTF training for compliance and reporting officers
  • Know Your Customer (KYC) due diligence and customer due diligence best practices
  • KYC information verification and screening services
  • Management of fraud and forensic inquiries and investigations
  • Conduct of money laundering and fraud proceedings 
  • Provision of expert evidence on AML / CTF and regulatory obligations under British Virgin Islands, Cayman Islands, Irish and Luxembourg law

For more information on the Maples Group's AML and CTF services, please click here.

Automatic Exchange of Information

The Maples Group provides the following legal services in relation to automatic and ad hoc exchange of information obligations:

  • Advising on all aspects of the FATCA and the OECD Standard for Automatic Exchange of Financial Account Information – Common Reporting Standard (CRS) due diligence and reporting regimes
  • Advising in relation to obligations under the (BEPS) Country by Country Reporting and Economic Substance regimes
  • Advising and assisting with ad hoc requests for information production by the competent authorities pursuant to bilateral agreements under the relevant laws
  • Assisting with enforcement matters

For more information on the Maples Group's AEOI and related services, please click here

Regulatory Advice

The Maples Group provides regulatory legal advice, including:

  • Application of licensing laws, including assistance with licence applications, exemptions, amendments and surrenders
  • Assistance with regulatory reporting for M&A and reorganisations
  • Drafting client mandates, account opening forms, subscription and service level agreements
  • Assisting with foreign and local disclosure requests 
  • Advising on duties of confidentiality
  • Advice with regard to data protection regulation
  • Advice on anti-corruption and sanctions obligations
  • Advising on conduct of business and potential registration / licensing implications
  • Advising in relation to the extraterritorial effect of foreign legislation
  • Assisting with beneficial ownership regime requirements
  • Advising on reporting obligations falling under the Cayman Islands licensing laws
  • Advising in relation to the regulation of Crypto and Fintech offerings 

Regulatory Enforcement

The Maples Group provides legal services for regulatory enforcement, including:

  • Advice and assistance in relation to onsite or offsite inspections
  • Advice on potential exposure / implications in the case of an investigation
  • Liaising with regulatory authorities in relation to directives and administrative fines
  • Defending enforcement / assessment actions, judicial reviews and court appeals
  • Negotiating settlement agreements

Locations

British Virgin Islands   |   Cayman Islands   |   Dublin   |   Jersey   |   Luxembourg
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Announcements

Maples Group Maintains Leading Position in 2020 Chambers Asia Pacific

The Maples Group is pleased to announce that they have retained their Band 1 ranking in the Offshore category of the Asia Pacific Region in the Chambers Asia Pacific Directory 2020.  

11 Dec 2019

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Announcements

Maples Group Announces Leadership Appointments

The Maples Group is pleased to announce a number of new leadership appointments following its biennial management elections.

04 Dec 2019

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Announcements

Maples Group Honoured with Two Industry Award Wins in Asia

Earlier this month, Maples and Calder, the Maples Group's law firm was honoured to win two prestigious awards at the annual HFM Asia Services Awards and China Offshore Awards. 

29 Nov 2019

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Deals

Maples Advises Alibaba on Largest Hong Kong IPO

Maples and Calder, the Maples Group's law firm was pleased to advise Alibaba Group Holding Limited on its recent global offering of 500,000,000 shares and its listing on the Hong Kong Stock Exchange. The offering is the largest in Hong Kong since 2010.  

22 Nov 2019

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Announcements

Maples Group Recognised by Bloomberg for its Expertise in International Tax

Three partners from Maples and Calder, the Maples Group's law firm, have been recognised by Bloomberg Tax & Accounting in their 2019 author awards for international tax.

18 Nov 2019

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Announcements

Maples Group Expands Cayman Fiduciary Services Team

The Maples Group has announced the appointment of a number of strategic hires to its team in the Cayman Islands to provide specialist services to a broad range of structured finance transactions and special purpose vehicles.

18 Nov 2019

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