Finance / Capital Markets

Overview

Through the years, Kim Chang Lee has earned the reputation as a leading law firm with one of the most experienced finance/capital markets practice groups in Korea. Kim Chang Lee strives to provide optimal solutions to our clients by proactively anticipating and responding to the changing regulatory landscape in this field as well as establishing and maintaining close working relationships with domestic and overseas financial regulatory authorities.

Kim Chang Lee serves a diverse range of clients in their financing efforts, including start-ups seeking venture capital, small-to medium-sized companies anticipating equity and debt financing and established companies positioning for public offerings. We represent clients in a broad spectrum of industries, including securities, finance, information technology, computer game, software, telecommunications, health care, media, entertainment and heavy industries. For these diverse clients, we provide advisory services with respect to their initial and follow-on public offerings, issuance of high-yield bonds, project financing and structured financing. Kim Chang Lee also provides services in designing and documenting institutional and international investment vehicles.

Kim Chang Lee represents its clients in the full range of matters relating to capital markets, including incorporation of domestic/overseas financial institutions, obtaining requisite licenses and registrations in the financial services sector, responding to inspections/examinations initiated by various financial regulatory authorities including the Financial Services Commission, the Securities and Futures Commission and the Financial Supervisory Service, and public disclosure requirements and other issues that arise under the Financial Investment Services and Capital Markets Act. Further, we also provide a seamless service for our clients in administrative proceedings involving sanctions imposed under various financial laws and regulations, and criminal and civil litigation that arises in connection with potential violations of financial laws and regulations including the Financial Investment Services and Capital Markets Act and the Insurance Act, among others.

Representative Cases

    • Overseas investment funds and asset managers including Hermes Pension Management, Hibiscus Investment Limited, and Elliott Fund with respect to advisory on the Financial Investment Services and Capital Markets Act, corporate and foreign exchange transaction laws, related public disclosures and disputes with financial regulatory authorities and investee companies
    • Woori Bank, NH Investment & Securities, KB Securities, Hanwha Investment & Securities, Korea Investment & Securities, Bookook Securities, KTB Investment & Securities, Kiwoom Securities, Yuanta Securities, Heungkook Securities, Korea Investment Capital, Hankook Capital, Korea investment Savings Bank in project financing, structured financing, and issuance of various types of securities
    • Comprehensive advisory services in formation and operation of investment funds including fund structuring, incorporation of related SPCs, investor relations, management of assets, etc.
    • Comprehensive advisory services for Korea SMEs and Startups Agency, the Korea Development Bank and Korea Technology Finance Corporation with respect to primary CBO funds including KOROmas fund and COROVoltin Fund.
    • Advisory for a number of venture capitals and restructuring advisory companies including CoreFG, IBC & Partners, MVP Venture Investment and E & Investment
    • Global insurer in responding to an inspection by the Financial Supervisory Service and an administrative lawsuit involving sanctions imposed by the Financial Services Commission
    • Institutional investor in a lawsuit for damages against an asset management company