Regulatory and Internal Investigations

• Advising financial institutions, corporate clients and individuals in responding to regulatory inquiries and conducting internal investigation involving securities law violations in connection with insider dealing, market manipulation, accounting fraud, disclosure obligations, etc.
• Advising global financial institutions, professional firms, global technology and healthcare companies on regulatory and internal investigations concerning alleged corruption and fraud in their recruitment, procurement, tender, marketing and sales practices in Asia
• Representing financial institutions, including major state-owned enterprises, in response to U.S. regulatory inquiries into sanctions and AML issues
• Conducting anti-harassment investigations on behalf of financial institutions and educational institutions

Litigation

• Advising China-based issuers in U.S. securities class action lawsuits
• Advising clients in shareholder disputes and breach of fiduciary duty claims

Regulatory and Compliance Advice in M&A Transactions

• Conducting anti-corruption, AML and sanctions due diligence on behalf of banks and funds in their investments in healthcare, fintech, information technology, automobile, media and energy sectors and recommending post-transaction enhancement measures

Compliance

• Conducting a comprehensive review of a major state-owned enterprise’s group-wide AML, CTF and sanctions compliance policies and procedures
• Advising a Europe-headquartered conglomerate in its anti-corruption, AML, sanctions compliance uplift for business units in Southeast Asia
• Advising a leading global bank in conducting post-acquisition review of anti-corruption controls of acquired businesses in Asia and implementing remedial measures

Fintech Regulations

• Providing KYC/AML, sanctions, licensing and other compliance-related advice to cryptocurrency exchanges, mining companies, payment firms, gaming companies and other blockchain and fintech businesses
• Advising a telecommunications company with its consultation with the banking regulator concerning payment and virtual bank licensing questions

Before joining Davis Polk, Yuan worked on interstate disputes concerning territorial and maritime boundaries, human rights obligations, trans-boundary environmental laws, treaty interpretation, illegal use of force and compensation for expropriation.