Overview
The world of financial services regulation is becoming increasingly globalized and complex. As regulators collaborate to develop international and local standards, exchange information and co-operate on investigations, you need to be sure your financial regulatory lawyers can meet the challenge.
Regulatory change continues to top the agenda and will do for some time to come. There are more measures on the horizon, bringing new regulatory requirements and tighter control. These challenges, together with technical developments, also present many opportunities for those ready to embrace the new environment. Following Brexit, the UK Government is reviewing the regulatory environment and infrastructure, and is keen to encourage more investment in the UK in areas such as FinTech.
Whatever the issue - whether it's developing your financial services business, applying for authorisation, supervision and ongoing compliance issues, investigations and enforcement, taking an active part in industry change and consolidation or dealing with regulatory scrutiny, our Financial Services Regulation team's end-to-end tailored service is focused on helping you to meet your goals.
Our dedicated team includes lawyers who have worked both as regulators and in-house at top tier financial services companies. Our experience offers valuable insight into the UK Financial regulator's perspective, as well as an in-depth understanding of the challenges you face.
Taking a multidisciplinary approach to ensure full service support, we combine practical and technically excellent advice with a responsive and 'can-do' attitude. Our regulatory experience covers a multitude of areas including FCA thematic projects, investigations, enforcement actions, s166 Skilled Person reviews and high profile redress exercises arising from FCA reviews.
We are particularly skilled in regulatory investigations, defending listed companies, senior management, heads of compliance and MLROs in FCA investigations and enforcement proceedings. We also advise on Skilled Person reports to the regulator. We take a proactive approach to ensure regulatory investigations are resolved quickly and efficiently.
Financial Services Regulation services
- Authorisations and approvals
- Blockchain and smart contracts
- Brexit and passporting
- CASS compliance
- Consumer credit
- Crowd funding and initial coin offering (ICO)
- Data privacy and cyber security
- Decentralized finance (DeFi)
- Enforcement investigations
- ESG & sustainable finance
- Financial promotions
- FinTech
- Governance and risk management (including SMCR)
- Investment funds
- Insurance regulation
- InsurTech
- Market abuse and insider dealing
- Mortgage regulation
- Open banking and consumer directed finance
- Outsourcing and technology law
- Payment services and e-money
- Whistleblowing
Our dedicated team includes lawyers who have worked both as regulators and in-house at top tier financial services companies. Our experience offers valuable insight into the UK Financial regulator's perspective, as well as an in-depth understanding of the challenges you face.
Taking a multidisciplinary approach to ensure full service support, we combine practical and technically excellent advice with a responsive and 'can-do' attitude. Our regulatory experience covers a multitude of areas including FCA thematic projects, investigations, enforcement actions, s166 Skilled Person reviews and high profile redress exercises arising from FCA reviews.
We are particularly skilled in regulatory investigations, defending listed companies, senior management, heads of compliance and MLROs in FCA investigations and enforcement proceedings. We also advise on Skilled Person reports to the regulator. We take a proactive approach to ensure regulatory investigations are resolved quickly and efficiently.
