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Financial services regulation

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Financial regulation is ever-evolving as it responds to changing markets, practices and technology. This presents a constant challenge to firms in the financial services sector. In the wake of the financial crisis, regulators around the world are embarking on a new drive for accountability and firms are required to devote increasing resources to governance and risk management. At the same time, financial crime and conduct risk issues are generating a raft of enforcement actions and substantial fines from regulators. For new market entrants, regulation is their primary challenge.

Our team of experts is accessible and responsive, with an enviable insight into the FCA and PRA and how their authorisation, supervision and enforcement divisions operate in practice. Combining our legal strength and industry knowledge, we play a key role in assisting our clients to plan for regulatory change. We have breadth and depth of regulatory experience and deliver commercially astute, high-quality and practical advice on contentious and non-contentious matters.

An important and growing aspect of our practice is advising FinTech firms, including in relation to their Regulatory Sandbox proposals and engagement with the regulators.

What we do...

  • Authorisation and the permissibility of activities
  • Anti-money laundering compliance
  • Senior executive responsibilities
  • The approved persons regime

  • EU passporting
  • Change in control applications
  • Investigations and enforcement actions
  • Matters affecting insurers and other financial institutions

Related resources

Press releases

Browne Jacobson announces financial results with 11% growth in revenues

Browne Jacobson has announced its financial results for 2021-22 with revenues up 11 per cent year-on-year to £94m, up from £85m. It marks the 13th consecutive year of growth with a 59 per cent increase in revenues since 2015 (£59m).

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Blogs

ESG for Beginners

As you probably know by now, the acronym 'ESG' stands for environmental, social and governance. Although the investment community initially coined the term, it has grown into a larger concept that can be applied more broadly to any business or practice.

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Blogs

Credit broking: know your permissions

To operate lawfully, firms that broker credit to consumers by way of business must be registered with and authorised and regulated by the Financial Conduct Authority (FCA).

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Published articles

Is insurance the new banking? Part 4: Facing up to behaviour and risk in the London Market

In September 2019 Lloyd’s of London “… announced … actions designed to make [its] market a place where everyone can feel safe, valued and respected …” Read about the findings here.

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Our people

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