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financial services regulation

corporate-canary-wharf-night-panorama

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

Legal updates

An intervention: FCA regulation of the asset management market

The FCA’s Asset Management Market Study: Interim Report was released in November 2016.

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Financial services, anatomy of a fraud - hear what our experts and guests had to say

Hear from financial services litigation lawyer, Nick Pontt, commercial dispute litigation partner, Dominic Offord, and guests from a whole host of financial services institutions including Grant Thornton and British Bankers’ Association for an insight into our recent event focused on fraud.

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Legal updates

AIM Update MAR - closed periods and insider lists

Following on from our previous update, ESMA has now published an updated version of its Q&A on the Market Abuse Regulation (MAR), which came into force on 3 July 2016.

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