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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

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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Press releases

Browne Jacobson advises on sale of TCL to idverde Group

Browne Jacobson has advised BGF and the shareholders of long-standing client TCL Group on the sale of the TCL business to idverde Group.

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Published articles

Is insurance the new banking? part 3: Inappropriate personal behaviour, and conduct risk, in the Lloyd’s Market

This article addresses the regulatory issues around Lloyd’s’ evidence of inappropriate personal behaviour (sexual discrimination / harassment, and alcohol / substance abuse).

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Legal updates

Legal and regulatory newsletter - October 2019

The aim of the newsletter is to provide our clients and contacts across the financial services market with quarterly updates and insights on topical legal and regulatory issues.

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Our people

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