Financial Services

The financial services industry is constantly adapting to a complex and evolving regulatory landscape. Our knowledge of financial services regulation and current trends enables us to understand how regulatory changes may affect our clients’ businesses and to ensure we are well-positioned in helping clients deal effectively with any regulatory and compliance issue that may arise.

The financial regulatory team draws on expertise from across the firm to advise our clients on the full spectrum of financial services regulation which includes, risk management and compliance, HMRC investigations, enforcement and disciplinary matters. We work with a wide range of businesses and our clients range from large companies to independent firms and senior executives including; banks, credit providers, trusts, charities, SMEs, wealth managers and financial advisors.

Our team advises clients on a wide range of financial regulatory issues which include FCA/PRA compliance issues, regulatory reforms, financial crime, market abuse, HMRC investigations and transactional support. Further, we assist clients with investigations brought by the Financial Conduct Authority, Serious Fraud Office, National Crime Agency and in proceedings under the Directors Disqualification Act.

Key Practice areas;

• Regulatory compliance, policy and risk management
• HMRC Investigations and disputes
• Financial crime
• Directors disqualification
• Regulatory and compliance matters involving application of the FCA handbook and the PRA rulebook
• Regulatory investigations and enforcement action by the FCA
• Fintech and Regtech

If we can assist you in any way, or if you simply want to discuss a regulatory issue, please contact us at any time.