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 ensures we are well-positioned to help 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, 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, competition and anti-trust matters, payment services and e-money, consumer credit, corporate governance, financial promotion and the marketing of securities, 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 and compliance matters involving application of the FCA handbook and the PRA rulebook
  • Regulatory investigations and enforcement action by the FCA
  • Transaction support including due diligence for all types of transactional activity
  • Regulatory compliance, policy and risk management
  • Competition and anti-trust
  • Pensions regulation
  • Financial crime and market crime
  • Directors disqualification
  • HMRC Investigations and disputes
  • Professional discipline and regulation
  • 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.