Financial Services Regulatory and Compliance

Whether you’re keeping pace with ever-changing financial regulations, facing investigation, introducing new products, services or technology, or simply trying to remain compliant, having the right support is crucial. This is where our global Financial Services Regulatory team comes in, made up of lawyers, consultants and ex-regulators that provide the support you need.

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Our financial regulation experts recognise the importance of delivering deep sector insights swiftly and effectively to help develop new products and services, regularise relationships and actively support 'business as usual' compliance.

Any regulatory interaction - whether supervisory or an investigation - is a significant event in the corporate life of a regulated firm and its senior management. Responding to regulators and dealing with remediation can be disruptive to a firm's business and costly in terms of restrictions on business or a financial penalty, or in regards of management time and consultancy fees.

In addition, if situations become contentious, our specialist regulatory investigations and criminal defence lawyers are on hand to advise and support clients and their senior management in dealing with the most serious of allegations.

Our Financial Services Regulatory team combine the experience and expertise of ex-regulators, investigation lawyers, prosecutors, FCA Skilled Persons, heads of compliance and Money Laundering Reporting Officers, together with specialists from our Regulatory Consulting and Data Protection & Cyber Security teams to optimise the regulatory outcome through a holistic service.

Our financial regulation experts provide consultative problem-solving and core compliance support to meet the regulatory needs of our clients’ in their relevant market(s) and under whichever financial regulation they operate. This includes: insurers and brokers, asset and wealth managers, banks and finance providers, consumer lenders and payment firms, FinTechs and RegTechs.

Our specific services cover:

Regulatory change
New propositions and distribution arrangements
Compliance, conduct and culture
Governance and Board effectiveness
Regulatory assurance and 'skilled person' reviews
Remediation and redress
Regulatory investigation or prosecution defence
Restructuring

Our financial regulatory teams also take a proactive and proportionate approach that is proven in delivering successful outcomes for our clients all over the world.