Our team specialises in helping businesses anticipate and adapt in an ever-changing regulatory climate. We provide consultative problem-solving together with core compliance support to meet all of the regulatory needs of your business. Our regulatory offering is comprised of a full range of regulatory services; from ad-hoc support, ongoing services and on-off project assistance to help you to navigate the domestic and international regulatory framework.

From a project perspective, our highly experienced team bring years of experience, with pragmatism and insight to help you navigate those issues that represent volatility, uncertainty, complexity or ambiguity to your business.

We also specialise in providing routine regulatory support where you don't have the internal resources or 'know-how'.

Our role is simple; we work alongside you and partner with your business to translate financial regulation into solutions and advice that is bespoke to the needs of your business, and we deliver this in a manner that is tailored to your culture.

Trust, transparency, accountability, disclosure, comparability, good conduct and an ethical culture are all themes that will be increasingly important to your clients and how they choose their partners, and how regulators evaluate firms.

Our Integrated Legal Management approach means that we can address the majority of regulatory, legal and operational issues where your business, or individuals within your business are likely to need support. We can operate as business advisors to help your business not just survive but prosper.

We believe that regulation can be a differentiator, helping firms to innovate, stand out and create trust with their customers, rather than simply being a cost of doing business.

Our team combines business advisers with legal expertise, and we are experienced in working with financial regulators. The diversity of our team enables us to deliver bespoke commercial and compliant solutions to a range of regulatory issues. Our team is led by senior individuals who are regulatory experts with many years of industry and advisory experience including acting as 'Skilled Persons' leading FCA and firm instructed Section 166 reviews. We can truly operate as business advisors to help your firm not just survive but prosper.

We are also a Member of the Association of Professional Compliance Consultants and won the 2019 & 2021 Compliance Register Award for 'Best Law Firm – Regulatory Advice', as well as the 2021 Global Advisory Experts 'Regulatory & Compliance Consultancy Firm of the Year' award.

“DWF supported our firm in 2021 through a Section 166. The Team worked with us and the FCA in a methodical and transparent manner, having regular team meetings with our senior management, operating teams and then together with us and the FCA. It was very comforting to know that their team understood both the industry and our own business, with many of the team having worked directly in FCA regulated firms rather than solely working as compliance consultants – that was a key differentiator for us when choosing to work with DWF.”

Client testimonial

“Thank you for all your help with our s165 response to the FCA which was submitted in advance of the deadline. Your advice & guidance has been absolutely first class and I think it has helped to significantly simplify and de-risk our financial management business from an FCA perspective.”

Client testimonial

“I think that you and your team did an absolutely stellar job with the FCA, where other people have suggested to call it a day, you were very supportive of our “survival effort” and organised a team to complete something which seemed impossible. I really appreciated your honest and incisive views on a constantly developing situation, your enthusiasm, work ethic, professionalism and, above all, I think you really cared for us and the outcome.”

Client testimonial

“Andrew Jacobs and various teams within DWF have worked with our firm on various regulatory projects during the last 12 months. The teams were very effective communicators, responsive and professional. Unlike many other advisors, they had an 'out of the box thinking attitude', a rare trait in financial services. We would be delighted to recommend them to any FCA Regulated Firms.”

Client testimonial

Consumer Duty - an overview

The Consumer Duty is the FCA's answer to its stated aims of setting a higher expectation for the standard of care that firms give consumers. Our hub is designed to keep you up to date with all the latest news and developments on Consumer Duty, including wealth management and consumer credit.

Report: Financial crime and the cost to your business

As anyone who works in or is connected with the financial industry knows, banks and other financial organisations expend significant time, resource and money in combating financial crime. Download our report to find out more.

Get in touch today

Get in touch with a member of our team by using the details below or completing the form.

T +44(0)3333202220
F

+44(0)3333204440

E wal.fwd@seiriuqne

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