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Financial services regulation

Our financial services regulatory specialists act for market-leading names, helping clients to manage regulatory risk and take advantage of opportunities in this rapidly evolving and highly regulated space.

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Our clients range from major household names to smaller boutique firms and include start-ups, scale-ups and established firms.

Our team of lawyers, many of whom have in-house or in-regulator experience, brings together a broad understanding of financial services regulation. Our regulatory experience extends across the whole financial services sector, including regulated investment funds, private equity funds, fintechs, start-ups and growth companies, investment managers and advisers, investment and wealth platforms, pension schemes, family offices, custodians, insurance intermediaries and payments providers. We work closely and maintain strong relationships with regulatory bodies, government departments, regional bodies, as well as trade and industry associations.

Our team is resourced to handle the most complex cases and transactions but flexible enough to provide day-to-day support. We can also provide clients with in-house training and ‘business as usual’ compliance consulting, helping businesses meet their regulatory obligations with ease.

Services

Financial services law and regulation

We provide ad-hoc or ongoing regulatory advice and guidance to ensure compliance across a broad spectrum of regulatory issues.

Innovation

We provide innovative legal solutions that help businesses to align with new technology or develop new financial products, new partnerships and new distribution channels.

Outsourcing

We advise on the procurement and outsourcing of services to financial services businesses, including service procurement, tech-based and back-office operations outsourcing.

Transaction support

We advise on the regulatory aspects of corporate transactions, including conducting specialist regulatory due diligence projects, change of control applications and wider transactional support.

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FCA supervision

We assist clients with their non-contentious ‘BAU’ interactions and engagements with the regulator and can also provide support and representation in relation to disputes, investigations and enforcement proceedings.

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Employment

We advise financial services employers on regulatory issues in employment, including SMCR, fitness and propriety, regulatory references, whistleblowing and misconduct.

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Funding and finance

We advise on the regulatory aspects of debt finance, capital markets, securitisation and derivatives transactions.

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International

We provide strategic advice for international firms on UK market entry and compliance, including applications for the authorisation for UK operations.

New UK businesses

We offer tailored regulatory insights for start-ups navigating the UK financial landscape. 

Examples of our work

Funds

Advising on the structuring, formation, operation, management and distribution of funds including some of the UK’s largest pension funds, alternative investment funds and private funds, including on the latest developments in relation to SDR.

Investment platforms and wealth management

We have significant experience in this area and are familiar with existing and emerging regulatory issues. We have advised multiple firms on Consumer Duty implementation, manufacturer and co-manufacturer issues, operational resilience matters and product development and distribution.

Insurance and funeral plans

Advising on the manufacture and development of novel funeral plan products, including advising on distribution and reinsurance agreements.

Fintechs

Advising numerous payments firms and consumer lending firms on the launch of new product and service offerings, the use of AI in financial decisions, regulatory strategy and on key legal agreements including terms of business and material outsourcing.

Regulatory investigations, enforcement and disputes

Advising a SIPP operator on regulatory action and redress, as well as on commercial disputes in the payments sector.  

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Our team

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What others say

“The team is timely in their responses, terms of engagement are clear including billing rates and fixed fee work. The team lead appoints the right support in terms of knowledge and advice.”

Legal 500 UK 2024

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Insights

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