Financial Services Regulation and Compliance

Banks and financial institutions must be able to operate effectively in a global environment. Our Financial Services Regulation and Compliance Group facilitates a co-ordinated approach to regulatory and compliance issues.

We cover every element of regulation as it applies to banks, investment firms, insurance companies, collective investment schemes and other financial institutions. We also advise on authorisation and ongoing regulatory requirements as well as disciplinary proceedings before regulators, regulatory capital treatment, internet-based projects and investments, insider dealing issues, retail consumer credit and mortgage lending, market abuse issues and money laundering issues.

In addition to financial regulation, the Group also advises on related compliance matters such as shareholder disclosure issues, public offering requirements and consumer law issues and has a wide client base of international and domestic clients.