Our Financial Regulation team provides regulatory advice for a wide range of financial institutions, including government bodies, banks, securities firms, investment managers, alternative asset managers, custodians, building societies, life and non-life insurance companies, reinsurers, electronic trading platforms, stockbrokers, corporate financiers, retail intermediaries, pension houses, payment services firms and peer-to-peer lending firms.
Our team includes experienced partners and solicitors with in-depth experience of all aspects of financial services regulation. We also have a highly-experienced team who advise on FCA investigations and proceedings including criminal proceedings.
Areas of Expertise
Our areas of expertise include advising on:
- the impact of national and international regulations on the financial services sector, this includes providing advice on navigating firms through strategic solutions during a regulator's consultation process to implementation once final guidance has been issued.
- developing compliance, governance, remuneration and risk management policies including dealing with local regulatory bodies such as the PRA and FCA.
- cross-border marketing and selling restrictions relating to the provision of a range of financial products including shares, bonds, loans and funds.
- documentation, reporting structures and decision-making processes associated with regulatory matters, board and committee regulation, and form and content requirements for transaction and other regulatory reporting.
- establishing trading and clearing platforms, for the transaction of financial services business.
- product design and development, including advice on structuring products, drafting marketing material and product terms and conditions
- the financial regulatory impact on corporate transactions involving the acquisition or sale of a financial institution.
- establishing investment management vehicles, including regulated UCITS fund and unregulated funds. We also advise on the establishment and operation of exchange traded funds and platforms.
- investigations by local regulatory bodies, covering a wide range of issues, including governance, remuneration, complaints handling, insider dealing and market abuse, as well as enforcement more widely, including cross-border regulatory investigations
Encouraging new business
As a firm we are keen on developing new technologies and encouraging growth industries and this is reflected in the manner in which the Financial Regulation team works with its clients. For instance, we have experience in assisting a number of start-up firms, including those establishing an advisory, management or corporate finance firm. We have also advised a number of crowd-funding and peer-to-peer lending operations.