Regulatory compliance

Overview

We advise on a full range of regulatory compliance issues, representing clients from all sectors of the financial services industry.

Given our unique and extensive in-house compliance insight, we have an inherent understanding of the regulatory compliance needs of our clients.

We frequently advise on the application and interpretation of FCA rules, guidance and other relevant laws and regulations. We also advise clients on the practical implications of forthcoming regulatory developments.

We are routinely asked to advise on tactics and strategy in dealing with the FCA. We use our extensive experience and insight to ensure that our clients' chances of a successful and expeditious outcome are optimised. We are also frequently required to advise on the potential regulatory capital consequences of a proposed transaction. Our clients see this as an area where we are able to add substantive value, particularly during the structuring phase of a transaction. We also recognise the importance of providing clear benchmarking and market practice guidance - this often serves as an invaluable steer and source of reassurance to clients.

We are a trusted regulatory adviser (and first port of call) to the compliance/legal functions of many of our clients.

Recognition

  • "A refreshing (and extremely rare) mix of technical excellence and practical know-how - a very impressive team."

    General Counsel, Financial Institution