Financial Services Regulation

Advising regulated entities on regulatory requirements

We help financial institutions navigate the complexities of regulation, so they can stay focused on achieving their commercial goals. Whether advising on governance, systems, product and services launches, restructuring, regulatory approvals or supervisory and enforcement matters, our team delivers practical, strategic advice informed by deep industry experience.

We advise clients across the full range of financial services regulation, both contentious and non-contentious, by working seamlessly with our Financial Services Disputes team.

Our practice is recognised for its work with institutional asset managers and hedge funds, wealth managers and advisory firms, platform service providers, banks, insurance groups, mortgage providers and corporate finance advisers as well as family offices. We support clients at board and senior management level with all their regulatory needs.

We help clients anticipate risk, execute commercial strategies and engage effectively with regulators, including in the context of skilled persons appointments, information requests and voluntary requirement notices.

Our lawyers bring market insight, technical expertise and experience to help clients stay ahead of change. We provide bespoke training, horizon scanning and strategic input on new regulation, such as the Consumer Duty, the Investment Firm Prudential Regime and AIFMD II.

How we can help

ESG and Responsible Investment

Advising asset managers, corporates and family offices on ESG, impact and responsible investment – providing practical, data-driven guidance on regulation, risk and sustainable growth in a fast-moving landscape.

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They are extremely responsive and very commercial - They are my go-to firm for complex financial services regulatory matters.
Chambers UK 2026

What sets Macfarlanes apart is the ability to combine deep regulatory expertise with commercially grounded, client-focused advice.
The UK Legal 500 2026

The Macfarlanes team are excellent in the field of regulatory practice. They combine excellent knowledge of laws and regulations, including the EU framework, with excellent knowledge of market practice and regulatory approaches.
Legal 500 UK 2025

They focus on thoroughly understanding the client and its business, which is critical to navigate matters that are complex from a legal and practical point of view. These capabilities and approach translate into highly practical advice and guidance.
Legal 500 UK 2025

They have a down to earth approach and they are fun to work with. They offer real value for money, with hourly rates that compare favourably to those of various peers, and with highly efficient and effective staffing of matters.
Legal 500 UK 2025