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Financial services regulation

In an increasingly complex and fast-paced regulatory environment, our financial services regulation practice is well positioned, providing high calibre lawyers seamlessly covering both contentious and non-contentious issues.

Many of our lawyers have significant client-side experience in senior legal and compliance roles and experience of working with the FCA and PRA. This enables us to see the issues from the client’s perspective and to understand the objectives and priorities of the regulators.

We advise the full range of financial services firms, including banks, investment banks, corporate finance advisory boutiques, private equity houses, trading venues and other liquidity providers, as well as asset managers, hedge fund managers and individuals. We are one of a select panel of law firms to be appointed to the PRA / FCA panel of “skilled persons”, providing clients with developed insight into the way in which the regulators supervise firms and enforce against them.

The non-contentious side of the practice has a market-leading reputation in working with institutional asset managers and hedge funds, encompassing all types of strategic regulatory advisory work, the majority of which is performed at senior management and board level.  

In addition, the contentious side of the practice regularly advises on the largest and most complex regulatory disputes and investigations globally and provides market leading experience and expertise in a wide range of contentious regulatory matters, including investigations, enforcement actions and dispute resolution.

Our unique service is enhanced by our strong in-house advocacy capabilities, in the form of a well renowned QC and several Solicitor Advocates, allowing us the rights to present cases in the High Court, providing a full service from letter of claim through to trial.

Our specialist areas of expertise include:

  • regulatory developments;
  • transactional regulatory support;
  • enforcement and investigations;
  • regulatory obligations and advice;
  • governance and accountability; and
  • market conduct and financial crime.

What people are saying

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"They understand all issues and questions that we have straight away and provide pragmatic advice and they explain everything in a very clear manner. They are extremely well experienced in the financial services/regulatory area, so their knowledge is exceptional. The Team is extremely professional and always very helpful."

The UK Legal 500 2023

"They have provided clear advice along every step of the way – whether this be in relation to larger reviews undertaken or smaller, more time sensitive queries. Every response has been provided efficiently with follow up calls offered."

The UK Legal 500 2022

"The financial services regulatory team is exceptional. Their knowledge of the FCA is second to none and I would not go anywhere else for regulatory advice. They can explain some quite tricky regulatory issues in a way that is logical and straightforward, always identifying risks and guiding us through their resolution. They are a pleasure to work with."

The UK Legal 500 2022

"The Regulatory team are extremely knowledgeable and pragmatic about business matters. They use simple language for their clients to help understand complex issues or solutions."

The UK Legal 500 2022

"A client says: "I am particularly impressed not only with the breadth but also the depth of experience. Everyone is a quality operator: they have real bench strength across the firm."

Chambers UK 2019

"Sources say: "They approach matters from a commercial perspective. They stand ready to support you and are very committed, hard-working individuals."

Chambers UK 2019

Awards