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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"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

"It is an excellent firm with high quality staff. They are knowledgeable, commercial and hard working."

IFLR 1000 2018

"The team 'give excellent advice which is both practical and rooted in a deep understanding of the law'"

IFLR 1000 2018

"'Up to speed on changes occurring in the market’, Macfarlanes LLP provides ‘prompt and reliable advice’."

The UK Legal 500 2017

"Macfarlanes LLP […] provides 'responsive, pragmatic and insightful advice'."

The UK Legal 500 2018

Awards