Our financial services regulatory practice advises clients (which include institutional and alternative investment managers, retail and investment banks, brokerages and senior individuals) on all aspects of the UK and EU financial services regulatory framework. We have taken a leading role in advising the financial services industry on regulatory actions and the impact of EU legislation (including AIFMD, MiFID and the Market Abuse Directive). We frequently work with colleagues operating in the US and Asia on cross-border financial services advisory matters and investigations to provide clients with a fully-integrated set of legal services focused on securities law, compliance and regulation.
Our contentious team is consistently recognized as a market-leader for enforcement and investigations work, with an in-depth understanding gained from years of experience working at the regulators and for regulated businesses. Our team can assist with all aspects of dealing with the Financial Conduct Authority (FCA) and Prudential Regulatory Authority (PRA) including investigations, information requests, product intervention queries, broader supervisory enquiries and thematic reviews, and s166 reports.
Our highly regarded non-contentious advisory team provides practical, time-sensitive guidance on all aspects of financial regulation in the UK and the EU, ensuring that clients meet their obligations in an environment of constant regulatory change. Our team is consulted by clients’ senior management and compliance teams on the conduct of financial services business in the UK and Europe, often on a cross-border basis, and advises on issues including the requirement for and obtaining of authorisation, the control and ownership of financial services firms, markets and trading, the development of financial products and services, the implementation of governance systems and controls, the FCA/PRA approved person regime, the FCA conduct of business rules, market abuse and market conduct rules and the marketing of financial services and products in the UK and internationally.