Financial Services Regulatory

We have strong Financial Services Regulatory experience covering strategic advice, investigations and enforcement.

Our contentious and non-contentious teams combine leading market experts, former regulators and senior in-house experience. We understand the industry and how regulators think.  

Our services cover all aspects of regulatory needs, but here are some examples of what we offer:

• Legislative change implementation and compliance advice

• New and innovative product design, digitisation, simplification, policies and procedures, risk reviews, customer journeys and consumer duty assessments

• Supervisory inquiries including thematic reviews, attestations, whistleblowing, s166 skilled persons processes, enforcement and redress

• SMCR support, including training and advice to Boards

• Transactional support, including due diligence and change in control processes

• Authorisations, variation of permissions and new business set up

• Disputes and litigation support from recoveries litigation to strategic test cases, GLOs and judicial reviews.