Financial services risk and compliance
Managing financial services regulatory and financial crime risks can be challenging for businesses. Our Financial Services Risk and Compliance practice, embedded within our Financial Services Regulatory team, partners with clients to provide bespoke and practical advice and support to help you manage regulatory and financial crime risks.
Our team of experienced lawyers and compliance professionals are dedicated to helping you understand and implement legal and regulatory changes, manage conduct risk, and ensure your business operates within the right legal regulatory and financial crime framework. Our Financial Services Risk and Compliance team can provide you with the following support:
Assurance reviews and risk assessments
Financial crime compliance
Regulatory advice
Regulatory applications support
Related insights & events
FCA draws the fair value line: what three years of Consumer Duty supervision tells us about what good looks like – and what still needs to fix
SM&CR overhaul: the most significant reforms since the regime began
FCA publishes AI good practice guide – what regulated firms must do now
FCA consults on how regulated firms should manage DeFi risks
Agentic AI in the justice system: getting the foundations right
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FCA's CFD pricing findings: the Consumer Duty lessons every financial services firm needs to act on
FCA sets out roadmap to expand consumer access to investments
Automated decisions, human consequences: the AI governance imperative for insurance distribution and what it means for your business
FCA AML supervision reform: what law firms, accountants and TCSPs need to do now
FCA Pure Protection Market Study: what firms need to know
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The PRS Database Regulations: what lenders, receivers and insolvency practitioners need to know before taking control of a tenanted property
FCA reviews payments firms' support for vulnerable consumers under Consumer Duty
FCA regulation is not a major barrier to SME finance – but challenges remain
AML reform is accelerating: what firms should take from the UK’s 2026–2029 strategy
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SIPP and SSAS round up: Navigating legal and regulatory change - Autumn 2026
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TLT strengthens Pensions team with Scottish Partner appointment
Top rankings reinforce TLT as Scottish Licensing leader
TLT’s North West growth reflected in standout industry recognition
TLT celebrates growing recognition in Birmingham and the Midlands
TLT Scottish growth reflected in strong Legal 500 and Chambers rankings
Another strong year of recognition for TLT in Chambers UK 2027
TLT advises student property business on sale to MCR Property Group
Two top TLT Partners retain ‘Green Ambassador’ status
TLT advises diagnostic imaging company on acquisition of Burgess Diagnostics
TLT secures HALA reappointment as affordable housing sector enters a new era of growth
TLT advises industrial component supplier on management buyout
TLT advises McCarthy Marland on sale of waste management business
TLT secures triple award shortlisting at British Legal Awards
Continued success for TLT in The Legal 500 UK 2027 Guide
ESG in Action: Pro Bono Week special: How do we improve access to justice?
ESG in Action: The curious workplace: Neuroinclusion at work with Maisie Cass
Energise2030: Data Centres, grid reform and the race for power
ESG in Action: Nature recovery in action: What Belmont Estate can teach business
ESG in Action: Where capital meets conservation with Rebalance Earth
ESG in Action: How to work well in high-pressure environments with the Mindful Business Charter
ESG in Action: Turning clauses into climate action with The Chancery Lane Project
ESG in Action: From nice to necessary: The business case for wellbeing
ESG in Action: Financing change and changing finance with Triodos Bank
The Balancing Act: Unblocking regeneration - public land, risk and delivery
ESG in Action: Working better with Working Families: Flexibility in the workplace
The Balancing Act: Regeneration by the community, for the community
ESG in Action: The future starts at school: Embedding sustainability early with The Green Britain Foundation
The Balancing Act: Regeneration beyond the contract
Energise2030: Developing energy projects for the long-term
DMCC Act subscription contract rules: Everything you need to know
SMConnect Webinars: Practical Insight for leaders in SMCR roles
International Fintech Case Study: Brexit Contract Migration | TLT
UK Utilities Case Study: Employment Law and Brexit Planning | TLT
TLT oversees an international acquisition of a specialised South West business
TLT advises on the £90m sale of long-standing client's business
Advising a fast-growth eCommerce consultancy on a share capital sale and reinvestment
Bitesize ERA - Episode 8: Preparing for the new trade union access rights to the workplace
Investing in Canada: Five essential tax questions with TLT and BLG
UK tax considerations for international investors: Five essential questions with TLT and Holla
Bitesize ERA - Episode 7: Modernising trade union ballots under the ERA reforms
The Netherlands as a gateway to Europe: Five essential tax questions with TLT and Holla Legal & Tax
TLT’s Future Energy Women’s Network video series: Insights from women working across the future energy market
Bitesize ERA - Episode 6: Delivering change under the ERA reforms
Preparing for the Procurement Act 2023 - construction industry focus
