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Financial Regulation

Our market-leading global financial regulation group advises on all aspects of regulatory compliance, risk management, enforcement and regulatory transactions

Our team can guide you through the most sensitive and reputation-threatening regulatory issues, delivering strategic, technical and commercial advice.

We have longstanding relationships around the world with institutions offering financial services, including banks, investment managers, payment firms, trading platforms and exchanges.

Drawing on the depth of our international expertise in complex financial systems and products, the range of work our team handles underlines the quality of our regulatory practice.

We are ranked Band 1 for both contentious and non-contentious regulatory work in financial services.

Client services

1

Regulatory compliance

We can help you manage the impact of financial services regulation through standalone strategic advice, as well as acting as integrated team members on complex transactions and regulatory change projects.

2

Risk advisory

We can proactively identify and address legal and regulatory risks arising in your business and help you to determine what good compliance practice looks like through a combination of risk advisory, benchmarking and horizon-spotting. 

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3

Assertive supervisory interventions

Regulators’ supervisory intervention powers are broad and business-threatening, and they’re being used earlier and more often. We take a proactive approach to help you mitigate the risk in advance and manage supervisory engagement to reduce interventions’ scope and impact, as well as to contest interventions effectively.

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4

Contentious regulation

We can help you manage investigations and enforcement actions by regulatory bodies, covering wide-ranging regulatory matters, including cross-border regulatory work involving multiple authorities.

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5

Regulatory Transactions

Our global team has extensive expertise of transactions involving regulated financial institutions, from the due diligence phase to getting regulatory approvals. We aim to provide technically excellent legal advice that is pragmatic and commercial, taking into account the bigger picture of the transaction as whole.

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6

U.S. FRG practice

Linklaters’ U.S. Financial Regulation Group advises on the full spectrum of regulatory and compliance matters in the U.S. impacting global financial institutions, private equity, hedge and real estate fund managers, broker-dealers and banks.

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Read our regulatory insights

Lights

Financial Regulation Legal Outlook 2024

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Architectural Abstracts

The UK Economic Crime and Corporate Transparency Hub

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Umbrellas

Regulatory Insurance

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Paper stripe

Financial Regulation Legal Outlook 2023

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coral reef

The Consumer Duty

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Insurance and Pensions Regulation podcast series

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Operational Resilience

Operational resilience

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governance and accountability

Culture, Governance and Accountability

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FintechLinks blog

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A new EU prudential and remuneration regime for investment firms

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Brexit

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Shareholder Rights Directive II

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Senior Managers and Certification Regime

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MiFID II

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Ethics in Banking and Finance

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Financial Regulation Insights

Our new FRG blog where you will find insights, commentary and news on recent developments in financial regulation from our dedicated financial regulatory lawyers in London.

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Law compare logo

Launching Linklaters Law Compare – a key part of your post-Brexit legal compliance toolkit, enabling you to keep pace with a rapidly-changing regulatory framework in the EU and UK.

Providing full coverage of the EU and UK MiFID regimes from high-level requirements, through technical standards, to guidance and Q&A, your view of the rules is enhanced by Linklaters’ legal commentary.

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Key contacts


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