Financial regulation can be complex and the risks of getting it wrong can be hugely damaging for a firm’s business and reputation. Proactively managing legal and regulatory risk is therefore critical. Large financial institutions must identify, assess and evaluate sources of risk and, wherever necessary, improve their compliance arrangements.

Our leading financial regulation practice offers clients rigorous analysis combined with deep experience and knowledge of the regulatory compliance risks financial institutions face in practice, gained from our extensive advisory and contentious regulatory work. We work with our clients to determine “what good looks like” in terms of the practical arrangements they have in place to deliver regulatory compliance.

Please get in touch if you would like to discuss what we could offer you. 

Discover our recent projects


SMCR assurance

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LIBOR transition conduct review

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Compliance operations assessment

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Market abuse risk assessment

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Conduct risk management

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Fair pricing

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Ethics in Banking

Ethics report

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Reasonable steps review

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How Risk Advisory can help you

Unexpected disruption events such as Covid-19 introduce further complexity and impact day-to-day operations. Watch our short videos where we consider some of the regulatory, operational and governance challenges on firms’ agendas.

Second and Third Lines of Defence: During the Pandemic and Looking Ahead | May 2020


At a recent AIMA Virtual Event, Julia Dixon and Raza Naeem discussed the key Covid-19 related issues facing 2nd and 3rd line teams and how lessons can be learned ahead of upcoming operational resilience reforms.

Governance | March 2020


Emily Brightwell and Brenton Pollard look at the key governance challenges for financial services.

LIBOR transition | March 2020


Peter Bevan and Oliver Palmer discuss conduct risks to watch out for in the context of LIBOR transition.

Second line of defence | March 2020


Evelyn Moses and Katy Pittman explain what makes a second line of defence function effective. 

Explore our client services related to risk advisory

Our risk advisory lawyers work across several areas of potential risk including:

We also help clients achieve the smoothest path through regulatory approvals on deals and provide diligence and compliance support throughout the investment cycle. Our Global Regulatory Counsel provide a one-stop shop for transaction-specific regulatory approvals.
x The world in 2022