Accessibility tools
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

SMCR assurance

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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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Culture, Governance and Accountability

The key to managing regulatory risk?

The FCA and PRA continue to focus on the role of culture in the firms they regulate as a driver for potential harm. From our work with clients we see first-hand the extent of regulatory scrutiny on how firms promote a positive healthy culture and how their governance structures and systems and controls support this. Explore our articles focusing on Culture, Governance and Accountability.

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.
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