Regulatory Transactions
Our global team has extensive expertise of transactions involving regulated financial institutions, from the due diligence phase to getting regulatory approvals.
Our team of regulatory lawyers have outstanding experience and expertise advising on transactions for the purchase and sale of regulated firms or assets.
Our team of regulatory lawyers have outstanding experience and expertise advising on transactions for the purchase and sale of regulated firms or assets.
We particularly work closely with our Corporate, Investment Funds and Structured Finance colleagues, drawing on our wealth of knowledge from our market-leading regulatory practice.
We aim to provide technically excellent legal advice that is pragmatic and commercially appropriate, taking into account the bigger picture of the transaction as whole.
Our capabilities include:
- regulatory due diligence
- advising on the potential risks associated with purchasing regulated entities or assets
- drafting/negotiating of regulatory warranties, indemnities and conditions
- guiding clients through regulatory change in control approvals.
We understand the potential risks associated with purchasing regulated entities, particularly from a systems and controls and conduct perspective. We are experienced at identifying risks through due diligence and working with clients to put in place appropriate protections in transaction documentation.
When the deal is signed, we have excellent knowledge of how best to navigate the PRA and FCA change in control processes successfully and as swiftly as possible.
Where approvals are needed in other jurisdictions, we work closely with our specialist regulatory colleagues to secure these. Drawing on the depth of our international expertise, we are able to advise across 70 jurisdictions through our offices and relationship firms.
Where our clients are purchasing regulated assets, such as regulated mortgage or consumer credit loans, we have a deep understanding of the relevant legislation and how to identify, assess and manage regulatory risks relating to these products.
