Financial Regulation Group

At the same time, the authorities are showing greater propensity to enforce, through ever more intrusive and extensive investigations. Against this backdrop, it is vital that clients continue to have access to recognised experts for advice on all aspects across the financial services spectrum.

Our market-leading global group can advise you on all aspects of regulatory compliance, risk management and enforcement work across multiple jurisdictions.

Our team of contentious and non-contentious lawyers can act as key advisers on your most sensitive and reputation-threatening regulatory issues, delivering strategic, technical and commercial advice.

Understanding the challenges from our clients’ perspective

Our relationships with banks, investment managers, trading platforms and exchanges worldwide are unrivalled and longstanding. As a result, we understand the challenges that affect our clients at national, European and international levels, enabling us to deliver incisive advice on critical financial regulatory issues. 

Drawing on the depth of our international expertise in complex financial systems and products, we are able to advise across 70 jurisdictions through our offices and relationship firms. The range of work our team handles underlines the quality of our regulatory practice. 

Recent highlights include advising:

• a number of US, European and Asian headquartered investment banks and other financial institutions on the implications of Brexit for their operations;
• more than 15 banks on their implementation of the Senior Managers and Certification Regime;
• most of the global bulge sell side and a number of large buy-side clients on their MiFID II implementation projects, advising on issues across the spectrum of financial institutions, products and business lines;
• a number of banks in relation to their internal compliance projects to ensure that they meet their obligations under the EU Benchmark Regulation / IOSCO Principles, including a review of index manuals, other policies and related documents, advising on an appropriate control and governance framework and codes of conduct for a benchmark administration business;
• a number of clients on how other key global regulatory changes (e.g. ring-fencing, EMIR/Dodd Frank) will require them to restructure their business lines and corporate structures to devise a single model for overall regulatory compliance;
• clients in anticipation of, during and in the aftermath of investigations and enforcement proceedings brought against firms by the regulators, including in respect of market conduct, systems and controls, mis-selling, complaint handling and other issues relating to the conduct of business and fair treatment of customers.