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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


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.


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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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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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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Read our regulatory insights

FintechLinks blog

Sign up to our FintechLinks blog for insights, updates and news from our dedicated fintech lawyers.

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A new EU prudential and remuneration regime for investment firms

The European Parliament has approved a package of legislation which will overhaul the prudential regulation of the majority of EU investment firms, and significantly change the remuneration rules for some firms.

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Brexit is unique in its scope and complexity. It affects businesses across all sectors, yet no two businesses face precisely the same challenges; everything depends on the nature and footprint of their operations as well as those of their suppliers and customers.

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Shareholder Rights Directive II

The updated EU Shareholder Rights Directive applies in the UK from 10 June 2019. Companies, asset managers and institutional investors need to be prepared to comply with the changes it introduces.

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Senior Managers and Certification Regime

The SMCR is part of the UK regulators’ drive to improve culture, governance and accountability within financial services firms. It aims to deter misconduct by improving individual accountability and awareness of conduct issues across firms.

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Our MiFID II page provides consolidated and up to date MiFID II rules and guidance and links to our latest post-implementation insights.

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Ethics in Banking and Finance

This report, which has been prepared in partnership with UK Finance, is designed to help firms more easily engage with the many and varied sources of ethical requirements and evaluate whether they are living up to these expectations and the values they have set for themselves.

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