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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.

Upcoming events

Operational Resilience dinner: Tuesday 3 December from 6pm. Please get in touch if you would like to join us.

Discover our recent projects

LIBOR transition conduct review

Assessing the adequacy and appropriateness of a financial institution’s policies and procedures relating to LIBOR transition across multiple products and business lines.

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Compliance operations assessment

Reviewing and reporting on the operational capability of a financial institution’s UK compliance function, including making recommendations for improvement.

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SMCR assurance

Conducting assurance exercises to stress test governance arrangements against the requirements of the Senior Managers and Certification Regime.

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Conduct risk management

Reviewing a financial institution’s conduct risk and governance arrangements in response to an FCA evaluation.

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Ethics report

Authoring a report on Ethics in Banking and Finance in conjunction with UK Finance.

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Compliance review

Advising an EMEA Head of Compliance on a firm’s internal review of the compliance function.

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Explore our client services related to Regulatory risk advisory

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