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Financial Services Regulation & Funds

The pace of regulatory change in financial services and funds is unprecedented, with the ever increasing involvement of regulators in the EU and elsewhere.

Financial services businesses need constantly to review and revise their practices and procedures to meet the challenges of this evolving landscape. We make it our business to be at the forefront of anticipating and understanding these changes so that we can guide and support our clients through them.

Our clients range from international institutions to independent firms and senior executives, spanning the full spectrum of financial services providers from wholesale to retail.  They include commercial and private banks, non-bank lenders and credit providers, investment funds, investment and asset managers, family offices, advisers and intermediaries, insurance companies and wholesale trading and markets entities.

Many of our clients are regulated by the Prudential Regulatory Authority and/or the Financial Conduct Authority and include firms regulated by non-UK regulators which are seeking to do business in the UK.

In addition to helping our clients with their everyday regulatory and legal issues, we are focused on advising on transactional and strategic matters, including:

Regulatory
  • establishing new businesses and seeking PRA and/or FCA authorisation
  • reorganising regulated businesses
  • change of control issues
  • drafting product documentation
  • preparing terms of business and other key contracts and policies.
Investment funds
  • fund formation both onshore and offshore
  • tax, regulation and compliance advice relating to funds
  • restructuring and reorganising funds
  • investing in funds.

Managing risk and dealing with regulators are key elements of our practice, with particular expertise in:

  • challenging the regulators on regulatory change
  • defending our clients who are the subject of FCA investigations, Financial Ombudsman investigations or other claims
  • perimeter issues and staying outside the scope of regulation
  • working with clients on how to approach the increasing focus by the PRA and FCA on the individual and on conduct risk. 

We have lawyers serving financial services clients based in all our offices in the UK, France, Luxembourg, Switzerland, Bahrain and Qatar. Our presence in the Middle East means that we can offer particular expertise ensuring compliance with Sharia principles. In addition, we have extensive experience working with clients in the USA, Africa and the Caribbean.

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