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Financial Services Regulatory Lawyers
The pace of regulatory change in financial services and investment funds is unprecedented, with increasing involvement of regulators in the EU and globally.
At the same time new technology, markets and customers offers innovative companies great opportunities for growth.
Financial services businesses need to constantly 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 you through them.
Investment funds are developing new investment strategies, structures and technological processes to widen their access to larger pools of investors. Our team advises both authorised and unauthorised funds located both onshore and offshore. This expertise for clients is increasingly important as the boundaries between authorised and alternative funds have become blurred with the implementation of new regulations.
In addition to this, our long history advising clients operating within the private wealth space has given us decades of experience advising private equity and private capital businesses, as well as family offices, on regulatory aspects of various investments within the financial services sector.
Our financial services regulation law expertise
Our client expertise ranges from international institutions to independent firms and senior executives. They include:
- commercial and private banks
- non-bank lenders and credit providers
- investment funds
- private funds
- investment and asset managers
- family offices
- advisers and intermediaries
- insurance companies
- fintech businesses (from start up to exit, including specific advise on relevant FCA regulatory requirements)
- wholesale trading and markets entities.
In addition to helping you with your regulatory and legal issues, we are focused on advising on transactional and strategic matters. This includes advising you on contentious matters where you are dealing with regulatory and investigations, helping to protect your business and client relationships.
FCA Authorisation: Do I need to be FCA-regulated?
UK Financial services regulation has a broad scope. If you are unsure about whether your business is subject to FCA regulation you should seek legal advice. Find out more here.
I have worked with the team for a number of years and find their knowledge of derivatives legislation and market practice second to none and much more in-depth in comparison with other firms I have worked with.
Our financial services regulation & funds legal services
Investment Funds
Whether you are focussed on single asset or multi-asset investment strategies, we have the expertise to help you with experience in alternative investment funds and UCITS.
Private Funds
Our team of specialists advise on the full range of fund structures, implementing innovative and commercial solutions tailored to your strategic requirements.
Meet our financial services regulation & funds lawyers
Related pages
Banks & Non-Bank Lenders
Alongside our advice on debt and international finance we also advise our clients on regulatory reform, compliance and data security issues.
Broking, Trading & Markets
Charles Russell Speechlys advises a broad range of wholesale and sell side firms.
Digital Assets
Our team has a wealth of experience in cryptoassets and can support you with your needs.
Insurance
Charles Russell Speechlys’ highly regarded insurance team has advised clients in the insurance sector over many years.
What's important to you is important to us. Let's talk
If you would like to speak to a member of our Financial Services team or to find out more about how we work, please get in touch.
Our thinking
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FCA Finalised Guidance on PEPs: FG 25/3 – A recalibrated approach for domestic politically exposed persons
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Upcoming Licensing Regimes for Virtual Asset Services in Hong Kong
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Racheal Muldoon writes for the Financial Times on whether individuals can pass down digital assets in their will
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Growth and Accountability: A Legal and Regulatory Perspective on the FCA’s Secondary Objective
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Starting up a Hedge Fund in Hong Kong? Should I Use a HK, BVI, or Cayman Islands Structure?
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FCA Supercharged Sandbox, Encouraging AI Experimentation With NVIDIA
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Triple Play "Bid Fever": UK Tech's ability to scale and go global
Mark Howard
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Consultation on Private International Law and Digital Assets Law Commission Proposes Landmark Reforms
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The FCA's PS25/4: Extending Investment Research Payment Optionality to Fund Managers
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Mastering Claims Against Estates: A Guide to Debt Enforcement in Switzerland
Remo Wagner
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Regulating the Digital Frontier: UK Government Unveils Draft Cryptoasset Legislation
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The Evolution of Family Office Structures in Hong Kong: A Strategic Guide to Regulatory and Structuring Considerations. Part 2: Structuring Considerations
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The Evolution of Family Office Structures in Hong Kong: A Strategic Guide to Regulatory and Structuring Considerations. Part 1: Regulatory Compliance
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Charlotte Hill writes for Law360 on the impact of the FCA's latest Portfolio Letter on payments firms
Charlotte Hill
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SFC’s new regulatory roadmap for Hong Kong’s VA market – A-S-P-I-Re
Gaven Cheong
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ESMA Consultation on Guidelines for the criteria to assess knowledge and competence under MiCA
Charlotte Hill
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