Financial Services Regulatory Lawyers

The financial services regulatory landscape continues to evolve rapidly, in the UK and internationally. 

Businesses are navigating competing pressures: growth and innovation, while meeting increasingly complex consumer protection and broader compliance requirements, in a world shaped by geopolitical change.

Regulators face the same challenge, seeking to support competitive markets while protecting consumers resulting in a regulatory environment that can be difficult to navigate, particularly where technological developments outpace regulatory response.

Now more than ever, it is crucial that businesses operating within the financial services space - directly or indirectly - understand the scope of their regulatory requirements but can also benefit from regulatory lawyers able to navigate this environment swiftly to offer clear, commercial routes forward and take advantage of business opportunities.

Strategic regulatory advice for financial services businesses and investors

That is where our team can help – combining the strength of our regulatory team with broader cross-practice sector support, we deliver strategic and commercially practical regulatory advice to clients operating in, or investing in, the financial services sector.

Our leading capability across the private capital ecosystem we are particularly well placed to advise on regulatory issues arising in:

• Corporate transactions in the financial services sector
• Investment fund structures and asset managers
• Family offices and private wealth structures
• Emerging and next-generation asset classes, including digital assets

Our financial services regulatory services

Our expertise includes advice across:

Complex regulatory matters

Strategic guidance on the scope of regulation on your business and ongoing strategy and risk mitigation; FCA/PRE authorisation and permissions; structuring regulated businesses; and regulatory support on complex transactions.

Private capital and funds regulation

Regulatory support across the lifecycle, from fund structuring and fundraising, to exit readiness and governance.

M&A and regulatory transaction support

Regulatory advice on M&A, fund launches and restructuring, and the acquisition or disposal of regulated assets

Digital assets, AI and other emerging technology

Combining cross practice teams across the digital assets and AI space, our team are uniquely positioned to advice on the rapidly evolving regulatory expectations for operators in this space, balancing innovation and compliance

Regulation & compliance frameworks

Guidance on core regulatory regimes, including Consumer Duty, Financial promotions, AML and financial crime, operational resilience, and the applicability of regulatory regimes on your business

Who we act for in the financial services sector

Our team advise a broad range of clients within the financial services space, bringing an in-depth knowledge of the typical expectations of each. Our team advise asset managers and fund sponsors, private equity and venture capital investors, family offices, banks, and other fintech and digital asset businesses.

If you are looking to launch a fund, explore a financial services M&A deal, or are otherwise unsure of your position within a complex regulatory landscape, please don't hesitate to get in touch with our team to discuss how we can support you.