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.