Financial Regulation

Our financial regulation group has an in-depth knowledge of the FCA and PRA and how their authorisation, supervision and enforcement divisions operate in practice.

We advise financial institutions in the retail and wholesale sectors, including asset managers, banks, broker-dealers, commodity traders, corporate financiers, custodians, insurance/reinsurance firms and intermediaries, life and general insurers. We also advise members of senior management in FCA and PRA authorised firms on their personal regulatory responsibilities and listed companies on their UKLA and AIM duties. 

Many of our team have in-house experience, gained from working at the regulators, investment exchanges and major financial institutions.

Combining our legal strength and industry knowledge, we play a proactive role in assisting our clients to plan for and implement changes as they occur. Our commercially astute, solutions- based advice is presented in a clear and understandable way.

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