Our multi-disciplinary REGULATORY team advises across a wide range of client sectors and practice areas

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Financial Regulation

We have a team of specialist lawyers with a long history of experience in advising clients on a range of issues related to financial regulation and tax.  

Members of the team have acted as both poachers and gamekeepers - working at the FCA and other regulators, as well as handling a range of regulatory issues for market participants. This gives us an insight that enables us to get under the skin of regulation and to provide practical and strategic advice in dealing with regulation. 

Examples of advice provided by our team include:

  • Compliance with the Financial Services and Markets Act 2000 and associated legislation, and on the FCA’s Handbook of Rules and Guidance
  • FCA applications and procedures, including change of control applications, rule waivers and variations to existing permissions
  • Advice on compliance across a range of other financial regulators, both in the UK and in many other jurisdictions
  • Cross-border advice on European and global market regulation and structuring
  • FCA and other regulatory investigations in areas such as market abuse including enforcement activities
  • Financial and banking sector inquiries by the OFT and Competition Commission (now the CMA)
  • Handling complex financial disputes, including cross-border claims and arbitrations
  • Corporate structuring and M&A work
  • Tax and related investigations by HM Revenue & Customs, and tax related litigation including experience of HMRC's new alternative dispute resolution procedures

 

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