We provide expert support to exchanges, brokers, market participants and other financial institutions operating on financial markets. 

On financial services regulatory matters, our knowledge of the evolution of the increasingly complex web of regulation combined with our familiarity with prospective developments enables us to provide innovative advice to our clients.  

We combine specialist technical expertise with a broad sector knowledge to assist our clients to overcome challenges posed by regulation and market developments.  We frequently advise our clients on matters that to a great or lesser extent transform the regulatory landscape.  Naturally, there has been an increasing focus on European initiatives, such as MiFID and more recently MiFID II, AIFMD and the European Markets Infrastructure Regulation (EMIR), but UK-centric developments cannot be neglected as firms adapt their operations to meet developing regulations.

To provide the best service to our clients for work concerning markets and exchanges, our financial services regulatory lawyers work hand in hand with other relevant specialists across the firm, notably our Corporate AIM team and our Finance group, especially our Securitisations team.

Our Financial Services practice and other relevant practices are highly ranked both within the legal directories and within the industry:

This group is praised for being "willing to go the extra mile" for its clients.

Chambers 2011, Financial Services: Non-contentious Regulatory

Sources say Kirstene Baillie is "very efficient" and "good at getting down to the nitty-gritty." Clients say her considerable experience and knowledge mean "you can have a good discussion with her on the issues and she understands them straight away."

Chambers 2012, Financial Services: Non-contentious Regulatory


Notable deals / highlights

  • Acting for Broadridge Financial Solutions, Inc., one of the largest US settlement and clearing brokers, on its entry into the UK market.

  • Advising Euroclear SA on UK regulation and drafting relevant compliance procedures.

  • Advising Plus Markets Group Plc on the proposed acquisition of an MTF Platform, and regulatory supervisory and prudential matters.

  • Advising Commerzbank AG on the listing of exchange traded funds (ETFs) on the London Stock Exchange.

  • Advising a large multinational Japanese bank on various issues arising for the European Markets Infrastructure Regulations (EMIR) across its financial and non financial group entities.

Expertise spotlight

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