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Financial Regulation

At Fieldfisher we have a specialist Financial Regulation practice offering both breadth and depth of experience and expertise across regulated and non-regulated sectors on both contentious and non-contentious matters.

Notable deals and highlights

  • Advising challenger banks on their authorisation or "passporting" arrangements (including the creation of retail products for the UK market).
  • Advising both buy-side and sell-side market participants on their Brexit contingency planning arrangements.
  • Advising clients on regulatory perimeter issues and obtaining regulatory authorisations including, in respect of: payment services and e-money issues; claims management; appointed representative or agency arrangements; consumer lending; insurance distribution; mortgage lending; collective investment schemes and alternative investment funds.
  • Advising on compliance and conduct of business issues for regulated businesses of all types including major programmes to deal with regulatory change (e.g. MiFID 2; PSD2; Senior Managers and Certification regimes; as well as other strategic matters such as remuneration regimes; regulatory capital requirements; safeguarding requirements for payment services firms).
  • Defending investigations and responding to enquiries by the Financial Conduct Authority, the Prudential Regulation Authority, Serious Fraud Office and the London Metal Exchange.