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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.

Why Choose Our Financial Regulation lawyers?

We advise businesses at all stages of development from the establishment of financial services firms through to mergers and acquisitions, corporate governance arrangements, restructurings, financings, regulatory capital arrangements to the creation and distribution of financial products and other matters of strategic importance. Contentious work includes defending individuals and firms which are the subject of regulatory attention, in areas including market abuse, anti-money laundering process and systems and controls breaches. We also advise on the interaction between UK and non-UK regulation including, of course, Brexit.

Our Financial Regulation practice offers a service that combines the skills of specialist lawyers as needed, be they corporate, finance or disputes lawyers.

Our clients include banks broker-dealers and other investment firms, commodity traders, mutuals, investment managers, payment and e-money institutions, funds and fund managers and various fintech businesses, including peer-to-peer and other innovative finance providers as well as firms involved in claims management.

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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.

Key Contacts

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