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Banking and Finance Regulatory

In an increasingly complex and challenging regulatory environment, clear guidance and commercial application from professional advisers has never been more critical. Risk management and regulatory compliance principles are constantly changing. To protect your commercial reputation and viability, such matters need to be handled competently, efficiently and sensitively.

As the powers, responsibilities and reach of regulators increase, so does the need to ensure your understanding of your obligations and your rights.

Through our established relationships with regulatory bodies, we can readily draw on this experience to offer prompt, pointed and clear advice to help our clients determine how best to maintain compliance.

We advise, among other issues, on:

  • the effect and impact of regulations on businesses operating in the financial services sector, offering standalone strategic advice and as integrated team members on complex transactions
  • compliance, including dealing with local regulatory bodies
  • investigations by local regulatory bodies, covering a wide range of issues, including governance, remuneration, complaints handling, insider dealing and market abuse
  • transactional work relating to trading and clearing platforms, with an in-depth of Euroclear
  • privte and public offerings of securities, including providing advice on selling restrictions.

See also Regulatory - Banking & Finance Regulatory