Financial Services

We advise a wide range of financial institutions including banks, asset managers, financial advisory firms and other market participants on both advisory and contentious matters including regulatory investigations and disputes.

Advisory

Our non-contentious advisory practice covers the lifecycle of regulatory issues including FCA authorisation, day-to-day compliance support, review of financial promotions and marketing materials, drafting business terms and conditions and negotiating agreements with third parties including outsourcing, distribution agreements and trading documentation. We can also support our clients to prepare for significant regulatory developments including MiFID II and the Senior Manager and Certification Regime.

Contentious regulatory and investigations

We can assist you with managing a wide range of contentious regulatory issues including conducting internal investigations, assisting on regulatory enforcement and advising on supervisory processes including skilled person reviews, remediation programmes and regulatory notifications. Our team has extensive experience advising both financial institutions and individuals across a number of market sectors including banking, asset management, financial advisory firms, listed entities and commodities.

Our team’s expertise is built on our time working within the Enforcement Division of the FCA and extensive in-house experience gained at BNP Paribas, Morgan Stanley, Lloyds Banking Group and Barclays Bank. Members of our team have also spent many years in private practice in the City with Freshfields and Simmons & Simmons.

Our contentious regulatory and investigations team is Michael Hartridge, Lilian Small and Kirsten Younger.