Regulation and governance
In an ever-changing regulatory environment, our knowledge and insight will give you a strategic advantage.
Whether you need specific regulatory advice, help with a complex transaction or assistance as you prepare for - or seek to avoid - a Financial Conduct Authority (FCA) or Prudential Regulatory Authority (PRA) intervention, we can help.
We'll give you the advice and support you need in areas such as business structuring, capital requirements, product development and conduct risk, including misselling exposure, and competition law compliance.
We have expert knowledge of Lloyd's and all aspects of PRA and FCA regulation, anti-financial crime (including sanctions, bribery, money-laundering and fraud), advise on conflicts of interest and remuneration issues, and competition law.
Our team can help you obtain regulatory authorisation or change of control approval as part of our transactional advice.
On the governance side, we can help with governance structures, board effectiveness reviews and whistleblowing issues. We offer governance training and compliance monitoring support and can help you manage risk by designing delegated authority and approval frameworks.
Much of our work is international, using our own London, Hong Kong and Singapore offices, and calling upon our international best friend network of law firms to provide further local expertise where necessary. This helps us ensure we find the best lawyer for the job – whether RPC or a partner firm – keeping cost down and providing high quality advice and service.
Examples of work
Enforcement- advising and defending firms and senior managers in Enforcement investigations and proceedings undertaken by the FCA, PRA, Lloyd's of London and overseas Regulators including the SEC
Sanctions - advising firms on sanction screening issues, as well as licence applications and notifications
Systemic failures - advising firms and their senior management on investigating and reporting systemic misselling of financial products, with associated conduct issues. Devising and monitoring remediation plans to address regulatory concerns
The Team
Lucy Kerr
Senior Associate
Dispute resolution Banking and financial markets disputes Commercial disputes Insurance and financial services regulation Anti-bribery and corruption Corporate investigations Regulation and governance Anti-money laundering Regulatory Corporate and business crime Professional practices White Collar Crime
- +44 20 3060 6000
- Email Lucy Kerr
- London
Ella Shanks
Associate
Corporate advisory Real estate finance Banking and financial services Banking and lending Corporate Debt advisory Private equity and investments Joint ventures Regulation and governance Regulation and governance Retail Mergers and acquisitions
Robert Waterson
Partner
Dispute resolution Tax Tax investigations and dispute resolution Commercial disputes Trusts and wealth Judicial Review Retail Regulatory Corporate and business crime Regulation and governance Corporate tax Customs and excise Dawn raids Private wealth and family offices VAT
Shanice Holder
Associate
Brokers E&O Financial professionals Lawyers Reinsurance Regulation and governance Dispute resolution
Jon Bartley
Partner
Commercial, IP, technology and media Commercial contracts Data and cyber Data advisory Intellectual property Outsourcing commercial contracts Technology and telecommunications Commercial GDPR Telecommunications Technology and Cyber Risk Advertising and marketing Retail Regulatory Regulation and governance Regulation and governance Distribution and commercial contracts Employment, engagement and equality Fintech Product regulation Digital Outsourcing Data advisory
- 020 3060 6394
- Email Jon Bartley
- London
Andrew Carpenter
Partner
Retail Regulation and governance Regulation and governance Insurance and financial services regulation Food and drink Corporate Private equity and investments
- +852 2216 7140
- Email Andrew Carpenter
- Hong Kong
Matthew Griffith
Partner
Corporate Corporate advisory Corporate insurance Regulatory Mergers and acquisitions Outsourcing commercial contracts Insolvency and restructuring Life and longevity transactions Distribution and commercial contracts Joint ventures Insurance Regulation and governance Regulation and governance Policy wordings solutions
Jeremy Cunningham
Partner
Private equity and investments Mergers and acquisitions Corporate advisory Corporate Corporate insurance Joint ventures Regulation and governance Company and shareholder disputes Media Corporate real estate Manufacturing, industrial and mining Private wealth and family offices Insurance Outsourcing Outsourcing commercial contracts
