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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.

Where we need to work alongside lawyers in other jurisdictions, we are part of the TerraLex network and have access to over 150 law firms in 100 jurisdictions across the globe.

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