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We provide insight on evolving financial services regulation

Our clients include financial institutions, national and international companies that offer financial products, individuals and authorised individuals, investment houses, regulators, leading investment banks, insurers, insurance intermediaries and reinsurers.

We assist clients in navigating the complex and ever evolving financial services regulatory environment and assist in managing cross-border compliance and risk.

We have a close relationship with a wide range of financial services regulators, with many of the team having worked in those organisations, which means we understand the challenges our clients face.

Our financial services team has significant experience in advising on complex disputes relating to financial instruments and banking litigation. We act for regulated firms and individuals, both for and against the regulators, including the Financial Conduct Authority (FCA), the Prudential Regulation Authority (PRA) and the Financial Reporting Council (FRC).

Our team also specialises in fraud and asset recovery actions. 

Our Financial Services Work

  • Middle East
  • UK & Europe
  • Qatar Financial Centre Regulatory Authority

    Advising the Qatar Financial Centre Regulatory Authority on the draft implementing regulations for the insurance sector to be issued by the Qatar Central Bank pursuant to the QCB Law; including undertaking an extensive benchmarking exercise against the insurance laws and regulations of the...

    Qatar
  • Fidelity and crime insurers investigation

    Acting for fidelity and crime insurers in investigations of fraudulent schemes in the US, Canada, Japan, Argentina and Bermuda

    United Kingdom

    FSA enforcement proceedings

    Advising an individual research analyst during FSA enforcement proceedings following failures to comply with FSA principles of conduct for approved persons, by providing information to non-authorised persons regarding research findings on a stock, prior to the research note’s publication

    United Kingdom

    Bankers Blanket Bond advice for insurers

    Advising a panel of insurers of a Bankers Blanket Bond (fidelity section) for a major retail bank. Substantial losses to customers had arisen from a complex series of frauds by a bank employee

    United Kingdom

    FTSE 100 Listing Rules investigation

    Advising the board of a FTSE 100 company regarding an investigation into an alleged breach of the Listing Rules through non-publication of price-sensitive information of a share buy-back programme

    United Kingdom

    Financial sector whistleblowing investigation procedures

    Advising a bank on internal regulatory policies including whistle-blowing procedures in response to complaints made by a former employee

    United Kingdom

    Collective investment scheme advice

    Advising a collective investment scheme investing in commercial property on the financial promotion implications of its fundraising activities

    United Kingdom

    FSA requirements advice

    Advising a UK company on whether the nature of its activities required authorisation by the FSA

    United Kingdom

    Advice on establishing international offices

    Advising a trading company authorised by the FSA on the regulatory implications of setting up an overseas office including a review of both UK and local law

    United Kingdom

    Advised on D&O/PI cover for a leading national accounting firm

    The FSA led an investigation into operations systems and controls (FS regulated advice).  This raised questions regarding the nature and extent of our client's cover. We were therefore required to advise as to the adequacy of this cover. We then assisted with the transition of our client into...

    United Kingdom

    FSA bribery and corruption investigation

    Acting for a large broker that has been under investigation by the FSA since 2011 in relation to bribery and corruption issues.

    United Kingdom

Our Financial Services team

Mark Attard
Mark Attard

Partner

Scott Bertschi
Scott Bertschi

Partner

Mark Beswetherick
Mark Beswetherick

Partner

Stephen Browning
Stephen Browning

Partner

Dean Carrigan
Dean Carrigan

Partner

James Cooper
James Cooper

Partner

Nick Elwell-Sutton
Nick Elwell-Sutton

Partner

Chris Hill
Chris Hill

Partner

Avryl Lattin
Avryl Lattin

Partner

Janette McLennan
Janette McLennan

Partner

Matthew Pokarier
Matthew Pokarier

Partner

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