Financial services and regulation

Our global financial services and regulation practice helps our clients navigate the evolving and increasingly complex regulatory environment, working seamlessly across major business and financial hubs. With a multidisciplinary team of lawyers, risk and compliance professionals and government relations and public policy strategists, we provide clients with an “end-to-end” service, combining deep legal and regulatory knowledge with practical industry experience to deliver practical and commercial solutions.

Structured around core regulatory strengths – governance, conduct and markets – our team is well-known for its advisory and transactional work with the largest financial markets participants on both the wholesale and retail side, including banks, asset and wealth managers, brokers, market infrastructure players, commodities firms, and FinTechs. The team also includes those who focus on contentious regulatory matters, with extensive experience advising clients on investigations and enforcement actions involving a wide range of regulators and agencies. The team also advises on self-reporting, risk assessments, compliance programs and whistleblowing policies and procedures.

As a testament to our experience, we are regularly instructed by some of the world’s leading global financial institutions and their senior management on complex, high-value and multi-jurisdictional matters, ranging from international product launches and the setting up of new businesses, to responding to regulators and managing regulatory change.

Our team is at the forefront of global regulatory reform, with extensive experience working with the world’s leading financial regulators and enforcement agencies, and many members of our team have also held senior positions within these organizations. This gives us real insight into the internal workings of the regulators, the underlying policies which shape their approach and the sensitivities of dealing with such institutions.

With offices in more than 50 cities worldwide, we are truly global. With a unique depth and breadth of global experience, we are well positioned to help clients wherever they conduct business, offering extensive knowledge of regional and international regulations and laws.

Our areas of work include

  • Asset and wealth management
  • Authorizations
  • Banking and finance, including banking regulation
  • Change in control
  • Custody and client money
  • Documentation, including compliance and contractual
  • Financial crime
  • FinTech and RegTech
  • Fixed income, currencies and commodities
  • Government relations and public policy
  • Individual accountability, including senior management and corporate governance
  • Investment funds
  • Market conduct and benchmarks
  • Market infrastructure and post-trade
  • New product launches
  • Regulation and investigations, including broker deal, consumer and mortgage, derivatives, payment services, prudential, regulatory risk, securities and compliance
  • Sanctions and controls, including anti-money laundering
  • Sourcing and technology
  • Structured trade and commodity finance
  • Sustainable finance
  • WTO and international trade


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Financial services M&A

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