Financial services and regulation: Insights and resources
Our global financial services and regulation practice is structured around its core regulatory strengths – governance, conduct and markets.
We can draw on our diverse experience and clear understanding of the laws and regulations that shape the operating environment to help a broad range of clients navigate the ever-changing governance landscape. We advise our clients on a wide range of areas, including governance and accountability regimes, regulatory orders, whistleblowing, enforcement, internal investigations, risk systems and controls, and operational resilience, and have extensive experience representing boards and senior management on strategic, complex and sensitive matters.
This resource hub has been designed to help you manage and respond to this evolving area, with a range of updates, training, videos and other insights from our team of lawyers and risk consultants.
Internal frameworks and reporting
Inadequate governance is regularly cited by regulators as a factor which has contributed to the failings of firms. From small firms to international global organisations, governance is worth investing in with a view to avoiding common pitfalls and wider issues.
Whistleblowing: Latest FCA quarterly data and key practical steps to manage reports
Whistleblowing remains a key tool for the Financial Conduct Authority (FCA) to identify actual or potential harm to consumers, markets, the UK economy and wider society.
FinTech and cryptoasset firms: Governance considerations
In light of recent market developments, firms in the FinTech space should be taking steps to review and enhance as needed their internal governance arrangements since these are key to mitigating the risk of misconduct and mistakes and consequential investigations, enforcement and claims, which can significantly impact not only the business but also its staff.
Regulation Tomorrow Plus – Edinburgh Reforms: SMCR
In our latest podcast Simon Lovegrove, Matthew Gregory and Hannah Meakin discuss two important new papers implementing one of the Edinburgh Reforms, which is to conduct a review of the UK’s Senior Managers and Certification Regime.
Regulation Tomorrow - The Consumer Duty Series: FCA review of firms' implementation plans
In this episode, Matthew Gregory and Simon Lovegrove discuss the FCA’s findings following its review of larger fixed firms’ Consumer Duty implementation plans. In particular, they consider the good and poor practice that the FCA has highlighted and what steps firms should be taking in the run up to the 31 July deadline.
Governance - lessons for 2023 from regulatory enforcement
It is widely recognised that poor culture has been a major root cause of past conduct failures. In light of this, the FCA is clear that it expects senior leaders to nurture a purposeful culture in the firms which they lead.
ESG: Key regulatory risks for financial services firms in the UK and US
Environmental, social and governance-related (“ESG”) matters are high on the global agenda with a focus not only on climate change, but also on wider environmental issues, such as biodiversity, and social and governance issues, such as, diversity and inclusion and accountability.
The FCA Business Plan: What does it mean from a governance perspective?
Earlier this year the Financial Conduct Authority (FCA) published its latest Business Plan. The Business Plan itself took a different form when compared to previous incarnations by having a shorter summary of priorities and planned activities and cross referring to other documents including the three-year strategy and the regulatory initiatives grid.
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We advise both regulated and non-regulated firms on a range of matters relating to market structure and integrity, including responding to changing requirements, organising business structures to comply and maximise opportunities globally, and dealing with potential issues.
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.
We have a proven track record of advising a broad range of clients on complex and sensitive matters in the conduct space, both on the advisory and contentious side, many of which carry significant reputational risk.