Financial services and markets regulation
The financial services industry has never been more complex. Markets and products evolve daily against a continually developing regulatory backdrop. Customers and counterparties are increasingly litigious. Misconduct in the market and dealings with client assets can incur criminal liabilities.
How the financial services team can help
We have a substantial financial services practice with extensive experience of advising insurance companies, intermediaries, corporate finance firms, private banks and the Office of Fair Trading on all areas including asset management, retail finance, white collar crime, wealth management and MiFID.
We have experience in the London Stock Exchange's international AIM market investigations, advising both Nomads and AIM listed companies in AIM investigations. Our financial services specialists have the experience and understanding of AIM investigations to guide clients through the process with minimal stress and disruption to the business.
News and publications
- Financial Institutions E-briefing: Secured recoveries update: Professional negligence
- The SFO publishes new guidance on the Bribery Act a tough new approach
- Financial Institutions Group: EU Alternative Investment Fund Managers Directive (AIFMD or the Directive)
- Upper Tribunal overturns FSA decision to fine UBS Chief
- Administrative sanction procedures
- View more news