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financial services regulatory
financial services regulatory

Financial Services Regulation

Our lawyers have extensive regulatory experience and lead thinking on regulatory developments, helping clients to plan for and implement changes as they occur. Areas we advise on include bank regulation, capital and liquidity requirements, marketing and selling restrictions, clearing and settlement, custody and prime brokerage and recovery and resolution planning.

The team has built an excellent reputation for its assistance to German private banks and online brokers who need to comply with requirements under the Markets in Financial Instruments Directive (MiFID) and the German "gold-plating" rules and regulations. At a time of more frequent bank insolvencies and restructurings, the team has an excellent reputation with the BaFin and the private Deposit Protection Fund.

Focus on compliance.

Like financial services regulation, compliance is increasingly international.  With over 80 lawyers in our Financial Services Regulatory team we cover the world's principal financial markets. As an international team we provide comprehensive surveys and comparative advice on regulatory matters that help our clients decide where best to conduct their business and gain competitive advantage.

News & insights

Publications: 20 MARCH 2020

Covid-19 coronavirus: what should banks and other financial institutions focus on?

The Covid-19  pandemic presents an unprecedented challenge and will affect all walks of life.  The quantum of the impact is hard to determine at this stage although based on preliminary assessment and considering the dramatic steps enacted so far by governments worldwide, it is expected to be severe.

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Exterior of a high-rise modern building

Publications: 16 MARCH 2020

Australia finalises rules for foreign financial service providers

The Australian Securities & Investments Commission (ASIC) has released its final policy in respect of its revised proposal for Foreign Financial Service Providers (FFSPs).

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coronavirus

Publications: 16 MARCH 2020

Coronavirus - what is the current situation in Germany?

In order to contain the Coronavirus the German federal states as well as the German government have put strict measures into place. Schools and kindergartens have been closed as well as borders to most neighbouring states for private travel. In order to mitigate the economic consequences, the German government announced a comprehensive package of measures.

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Key regulatory topics

Publications: 17 FEBRUARY 2020

Key Regulatory Topics: Weekly Update 07 February - 13 February 2020

Allen & Overy publish weekly updates on key regulatory topics affecting the financial services sector.

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Recognition

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financial services regulatory

Our German Financial Services Regulatory team

The team benefits from outstanding access to regulatory authorities with several of our team members having actual experience at national and European regulatory authorities due to prior employments and/or secondments (in particular ECB and BaFin).