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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

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Publications: 18 JULY 2019

Beyond capital and liquidity: structural implications of the EU’s prudential regulatory reforms

We look at the architecture of the new European regulatory framework and some of the key areas relevant to the corporate structure of UK and other European financial institutions.

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Customer authentication for payment services publication image

Publications: 17 JULY 2019

Strong customer authentication for payment services

Further guidance and potential additional time for compliance

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German partners

Publications: 29 MAY 2019

Future Licence Requirement for Crypto Wallet Providers in Germany

On 20 May 2019, the German Federal Ministry of Finance published a draft bill (Referentenentwurf – “Draft Bill”) for the implementation of the Fifth Money Laundering Directive (“AMD 5”).

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Publications: 19 FEBRUARY 2019

How should Europe’s non-bank lending market be regulated?

​Non-bank lending in the European Union is becoming an ever more significant source of financing for business. In light of its increasing importance to Europe’s economy, policymakers are re-evaluating their approach to this market and considering whether the existing regulatory framework remains appropriate.

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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).