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Financial Services Regulation and Investigations

Regulatory changes are affecting all parts of the financial services sector, from banks and asset managers to insurers and market infrastructure providers.

Regulatory changes are affecting all parts of the financial services sector, from banks and asset managers to insurers and market infrastructure providers.

Our team can help guide you through an increasingly complex regulatory landscape where national and international regulations may interact or conflict.

Our global cross-disciplinary approach combines both experts in contentious and non-contentious matters. We help to protect clients from regulatory risk and also advise them on how to take advantage of the emerging opportunities.

News & insights

Brexit hero image

Publications: 03 AUGUST 2020

Brexit and its impact on the cleared derivatives markets: a primer

The UK left the EU on 31 January 2020 and is in a transitional period that ends on 31 December 2020. During this period, EU law continues to apply in and to the UK and UK financial services firms…

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Hong Kong's Securities and Futures Commission (SFC) Enforcement Actions Tracker

Publications: 29 JULY 2020

Hong Kong's Securities and Futures Commission (SFC) Enforcement Actions Tracker

Our Enforcement Actions Tracker provides details of the SFC's enforcement actions in Hong Kong where fines of more than HKD1 million have been imposed. 

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A group of modern high-rise offices and skyscrapers

Publications: 29 JULY 2020

First German decision holding credit rating agency liable to investors

The German courts have taken the liability of credit rating agencies to the next level. In a series of recent decisions, the Berlin Regional Court has developed criteria under which credit rating…

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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…

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Recognition

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