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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

Publications: 04 DECEMBER 2019

IT and operational failures: financial services in the spotlight

There is unprecedented demand for and use of technology in the financial services sector.  However, greater reliance on technology brings with it increased levels of risk.  In particular, IT incidents and even brief disruptions to digital services may have a significant impact on clients and the markets.

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Publications: 02 DECEMBER 2019

Important clarifications for the Luxembourg fund industry on AML CFT requirements

Taking into account the results of the Luxembourg national risk assessment which classifies the fund industry as high ML/FT risk, the CSSF clarifies that Luxembourg regulated funds, like Luxembourg investment fund managers (IFMs), are required to appoint two persons in charge of AML/CFT. 

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Publications: 29 NOVEMBER 2019

French law paves the way for the digital assets services providers regulation

Over the last few years, digital assets did not appear to fall within scope of French law or regulation as they could not be characterised as currency, electronic money, financial instruments nor – on a more fundamental level – was there a clear sense of whether digital assets were merely data or some type of intangible property. 

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News: 17 SEPTEMBER 2019

New hire boosts A&O's global financial services regulatory offering

Allen & Overy has hired financial services regulation specialist, Knox McIlwain, as a partner in London.

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