Bank Regulation
Both retail and investment banks are faced with an ever wider regulatory framework at both a national and international level.
Compliance requirements range from conduct of business rules around marketing and passporting financial products to overarching prudential requirements for capital, liquidity and recovery and resolution planning.
Our team advises the world’s leading banks on a very wide range of regulations. We have invested in building a large global team that provides expert advice and interacts with regulators on a day-to-day basis.
Areas we advise and assist clients on include:
- Authorisation applications - across a wide range of banking activities and in multiple different jurisdictions.
- Structural and regulatory reform - implementing compliance programmes and helping with business re-design processes.
- Consumer finance and retail - designing new retail products and advising on conduct of business rules for marketing and sales.
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News and insights
Publications: 25 September 2023
Webinar - Ahead of the Curve: MiFID II - divergence emergence?
Since the beginning of the Brexit transition period, developments in both the UK and EU have impacted the MiFID rules in various ways.
Publications: 25 September 2023
SFDR Consultation and Review by European Commission – a first step towards SFDR 2.0
The Commission has launched a far reaching consultation and review of SFDR, long expected by the industry.
Blog Post: 21 September 2023
UK sanctions systems and controls: lessons learnt
The UK Financial Conduct Authority (FCA) has assessed the systems and controls relating to sanctions compliance for over 90 firms across a range of sectors and summarised its findings of good and poor…
Publications: 15 September 2023
Key Regulatory Topics: Weekly Update 8-14 Sept 2023
This week in the UK, the FCA published its policy statement on introducing a gateway for firms who approve financial promotions. The FCA also delivered a speech on international collaboration and…
Recognition for our work
We get really sound advice. Their regulatory lawyers work well with the rest of the firm so we get a good, well-rounded approach. In terms of quality of advice they're a cut above the other firms.
Chamber UK 2018 - Financial Services: Non-contentious Regulatory
It's the kind of firm that you rely on not just for their US knowledge but the fact that they have roots internationally. They bring a global perspective that's really helpful.
Chambers USA 2018 - Financial Services Regulation
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