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Sub practice
Sub practice

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.

News & insights

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Blog Post: 12 MAY 2021

Stopping rolling bad apples - the new Hong Kong mandatory reference checking scheme

Financial services regulators across the globe have been focused for a number of years on the need to address ‘rolling bad apples’.  This is where individuals engage in misconduct during their…

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

Publications: 11 MAY 2021

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

The SFC's latest annual and quarterly reports highlight the SFC's regulatory work since April 2019 and illustrate some key trends in its enforcement agenda.

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Key regulatory topics

Publications: 07 MAY 2021

Key Regulatory Topics: Weekly Update 30 April – 6 May 2021

Our weekly update on key regulatory topics affecting the financial services sector. If you would like to receive this update by email and be added to our marketing mailing list please contact…

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laptop sitting on desk

Publications: 07 MAY 2021

The perils of giving video evidence

If evidence is to be given remotely, via video link, from another country, be sure to check that this is permitted by the laws of that country.

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Recognition for our work

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Our Financial Services Regulatory practice

Regulation of the financial services sector continues to expand and international directives may increasingly clash with national requirements. Faced with an ever wider regulatory framework, our team can help you plan for and navigate these complex developments.

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