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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 and insights

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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. 

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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.

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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…

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Key regulatory topics

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…

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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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