Financial Services Regulation

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Financial Services Regulation Law Firm

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Our financial services regulation experts are actively advising clients anticipating and implementing regulatory change in their businesses globally.  We assist our international financial services clients to reduce their regulatory risk by navigating the complex interrelated regulations in a pragmatic way. We invest time in dialogue with regulators and working with industry bodies, so that we can help our clients stay ahead of developing regulatory requirements and expectations.

From advising on the development and launch of new financial businesses and products, through day to day conduct of business to trouble shooting, internal investigations and defending regulators’ enforcement proceedings, our expert group of lawyers can advise you on all aspects of regulation and enforcement across multiple jurisdictions.  We regularly work in integrated cross border teams, closely aligning our financial services regulation experts with our transactional and litigation colleagues where appropriate.

Our client base and expertise covers all financial services sectors: banks, investment advisers, fund managers and fund sponsors, insurance companies and insurance intermediaries, broker-dealers and other market participants.  We have particular depth in the funds and asset management sector.

Our advisory and transactional support capability includes:

  • structuring financial services businesses and groups, including governance requirements;

  • applications to regulators for authorization/registration/licences to perform particular activities;

  • design and marketing of financial services and products, including cross border and multi jurisdictional offerings;

  • market abuse and insider dealing restrictions and internal controls to mitigate these risks;

  • the Investment Company Act of 1940 and the Investment Advisers Act of 1940, including SEC regulatory inquiries, reporting and on-going compliance and exemptions;

  • regulatory requirements on European regulated financial institutions including MiFiD II, EMIR, Capital Requirements Regulation and MAD II;

  • requirements on European regulated funds (UCITS) and alternative investment fund managers (AIFM) and their service providers, together with individual EU  Member State regimes;

  • derivatives and short selling regulation;

  • compliance with anti money laundering regulations and financial sanctions;

  • financial regulatory policy and lobbying.
Drew G.L. Chapman 
T: +1 212 556 2203 NEW YORK
Angela Hayes 
T: +44 20 7551 2145 LONDON