Banking and Financial Regulation Legal Services
Service
Our team of lawyers advises banks, investment firms, payment service providers, and other financial entities on licensing, compliance, governance, and regulatory frameworks. We ensure our clients operate within the legal requirements while optimising their business objectives in a rapidly evolving financial environment.
Assisting Financial Institutions with Licensing, Compliance, and Governance
Compliance with financial regulations is critical for institutions to maintain their licences and uphold market integrity. We assist clients with:
- Obtaining and maintaining financial licences
- Regulatory compliance assessments and audits
- Governance frameworks and risk management policies
- Interactions with regulatory bodies such as the FCA, PRA, and international authorities
- Internal compliance training and monitoring programmes
Our proactive approach ensures that financial institutions can focus on growth while mitigating regulatory risks.
Advising on Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) Regulations
Financial crime regulations are increasingly stringent, requiring institutions to have robust policies and procedures in place. We provide guidance on:
- AML and CTF regulatory obligations and reporting requirements
- Developing and implementing AML/CTF compliance frameworks
- Conducting risk assessments and due diligence on clients (KYC/CDD)
- Responding to regulatory investigations and enforcement actions
- Implementing transaction monitoring and suspicious activity reporting systems
Our expertise helps financial entities strengthen their compliance programmes and avoid reputational and financial penalties.
Navigating the Complexities of Basel III, MiFID II, Dodd-Frank, and Other Global Regulatory Frameworks
The global financial landscape is shaped by a web of regulatory requirements that impact institutions across jurisdictions. Our team provides strategic advice on:
- Basel III capital and liquidity requirements
- MiFID II transparency and investor protection rules
- Dodd-Frank Act provisions and cross-border implications
- GDPR and data protection requirements for financial institutions
- ESG regulations and sustainable finance compliance
With extensive experience in global financial regulation, we assist clients in understanding and complying with the regulatory frameworks that govern their operations.
Services
-
Corporate Finance Legal Services
-
Banking and Financial Regulation Legal Services
-
Capital Markets
-
Structured Finance and Derivatives
-
Project and Infrastructure Finance
-
Insolvency and Restructuring
-
Cross-Border Transactions
-
M&A In The Banking Industry
-
Fund Finance
-
High Yield
-
Islamic Finance
-
Leveraged Finance
-
Trade Finance
News & Insight
The war on European financial fraud: €4.5 billion recovered between 2022 and 2024
Research, Recovery, and Reassessment: The Three “R” Technique in the Fight Against Corruption. With press release no. 16/2025 dated June 16, 2025, OLAF (Office européen
German Federal Court Confirms Competitive Relationship Between Airlines and Legal-Tech Companies (Judgment of 27 March 2025 – I ZR 64/24)
In its ruling of March 27th, 2025 (Case No. I ZR 64/24), the German Federal Court of Justice (Bundesgerichtshof, BGH) provided fundamental clarity by confirming
Tobacco control efforts protect 6.1 billion people
– WHO’s new report The new report published on 23 June 2025 by the World Health Organization (WHO) warns that serious action must be taken