Financial Regulation
Why choose our Financial Regulation lawyers?
We advise on the full spectrum of financial services regulation, including financial and capital markets, banking, asset management, payment services, electronic money, anti-money laundering and regulated mortgages. We work closely with our highly regarded derivatives and structured finance teams and we have a depth of experience advising on regulatory issues relating to financial markets and products.
Within the above we have six particular areas of specialisation:
- financial markets regulation, including on securities and derivatives trading and financial markets infrastructure
- payment services and e-money
- prudential regulation, including regulatory capital and risk mitigation
- market conduct, conduct of business and systems and controls
- new product innovation
- anti-money laundering
Regulatory work covers all stages of development from the establishment of financial services firms through to mergers and acquisitions, corporate governance arrangements, restructurings, financings, regulatory capital arrangements. We cover the creation and distribution of financial products and other matters of strategic importance. We also advise on the interaction between UK and non-UK regulation.
Often, we are asked whether a product or service falls within scope of regulation and, depending on the answer, we walk through the next steps with the client.
Contentious regulatory work includes defending individuals and firms which are the subject of regulatory attention, in areas including market abuse, anti-money laundering process and systems and controls breaches. Increasingly we are asked to help clients who may be facing VREQs (voluntary requirements) by the FCA.
Our clients include banks, broker-dealers and other investment firms, commodity traders, mutuals, investment managers, payment and e-money institutions, funds and fund managers and various fintech businesses, including peer-to-peer and other innovative finance providers as well as firms involved in claims management.
What others say:
‘What makes the team at Fieldfisher stand out is that they not only have excellent knowledge of the financial services regulatory field, but also have a very deep understanding of the underlying commercial matters as well, resulting in advice that is technically on-point and commercially relevant.’
‘The team has excellent financial services regulatory knowledge, with industry and a wide variety of professional experience in the team. The communication is always clear and timely.’
‘The team is highly intelligent, extremely efficient and excels at competitive strategy. Every matter is run in a streamlined fashion with client welfare at the heart of each and every careful decision.’
2025 – Legal 500
'Forensic attention to detail, meticulous work and a uniquely human dynamic make the team a joy to work with.'
'Each of the team are highly intelligent, work extremely hard and tirelessly strive for the best results for clients. Their client skills are incomparable, and they are a pleasure to work with.'
'Collaboration and capability to guide us, as a foreign client, through the UK law and regulation was crucial. Also, the help in interacting and negotiating with the other parties involved in the matter was very important. A specific plus was that the firm always involved the relevant specialist, either internal or external, in a very transparent and professional manor.'
'Fairness, openness, transparency, and frank communications really helped. The practitioners are able to put themselves in the clients shoes.'
'The team has broad in-depth knowledge of all areas of financial regulation.'
2024 - Legal 500
‘Great mix of
people from a diverse range of backgrounds. Uniquely client-friendly and
down-to-earth, which are qualities consistent among their staff. They really
treat the issue that you are dealing with as if it was their own.’
‘The
Financial services: contentious team at Fieldfisher LLP are an outstanding
group of individuals and a team that makes the challenging legal process as
palatable as possible. They demonstrate second to none efficiency, expertise on
their subject matter, thoroughness and then explain in as simple terms required
to the client what is required of them, what the possible outcomes of the
process could be and what the next steps of the process will likely be.’
2023 - Legal 500
Ranked as a leading firm in IFLR 1000 (2024) for Financial Services
Regulatory
-
Partner, Derivatives & Structured FinanceBrexitFinancial ServicesIBORs
-
Director, Financial Markets and ProductsFinancial RegulationFinancial Services
-
Of Counsel, Financial Markets and ProductsDerivativesFinancial RegulationFinancial Services
-
Director (Barrister) , Derivatives & Structured FinanceFinancial RegulationFinancial ServicesInvestigationsProfessional Discipline
-
Partner, Financial Markets and ProductsAsset ManagementFinancial ServicesInvestment Funds
-
Partner, Financial Regulation and LitigationDispute ResolutionFinancial ServicesMoney LaunderingRegulatory Investigations
Subscribe Today!
Subscribe to the latest Financial Markets and Products insights
Stay up to date with personalised email alerts with the latest insights from Fieldfisher's lawyers.
Subscribe now