Financial Regulatory

The global financial crisis of 2008/2009 has resulted in substantial additional regulation of market participants and operators. At the same time, government investment in regulatory enforcement has also significantly increased. Co-operation and, increasingly, collaboration between government authorities and regulators in the world’s main financial centres has led to large scale multi-jurisdictional investigations and enforcement action. Our Global Financial Regulatory Group offers advisory and enforcement defence capabilities to buy-side and sell-side financial services clients. We provide strength and depth in Asia, Europe, the Middle East, the United States and across the world’s leading financial markets.

We advise the full spectrum of financial services clients, who include leading investment banks, retail financial service providers, commodity and commodity derivatives traders, energy companies, insurance intermediaries, fund platforms, asset managers, exchanges, clearers and settlement depositories. We have detailed the core strands of Group experience below:

  1. Wholesale Financial Services and Markets Regulatory
  2. Consumer Retail Banking and Financial Services Regulatory
  3. Funds Regulatory
  4. Commodity/Derivatives Regulatory
  5. Insurance and Insurance Brokerage
  6. Market Infrastructure
  7. Bank and Financial Services Investigations & Enforcement