Ours is the largest and longest-established global group of dedicated financial regulatory lawyers of all the offshore firms and the only one to have dedicated financial regulatory lawyers located on the ground in each of our ten offices, providing joined up assistance across all time zones. We provide decades of specialist financial industry experience, having worked within financial regulators, global financial institutions and magic circle law firms.
We provide clients with a holistic service, combining deep technical legal and regulatory expertise with practical compliance solutions. We deliver optimum regulatory solutions in every scenario, whether structuring, transactional, launches, marketing, routine compliance, investigation, audit or enforcement-related.
Our team is well-known for its advisory and transactional work with the world's largest financial institutions, including banks, asset managers, broker-dealers, trading platforms, insurers, payment services and FinTechs. We are regularly engaged by such leading institutions on complex, high-value and multi-jurisdictional matters, ranging from setting up businesses and launching new products and services, to responding to regulators and managing change.
The team also advises on anti-money laundering, financial sanctions, risk management, compliance frameworks, governance, tax transparency regulation, economic substance and data protection. We provide analysis, training, audits, policies and procedures and deal with licensing and all other regulatory applications, as well as preparation for regulatory inspections and remediation.
We have unparalleled expertise on contentious regulatory matters, assisting clients with domestic and international investigations and enforcement actions.
Our team is at the forefront of regulatory developments, with extensive experience working with leading policymakers, financial regulators and enforcement agencies. Many members of our team have held senior positions within these organisations. This enables us to provide real insight into regulators' internal workings, the policies shaping their approach and any sensitivities to be aware of.
Our legal offering includes:
- AML: advice, training, audits, policies and procedures, risk assessments, suspicious activity reporting, investor due diligence
- Sanctions: analysis, asset freezes, breaches, reporting, policies and procedures
- Perimeter Analysis: bespoke advice on what if any regulation applies to entities, assets, marketing and products and services
- Regulatory applications: all regulatory applications, including licencing and registration, fitness and propriety, changes of ownership and control
- Day-to-day regulatory compliance advice: from fast expert advice to implementation – many of our lawyers have in-house experience and understand pressures and complexities
- Compliance frameworks, policies and procedures: creating and reviewing frameworks and documents
- Training: for boards, senior management, compliance professional and staff on all regulatory requirements
- Gap analysis: overseas, group-level and local policies and procedures
- Independent audit: all regulatory requirements
- Mergers & acquisitions: due diligence and regulatory approvals
- Transactions: regulatory reviews of transactional documents and service provider agreements
- Offering and marketing: advice on domestic and cross-border provision of investment products and services and cross-jurisdictional questionnaires
- Corporate governance and internal controls: board composition, board assessments, succession planning, remuneration, fitness and propriety, senior management responsibility, training
- Conflicts of interest: advice, conflicts of interest policies and directors' statements and resolutions
- Business continuity: advice, policies and procedures
- Outsourcing: advice, agreements, negotiation, materiality and risk assessments, exits
- Regulatory capital adequacy and reporting: advice on requirements, negotiation with regulators
- Client assets and client money: advice on custody, requirements, policies and procedures
- Valuation: advice on asset valuation obligations, valuation policies
- Financial crime: market abuse and insider dealing, bribery and corruption
- Contentious: domestic and international regulatory investigations and enforcement
- Production orders: advice and assistance with overseas and domestic regulators' production orders
- Data protection and cybersecurity: advice, policies and procedures, training, breaches, reporting, remediation
- Tax transparency and reporting: FATCA and CRS, country-by-country reporting and global minimum tax – analysis, advice, policies and procedures,
- Beneficial ownership: analysis, advice, policies and procedures, breaches, reporting, remediation
- Economic substance: analysis, advice, policies and procedures, breaches, reporting, remediation
- Regulatory strategy and structuring: our global regulatory team is jurisdiction-neutral and we work together seamlessly cross-border
- Extra-territorial impact of global regulation: unparalleled experience of the global regulatory environment
