Legal Services - Financial Services Regulatory
Our Financial Services Regulatory Group provides comprehensive regulatory advice traditional financial services firms as well as more innovative FinTechs. Our team unites lawyers with extensive sectoral experience, corporate transactional experience and regulatory knowledge to assist our clients in addressing challenges that arise in this dynamic, complex and rapidly changing regulatory environment.
Our advice covers Mifid, AIFMD, Prospectus Regulations, ICAVs, Central Bank Acts, and Credit Servicing Act.
Specialist Areas Include:
- Regulatory authorisations , requirements and compliance and enforcement
- Powers, duties and obligations of statutory bodies and those operating in regulated markets
- Drafting and advising on the internal rules, procedures and bye-laws of statutory bodies
- Inspections and dawn raids
- Data protection and privacy
- Anti-money laundering policies and counter-terrorism financing procedures and training
- Corporate governance
- Fitness and Probity
- Regulation of payment services, payment institutions and electronic money institutions
- Regulatory Capital Requirements
- Transparency and Prospectus requirements and Insider Dealing and Market Abuse compliance