In today’s environment, financial regulation is more complex and less forgiving than ever. Whether you’re launching a fund, managing investments, or facing an investigation, the risks of non-compliance are real. You need advisers who not only understand the rules, but also how they’re enforced and what they mean in practice for your business.
We advise a broad range of regulated financial services clients, including fund managers, private wealth and private banking firms, custodians, placing agents, and specialist operators of collective investment schemes. From licensing and compliance to enforcement and crisis response, our guidance is commercial, clear and tailored to your operating model.
We don’t just advise on regulation, we live within it. Our FCA-regulated subsidiary, Howard Kennedy Corporate Services LLP, means we operate under the same regime as many of our clients. That gives us a deeper, more empathetic understanding of your responsibilities and a practical edge in how we help you meet them.
We handle both contentious and non-contentious regulatory matters, from routine compliance and permissions to urgent investigations or enforcement issues. Our advice is always grounded in the commercial context and focused on helping you manage risk, protect your reputation, and maintain regulatory alignment.
We can support you with:
- FCA authorisation and variation of permission applications
- Regulatory change and implementation
- Governance and risk management frameworks
- Day-to-day compliance and market conduct advice
- Regulatory aspects of corporate transactions and restructurings
- Financial crime prevention, complaints handling, and reporting obligations
- Regulatory investigations, enforcement actions, and skilled person reviews
- Responsive, joined-up support
Our single-office structure means we can act quickly when issues arise, assembling multi-disciplinary teams across corporate, funds, litigation, and employment, depending on what’s needed. Whether you’re facing a time-sensitive investigation or working through a strategic change in your permissions, we’ll move with you at pace.
We’re trusted by regulated firms to act on sensitive and high-stakes matters, often behind the scenes, where reputational, legal and commercial outcomes all hang in the balance. And we’ll always give you advice that’s honest, clear, and focused on the outcome you need.
Regulation may be complex but your legal advice shouldn’t be. Get in touch to find out how we can help you navigate it.
