Financial regulation

The Financial Regulation team provides regulatory advice to investment managers, including private wealth management and private banking, placing agents, fund managers, administrators, custodians and specialist operators of collective investment schemes.

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As financial regulation along with the penalties for non-compliance increase you will need a legal adviser who can help you navigate these risks and who understands the regulation landscape. 

Financial regulation has become increasingly complex. Not only do we know these regulations inside and out but we also know the bodies that enforce them. We combine this with our deep knowledge of the financial services sector to provide you with practical and commercial solutions.

We are genuine experts who are also subject to these regulations ourselves through our subsidiary Howard Kennedy Corporate Services. We will provide you with straightforward advice on what you need to do to comply with these regulations and protect your business.

We often advise on complex, highly sensitive and urgent matters. Our single office set up means we can quickly put a team together to provide reactive assistance when you need it most.

Our team can advise you on contentious and non-contentious aspects of financial regulation.

We help our clients securing a licence if needed, on regulatory change, enforcement, and investigations. We also help to guide our clients through governance and risk management, compliance advice, market conduct, complaints handling, financial crime and the regulatory aspects of transactions or restructurings. We advise on change of scope of permission.

Related services

No matter your needs, we've got you covered. Below is a selection of services we offer to help keep you moving forward.

Recent Experience


Our lawyers are experts in their fields. Through commentary and analysis, we  give you insights into the pressures impacting business today.