Financial Services Regulation
We help financial services businesses navigate complex and fast-changing regulatory requirements, including prudential and conduct of business issues affecting both retail and wholesale financial services businesses. Our experts work with banks, asset managers, insurers, brokers, and FinTech firms to manage risk and maintain compliance.
Services
ContactsOverview
Our regulatory specialists give clear, practical advice on the full spectrum of financial services regulation. We help clients understand their obligations under the Prudential Regulation Authority, Financial Conduct Authority, and European regulatory frameworks, helping to anticipate developments and implement change effectively. Our services include:
- Obtaining authorisation for new businesses
- Advising on product development, day-to-day compliance, and regulatory change
- Managing change of control approvals and Part VII FSMA transfers
- Supporting governance under the Senior Managers and Certification Regime
- Advising on conduct of business, including Consumer Duty
- Managing business risks, including anti-money laundering and sanctions controls and anti-market abuse procedures
- Handling client money and asset requirements
- Managing regulatory reporting and notifications
- Responding to enforcement investigations and defending proceedings
As regulators increasingly focus on issues of culture and non-financial misconduct well-managed internal investigations play a critical role in meeting regulator expectations. Our cross-practice team has significant experience acting on both open and privileged investigations for financial services businesses.
Our approach extends beyond compliance. We help clients anticipate regulatory developments, plan for change, and influence policy outcomes.
Featured experience
- Advising a UK product provider on the development of a new investment product
- Carrying out a culture review for a large wealth management firm
- Advising a range of firms on their obligations under CASS
- Assisting banks and asset managers on governance reviews and implementation and maintenance of the Senior Managers and Certification Regime
- Advising a product provider group on the extent of its legal and regulatory obligations to its appointed representatives
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”Hayes is a veteran contentious lawyer who frequently handles allegations of market abuse, trading errors, transaction reporting, bribery, fraud, or misconduct.
Legal 500 UK 2026, Financial Services: Contentious
Financial Services Regulation key contacts
Insurance
DAC Beachcroft is recognised as a pre-eminent advisor to the insurance market, and we place a strong emphasis on the long-term relationships we build with you so that we can really add value to your business.
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Health and Social Care
DAC Beachcroft is regarded as market leaders in the provision of corporate, commercial and regulatory legal advice to healthcare providers.
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With 170 lawyers we are one of the largest Real Estate legal teams in the UK. Our extensive network gives us national, regional and local knowledge and access.
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Financial Services
We regularly advise product designers and manufacturers, trade bodies, and retailers, distributors and venture capitalists looking to invest in the financial services sector.
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Technology
As long-standing and trusted advisers in the technology sector, we deliver pragmatic and innovative solutions that empower you to make informed decisions about how best to maximise your success.
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Industry Specialisms
We combine our in-depth sector knowledge with astute commercial awareness and global reach.
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Why choose DAC Beachcroft?
We’re a broad-based commercial firm serving a wide range of sectors with a strong heritage in insurance,
health and real estate. We combine excellent legal skills and cutting-edge delivery expertise to design
solutions that fit the needs of our clients – often involving clever uses of technology.
