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
Related services
Banking & Finance Disputes
We handle a range of disputes both for and against banks and financial institutions.
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Employment
Our Employment and Pensions group is one of the largest specialist employment teams in the country, with over 60 specialist employment and pensions lawyers nationally. Tax is an integrated part of the advice we provide.
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Corporate
Our corporate team delivers comprehensive legal solutions to a diverse clientele. We specialise in M&A, Equity Capital Markets, and corporate advisory matters, collaborating seamlessly to help clients achieve their business goals.
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Commercial and Procurement
Our extensive commercial services span various sectors, with dedicated teams in insurance, healthcare, technology, and more. We provide expert guidance on procurement, IT, contracts, intellectual property, competition, and more.
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Data, Privacy and Cyber
Our Data, Privacy and Cyber team provides advice and support on advisory and contentious matters of all sizes and complexity.
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Investigations
We advise clients on internal investigations into issues ranging from compliance breaches in regulated firms to any matter involving people and the workplace.
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Inmobiliario
Con 170 abogados, somos uno de los mayores equipos jurídicos inmobiliarios del Reino Unido. Nuestra amplia red nos proporciona conocimientos y acceso a nivel nacional, regional y local.
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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
Seguros
DAC Beachcroft es reconocido como un asesor preeminente en el mercado de seguros, y ponemos un fuerte énfasis en las relaciones a largo plazo que construimos con usted para que realmente podamos agregar valor a su negocio.
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Sanidad y asistencia social
DAC Beachcroft está considerado líder del mercado en la prestación de asesoramiento jurídico corporativo, comercial y normativo a proveedores de servicios sanitarios.
Más informaciónInmobiliario
Con 170 abogados, somos uno de los mayores equipos jurídicos inmobiliarios del Reino Unido. Nuestra amplia red nos proporciona conocimientos y acceso a nivel nacional, regional y local.
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Servicios financieros
Asesoramos regularmente a diseñadores y fabricantes de productos, organismos comerciales y minoristas, distribuidores e inversores de capital riesgo que desean invertir en el sector de los servicios financieros.
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Tecnología
Como asesores de confianza desde hace muchos años en el sector tecnológico, ofrecemos soluciones pragmáticas e innovadoras que le permiten tomar decisiones informadas sobre la mejor manera de maximizar su éxito.
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Especialidades industriales
Combinamos nuestro profundo conocimiento del sector con una astuta conciencia comercial y un alcance mundial.
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¿Por qué elegir DAC Beachcroft?
Somos un bufete comercial de amplia base que presta servicios a una gran variedad de sectores, con una sólida herencia en seguros,
salud e inmobiliario. Combinamos excelentes conocimientos jurídicos y experiencia de vanguardia para diseñar soluciones en
que se adapten a las necesidades de nuestros clientes, a menudo con un uso inteligente de la tecnología.
