Our multidisciplinary financial services sector group is recognised for providing effective advice to businesses and individuals in this competitive and highly regulated market.

Our team provides a full service offering to clients in the financial services sector: advising on product and service development, the application of PRA and FCA regulations (including prudential requirements) through to dealing with Supervisory interventions, Enforcement investigations and remediation exercises. We also manage internal investigations and provide specialist criminal advice, supporting clients dealing with police enquiries to representing clients in SFO investigations and prosecutions.

With the support of our wider Financial Services Sector team, we can offer our clients operating in this space advice on broader matters such as business immigration, real estate, corporate transactions, commercial disputes and employment law related issues, data protection and corporate investments.

We advise international and UK-headquartered banks, insurers and investment firms, as well as businesses seeking funding and those making investments in the sector. We are also at the forefront of the market in the fintech, payments and alternative finance sectors as the sector responds to new technologies and systems. Our representation of senior executives continues to grow reflecting our ability to advise on all aspects of financial services regulation and criminal law.

Financial services experience

  • Advised on the admissibility and categorisation of new debt and equity regulatory capital instruments.

  • Advised an international payment, identity, e-money and banking solutions service provider on various UK and EEA regulatory issues, as well as VISA, MasterCard and other card scheme rules.

  • Advised on terms of business for restricted deposit accounts.

  • Advised on D&O, life, pet and professional indemnity policies.

  • Advised on internal investigations into actual and potential insider dealing and other forms of market abuse, disciplinary action against senior bankers and reporting to the regulators in a safe, appropriate and timely way.

  • Prepared and / or advised on various FCA applications for authorisation of electronic money issuers or payment institutions and provided ongoing payments regulatory advice to the same (including advising on the basis for authorisation, safeguarding, required and breach of regulatory capital, reports and notifications to the FCA, and on T&Cs and other agreements).

  • Advised a cryptocurrency exchange on a corporate restructure to de-risk the businesses, the issuance of electronic money, the preparation and submission of two FCA applications and subsequent communications with the FCA; and anti-money laundering issues.

  • Acted for a group of executives within a FTSE 250 financial services company on various corporate governance and market abuse issues and liaised with the corporate governance committee and NEDs. This led to the resignation of the Chairman / CEO and promotion of all other executives.
  • Advised Allianz X, the digital investment unit of the Allianz group, on various investments including its Series B investment in SafeBoda, a major African ride hailing platform that also offers various on-demand consumer and payment services.

  • Advised a multinational ecommerce corporation and online marketplace on the commercial and regulatory consequences of a group restructure, and providing ongoing payments regulatory and other advice.

  • Advised award-winning, ‘API Only’ technology provider Yapily Ltd on a funding round, co-led by LocalGlobe and HV Holtzbrinck Ventures.

"The team is a leading City firm able to offer me equivalent experience and expertise of a larger City practice without the hindrance of conflicts. Has a broad and deep experience at all levels in the criminal and regulatory teams."

Legal 500 2023

"The team is able to swiftly understand the issues and provide effective solutions. I have worked with the firm on several occasions and rate them very highly. They are clear from the outset as to who will be involved with reference to the complexity and speed required"

Legal 500 2023

"All of the team is outstanding, we particularly like the personal approach and effectiveness of the firm."

Legal 500 2022


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