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Financial Services Regulation

Members provide advice and advocacy in relation to a range of regulatory matters. Examples include court proceedings in which regulatory issues arise, Tribunal cases, FCA confirmation hearings and the preparation of written representations in Ombudsman cases with wider implications. We also deal with perimeter cases in which an issue has arisen as to whether an activity falls within the regulatory regime.

Our members offer expertise on the FCA Handbook, FCA enforcement and disciplinary proceedings and directors’ disqualification proceedings relating to financial services businesses. We are also well equipped to deal with issues in related areas, including unfair terms, unfair conduct, unfair relationships, money laundering, transfers of business, mergers, and the resolution of banks.