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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Immobilier
Avec 170 avocats, nous sommes l'une des plus grandes équipes juridiques du Royaume-Uni dans le domaine de l'immobilier. Notre vaste réseau nous permet d'accéder à des connaissances nationales, régionales et locales.
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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
Nos secteurs
Assurance
DAC Beachcroft est reconnu comme un conseiller de premier plan sur le marché de l'assurance, et nous mettons l'accent sur les relations à long terme que nous établissons avec vous afin d'apporter une réelle valeur ajoutée à votre entreprise.
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Santé et soins sociaux
DAC Beachcroft est considéré comme le leader du marché dans la fourniture de conseils juridiques aux prestataires de soins de santé en matière de droit des sociétés, de droit commercial et de droit réglementaire.
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Spécialités sectorielles
Nous combinons notre connaissance approfondie du secteur avec une conscience commerciale astucieuse et une portée mondiale.
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Services financiers
Nous conseillons régulièrement des concepteurs et des fabricants de produits, des organismes professionnels, des détaillants, des distributeurs et des investisseurs en capital-risque souhaitant investir dans le secteur des services financiers.
En savoir plusImmobilier
Avec 170 avocats, nous sommes l'une des plus grandes équipes juridiques du Royaume-Uni dans le domaine de l'immobilier. Notre vaste réseau nous permet d'accéder à des connaissances nationales, régionales et locales.
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Technologie
En tant que conseillers de longue date et de confiance dans le secteur des technologies, nous proposons des solutions pragmatiques et innovantes qui vous permettent de prendre des décisions éclairées sur la meilleure façon de maximiser votre succès.
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Pourquoi choisir DAC Beachcroft ?
Nous sommes un cabinet commercial à large assise, au service d'un grand nombre de secteurs, avec un solide héritage dans les domaines de l'assurance, de la santé et de l'immobilier. Nous combinons d'excellentes compétences juridiques et une expertise de pointe en matière d'exécution pour concevoir des solutions
qui répondent aux besoins de nos clients - souvent en utilisant intelligemment la technologie.
