William Fry LLP
Financial Services Regulation
| Profile: |
Our Financial Regulation Unit provides practical and clear advice to financial institutions on all aspects of regulation and compliance in the financial services sector. We find practical solutions to complex challenges facing our clients in the constantly shifting regulatory landscape. The most important distinguishing feature from our competitors is that we are working on innovative, market leading financial regulatory mandates (both contentious and non-contentious) across every segment of the financial services sector.
The core team is supplemented by a much broader group of partners and associates with significant financial regulatory expertise in their specific segment of the financial services sector. The financial regulation team brings together lawyers specialising in different areas of the financial services sector. Our clients include leading banks, investment firms and intermediaries, (re)insurance undertakings, collective investment schemes, fund service providers, regulatory authorities and investors in financial institutions. |
| Services: |
- Our services include advising on:
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- authorisation requirements and applications for regulated financial services providers and extension of authorisations;
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- winding down of business of regulated financial services providers and surrender of authorisations;
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- acquisition and disposal of qualifying holdings in regulated financial services providers;
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- regulatory issues arising in mergers and acquisitions in the financial services sector;
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- regulatory capital requirements;
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- regulation of payment services, payment institutions and electronic money institutions
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- fitness and probity regime;
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- corporate governance issues for regulated financial services providers;
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- compliance with conduct of business requirements including under MiFID and the CPC;
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- insider dealing and market abuse;
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- transparency and prospectus requirements;
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- anti-money laundering compliance;
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- investigation and enforcement of regulatory standards including administrative sanctions.
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We also provide regulatory and corporate governance health checks and practical advice on the impact of new regulatory developments.
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Advisers
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