Financial Services & Regulation
Our Financial Services & Regulation team can provide a wide range of legal services advice associated with the regulated financial sector.
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With leading practices in the UK’s two biggest financial services centres, London and Edinburgh, our team combines wholesale and retail, contentious and non-contentious expertise across banking, insurance, asset management and financial intermediation. You can be assured we understand the regulatory context in which you operate and recognise the importance of finding commercial solutions.
Our specialist regulatory lawyers advise retail and wholesale financial services firms on managing regulatory risk and resolving and avoiding regulatory action and disputes.
Having represented firms in over 400 regulatory investigations and enforcement proceedings, our team combines knowledge of regulated businesses with a clear understanding of what the regulators require.
We use that experience to help clients manage and grow their businesses through the development of new products, services and distribution channels.
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Regulatory News - Financial Services & Regulation
See all Regulatory News - Financial Services & RegulationFCA: Making compliance simpler – opening up the FCA Handbook through our new API
This blog by Alex Smith introduces the FCA Handbook Application Programming Interface which enables systems to access structured Handbook content directly.
FCA: Board minutes
FCA has now published the minutes of the Board meeting held on 25 June 2026. Topics under discussion include: the Mills Review and the drafting of the Financial Services and Markets Bill in relation to FOS referral mechanisms.
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FCA: PS26/16: Changes to information flows for UK equity IPOs
Further to CP26/14, FCA has published its final policy. Firms will no longer need to wait seven days between publishing an approved registration document/prospectus and connected research. Firms publishing connected IPO research will no longer need to share the same information with a range of unconnected analysts as they do with their own research analysts. The changes come into effect on 5 August 2026. The PS also provides feedback on the discussion questions in Chapter 4 of CP26/14. FCA notes that, although it is not consulting on any changes at this time, it will consider this feedback as part of future policy work.
HMT: UK – U.S. Financial Regulatory Working Group Summer 2026: Joint Statement
HMT has now published a note of the meeting of the Working Group which took place on 8 July 2026. Topics under discussion include: AI, digital finance, and capital markets developments.
FCA: Warning Notice Statement 26/5
FCA has published a Warning Notice Statement concerning an unnamed individual authorised to perform senior management functions who was considered to have “knowingly presented a façade of regulatory legitimacy” for the benefit of another unnamed individual who was a disqualified director (by reason of fraudulent activity). The individual was said to have misled the regulator regarding the true ownership and control of an unnamed firm.
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