FINANCIAL REGULATION
LAWYERS

Every business needs lawyers who understand it and how it is regulated.

The complex regulation of financial services businesses makes it even more crucial – and challenging – to find a team of external lawyers who truly understand your business and you.

Addleshaw Goddard's financial regulation team is independently recognised as first rate and having "client focus and a pragmatic approach in complicated situations". The team advises on the full range of issues affecting financial services clients including: Financial Services and Markets Act (FSMA), Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) rules; the Building Societies Act; data protection; the Markets in Financial Instruments Directive (MiFID); Treating Customers Fairly (TCF); and Retail Distribution Review (RDR). Other issues include anti-money laundering, consumer credit, insurance, conduct of business, customer documentation, e-commerce and advertising and marketing regulation.

Our advice addresses how evolving legislation, regulation and market frameworks affect existing businesses. We also advise on the development of new products and services and the establishment of new financial services businesses (including advice on authorisations and passporting into and from other EU jurisdictions). We are experienced in the regulatory and due diligence aspects of transactions in the financial services sector.

Expertise

We can also advise on:

• Compliance arrangements and designing compliance monitoring programmes
• Drafting internal policies, including risk management
• Financial promotions and approving marketing material
• Distribution channels for financial services
• Commercial contracts within the regulated sector
• Outsourcing and appointing representatives
• Due diligence and structuring the sale and purchase of financial institutions

We also publish a range of publications and run training programmes to help financial services businesses stay abreast of and prepare for the latest sector developments.