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Financial regulation can be complex and the risks of getting it wrong can be hugely damaging for a firm’s business and reputation. Proactively managing legal and regulatory risk is therefore critical. Large financial institutions must identify, assess and evaluate sources of risk and, wherever necessary, improve their compliance arrangements.
 

Our leading financial regulation practice offers clients rigorous analysis combined with deep experience and knowledge of the regulatory compliance risks financial institutions face in practice, gained from our extensive advisory and contentious regulatory work. We work with our clients to determine “what good looks like” in terms of the practical arrangements they have in place to deliver regulatory compliance.

Please get in touch if you would like to discuss what we could offer you. 

Discover our recent projects

SMCR

SMCR assurance

Conducting assurance exercises to stress test governance arrangements against the requirements of the Senior Managers and Certification Regime.
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Compliance operations assessment

Reviewing and reporting on the operational capability of a financial institution’s UK compliance function, including making recommendations for improvement.
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Market abuse risk assessment

Reviewing the business of an overseas headquartered banking institution to advise on the market abuse risks associated with its operations and the implementation of appropriate policies and procedures.
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Conduct risk management

Reviewing a financial institution’s conduct risk and governance arrangements in response to an FCA evaluation.
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Fair pricing

Providing independent assurance to the Board on whether a firm’s pricing strategies, governance, control and oversight arrangements operate in a way that ensure, and means the Board can evidence, the fair treatment of customers. and its systems and controls.
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Ethics in Banking

Ethics report

Authoring a report on Ethics in Banking and Finance in conjunction with UK Finance.
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Culture, Governance and Accountability

The key to managing regulatory risk?

The FCA and PRA continue to focus on the role of culture in the firms they regulate as a driver for potential harm. From our work with clients we see first-hand the extent of regulatory scrutiny on how firms promote a positive healthy culture and how their governance structures and systems and controls support this. Explore our articles focusing on Culture, Governance and Accountability.

Explore our client services related to risk advisory

Our risk advisory lawyers work across several areas of potential risk including:

We also help clients achieve the smoothest path through regulatory approvals on deals and provide diligence and compliance support throughout the investment cycle. Our Global Regulatory Counsel provide a one-stop shop for transaction-specific regulatory approvals.

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