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Financial Services Regulation and Compliance
With the ever-changing financial regulatory landscape and the wide ranging and sometimes complex multi-jurisdictional compliance issues involved, keeping up to date with the regulatory landscape is becoming increasingly difficult.
Access to legal advice when you need it
We provide advice on compliance with the regulations relevant to your particular business. We can advise on product, market, internal procedural and jurisdictional issues relevant to the activities of your business and the market in which it operates. We believe it is crucial for your business to receive high quality advice to ensure its continued operation. We can provide your business with up to date regulatory advice and deal with regulatory matters which underpin the success of your business and which may significantly impact on both your personal and corporate reputation.
Specialists in Financial Services Law
Access to expert legal advice when you need it can make the difference whether it is ensuring whether your business continues to operate in what is an ever-changing legal, commercial and political landscape. If you are a bank or other financial services sector business our specialist DWF Financial Services Regulatory Team can assist you should you run into problems with the regulators. We can advise banks and other financial institutions during investigations which may be commenced by various regulators and enforcement agencies.
We can also help you with:
- Investigations and Enforcement (Civil, Criminal and Disciplinary) action by the FSA, the OFT and the and other agencies
- ML Compliance both UK and EU Jurisdictions and other worldwide jurisdictions
- Consumer Credit Act Law and Compliance
- Auditing
- Training
- Due diligence
- Back office procedures
- Information Commissioner Investigations and enforcement including Data Protection and Information security issues, licensing and group/subsidiary risk issues
