Pragmatic, approachable, constructive and professional.
Just some of the adjectives used by a leading financial institution to describe our financial services regulatory practice.
Our team has an invaluable understanding of the needs and priorities of financial services clients having gained a wide range of experience both in-house and in private practice.
A genuine appreciation of the practical challenges and hugely volatile regulatory environment currently faced by the financial services sector allows us to provide focused and realistic advice on issues arising from the FSMA and consumer credit regimes, as well as data protection and consumer law.
We provide strategic guidance and assistance on regulatory issues, including the boundaries of regulation, commercial agreements, permissions and approvals, product development and retail customer terms and conditions.
We also support other practice areas throughout the firm, assisting our funds clients on regulatory structuring requirements, our pensions clients on investment management arrangements, and our property clients on mortgage and shared equity arrangements.
Our track record in financial services regulation matters
The team's clients range from major retail banks, investment managers and large life assurance companies, to businesses for whom regulated activity is very much ancillary to their core activities. We also work with third sector clients, advising on the regulatory aspects of corporate structuring and fundraising.
The Consumer Composite Investments regime
On 8 December 2025, the FCA published a coordinated package of measures described as the most significant reforms to retail investment regulation for a generation. The publications address how firms communicate with retail investors, how they distinguish between retail and professional clients, and how co-manufacturers should apply the Consumer Duty.
Whatever the challenge, we will seize it with enthusiasm and take time from the outset to establish the commercial imperatives behind your legal requirements, and work with you in the way that suits you best.
Key Contacts
Caroline Stevenson
Head of Financial Services Regulatory
Financial Services Regulatory
Lorna Stephen
Senior Associate
Financial Services Regulatory
Sylvia Matheson
Associate
Financial Services Regulatory
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