Financial Services
Legal support for a regulated, fast-moving sector
Banks, investment managers, fintech platforms and professional practices all operate under heavy regulatory scrutiny and shifting market conditions. New products, technology-driven models and evolving conduct standards create opportunity, but also regulatory, litigation and reputational risk.
We work with financial institutions, alternative lenders, investment platforms, professional partnerships and regulated service providers across the full business cycle.
From product design and governance frameworks to disputes, recoveries and financial crime prevention, we help you make decisions that are commercially sound, compliant and defensible.
Our team understands both the regulatory environment and the operational realities of running a financial services business. We focus on practical, risk-based advice that supports growth while meeting expectations of regulators, investors and clients.
Our expertise in financial services
Investment management and funds
We advise asset managers, wealth managers, investment firms and fund operators on the structures and agreements that underpin their businesses and relationships with investors. We assist with:
- Investor documentation, subscription agreements and offering materials
- Fund and mandate terms, including investment restrictions and fee structures
- Portfolio company governance, shareholder and co-investment arrangements
- Custody, safekeeping, brokerage and prime brokerage frameworks
- Conflicts management, disclosure obligations and best execution issues
- Fund risk management policies and oversight protocols
Our documentation and advice reflect regulatory duties, investment strategy and investor expectations on transparency and governance.
Financial services disputes and investigations
Contentious issues in financial services are often complex, document-heavy and sensitive. We act for institutions and regulated firms in disputes and investigations, including:
- Alleged mis-selling, suitability and disclosure failings
- Negligence by brokers, intermediaries, advisers and introducers
- Payment services disputes, unauthorised transactions and regulatory non-compliance
- Valuation and NAV issues, pricing errors and asset recovery concerns
- Fraud, misappropriation, breaches of mandate and unauthorised trading
- FCA enforcement action, supervisory interventions and skilled person reviews
We offer detailed case analysis, manage large-scale disclosure and work closely with forensic, accounting and sector experts where required.
Recoveries, enforcement and cross-border actions
When credit exposures crystallise, lenders and insurers need clear, pragmatic recovery strategies that may span multiple jurisdictions. We advise on:
- Enforcement of guarantees, indemnities, security and debentures
- Appointment and oversight of LPA receivers, administrators and fixed charge receivers
- Collateral enforcement, asset tracing and High Court enforcement routes
- Cross-border judgment recognition and enforcement strategies
- Subrogated recoveries for insurers and financial institutions
Our approach combines domestic enforcement tools with international recognition mechanisms to maximise recovery and protect security positions.
AML, fraud and financial crime prevention
Financial crime risk is a continuing focus for regulators and law enforcement. We help firms to design, test and improve frameworks that address both legal obligations and practical risk. Our expertise includes:
- AML/CTF risk assessments and control frameworks
- Sanctions screening, escalation and governance
- PEP handling and enhanced due diligence processes
- Suspicious activity reporting obligations and engagement with authorities
- Internal fraud investigations, forensic reviews and employee misconduct issues
- Civil recovery proceedings, proprietary claims and freezing order applications
We work with legal, compliance and financial crime teams to ensure policies are workable in practice and aligned with regulatory expectations.
How we work with financial services clients
- Sector-led: We understand financial products, regulatory regimes and market developments as well as the legal framework.
- Cross-disciplinary: We bring together regulatory, transactional, disputes and financial crime expertise to provide joined-up advice.
- Risk-based: We focus on what matters most to boards, regulators and counterparties, helping you prioritise and allocate resource effectively.
- Clear and pragmatic: Our advice is concise, practical and aligned with your commercial objectives and risk appetite.
- Training and Compliance Audits: Delivering tailored training for operations teams and conducting audits to ensure your sanctions controls meet regulatory expectations.
Contact us
If you are developing new financial products, reviewing your governance framework or dealing with a contentious or regulatory issue, we can help.
Discuss a live regulatory, disputes or recovery matter
Arrange a review of your lending documentation, governance or AML frameworks
Request our latest financial services briefings and resources