Financial Services & FinTech

Financial regulators, both domestic & abroad, are increasingly looking into the conduct of UK financial services firms & we regularly provide expert advice to financial services firms & senior management members on the complexities of financial regulations, including Regulatory advice & compliance, Financial Conduct Authority (FCA) investigations, applications for authorisation & Staff approval, supervision enquiries etc. as well as in specialist fields such as cryptocurrencies and tokens and whether these are caught by approval requirements. Headed by Nick Lockett, a former merchant banker, our team aims to reduce likelihood of costly and disruptive investigations as well as reducing risk of financial penalties and sanctions and we can provide both a legislative watch service as well as expert advice to ensure that contracts, warning notices and other documents are all up to date.