Financial services regulatory

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Gateley Legal

The level of regulatory change across the financial services sector has been unprecedented with significant penalties for non-compliance or poor conduct.

What do we do?

We have a full-service banking and financial services regulatory litigation practice that works with regulated businesses to address their risk and compliance challenges.

We’re at the forefront of advising clients on new developments in financial services regulatory matters as they happen. Much of our current focus is on assisting clients with the large volume of regulation that is emanating from the FCA. This includes Brexit-related changes to legislation, ongoing work on data protection, new Government proposals, such as breathing space, a sharpened focus on financial promotions and helping firms prepare for the FCA’s Senior Management and Certification Regime.

This means that we are assisting many of our clients review their documentation and procedures, particularly in relation to the management of regulatory risk.

We are also seeing an increased use of technology to deliver products and services. Developing and implementing this technology, much of which takes the form of portals and apps, is a complex process which needs a deep understanding of the client’s business and the regulatory requirements which apply to it.

Members of our team sit on a number of legal committees of the Finance and Leasing Association and the Consumer Credit Trade Association, and we are an associate member of the Association of Short Term Lenders.

We regularly advise on legal issues relating to:

  • regulatory change
  • financial crime
  • insider trading
  • marketing regulation
  • anti-money laundering
  • enforcement and investigations
  • governance and risk management
  • complaints handling
  • consumer credit
  • Companies Act compliance
  • FCA authorisations
Commended for banking & finance.
The Times, Best Law Firms, 2023

Who do we help?

We act for many different types of banks, specialist lenders and leasing companies, who provide regulated and unregulated loans and leasing facilities to businesses and consumers. We also advise many of the firm’s corporate clients on financial services regulatory matters and compliance, particularly changes of controller which result from corporate acquisitions and disposals.

Got a question? Get in touch.