Financial Services

Our experienced financial services solicitors provide a prompt, proactive and tactical service and understand the importance of achieving the very best outcome for your unique situation.

Find out how we can help

"First choice for traders and City individuals under investigation"

Legal 500, 2019

The financial services sector continues to be a major force in the UK economy but it is also increasingly under the regulatory spotlight;  financial scandals, increased regulation, a culture of personal accountability and a growing number of investigations against companies and individuals.

Financial services firms, professionals and clients need legal advice and support more than ever, helping to ensure they are compliant with regulation and to protect and safeguard their business interests, careers and reputations.

Our Financial Services Group is made up of experts from across the firm who all have specialist expertise in this area. 

See how we can help you below or for more information about our financial  services group please contact member of the team.

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Applications for Registration in Financial Services

Our team advise individuals, corporates and organisations in financial services on registration, licensing, accreditation, and certification.

FCA Investigations

Our team of expert lawyers has an impressive track record of successfully defending both individuals and institutions facing regulatory misconduct, disciplinary breach and criminal investigations conducted by the FCA.

Banking and Finance

We will guide you through what can be a highly critical time as you seek to secure funding and meet your commercial objectives.

Corporate Transactions

We provide cost-effective, pragmatic and personal advice to allow you to complete your corporate transaction.

Employment contracts, policies and procedures

We help employers to ensure they have the right contractual provisions, policies and procedures in place to protect their business interests.

Employment disputes and litigation

Litigation and disputes are fundamental to what we do. We have years of experience acting in the most complex and challenging employment disputes.

Financial Services Investigations

We provide intelligent and tactical representation to those involved in an investigation by defending accusations and mitigating risks.

Serious Fraud

Defending complex white collar cases successfully is what we are known for. The firm has the largest team of specialist criminal lawyers in the UK.

Public Law

Our 'exceptional' team has over 25 years' experience, acting in the most significant public law cases.

Public Policy and Governance

We have expertise in administrative and public law, together with our real enthusiasm for the work we do.

Global mobility and employment law

International relocation is a challenge for multinationals and domestic employers. We advise on employment and immigration law.

Insider Dealing

We have extensive experience in representing individuals who have become embroiled in insider dealing investigations.

Obtaining British Citizenship and Staying Permanently

Whether you are looking to naturalise, or register as a British citizen, we can provide you with detailed advice and guidance.

Public Inquiries

The team is consistently recognised for its public inquiry expertise, with over 25 years experience in all the major inquiries.

Reputation and Media

Protecting our clients’ reputation and maintaining control when they are the subject of media scrutiny is what we do.

Senior managers and certification regime

The Senior Managers and Certification regime is now in force. All involved need a thorough understanding of it, which is where we can help.

Startup Investments

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Strategic Immigration Support for HR Teams

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Terminations and settlement agreements

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We have experience of defending and prosecuting in regulatory prosecutions. Our approach to advising clients is both orchestrated and seamless.

Financial Services Insights

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Non-financial misconduct is misconduct, plain and simple

Fitness and propriety investigations: practical considerations

FCA issues new guidance on fitness and propriety assessments in the financial services sector

The new cryptoasset promotions consultation: widening the perimeter of FCA regulation

Inappropriate behaviour - when the past is not left in the past

Who’d be a Whistle Blower?

Your legal rights on returning to work during COVID-19

Redundancy because of COVID-19 - top 10 tips for senior executives negotiating an exit

Partners' future under spotlight during crisis

How can partners prepare for a post COVID-19 firm cull?

Taking a pay cut - is it the right thing to do?

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Business Plan 2020-21: FCA remains vigilant to potential misconduct

COVID-19 and the FCA - Scams, short selling and more

Partner expulsion case offers lessons to LLP firms and their partners

Calling out discrimination in banking bonuses

Fixing the broken rung – action to improve gender balance

Post-Brexit immigration rules – not so bad for the finance sector?

UK's Senior Managers And Certification Regime - All Change On 9 December?

Getting a senior job with a boutique firm in London is about to become complicated

Will there be cultural change in the financial and professional services?

The role of a Financial Director – a life in the spotlight

What have we learned from the Senior Managers and Certification Regime?

Credibility of witness evidence justified dismissal under FCA’s ‘fit and proper’ test

FCA Business Plan 2019-20: A reflection of recent enforcement action

FCA Business Plan 2019-20: priority to make the UK’s financial markets a difficult target for criminals

FCA’s Guidance on Cryptoassets – welcome clarity

FCA has its knuckles rapped in Upper Tribunal costs decision

FCA sharpens focus on crypto cowboys

Financial Crime: Analysis of firms' data – first report

The extension of the SMCR, the fit & proper test and the increasing significance of non-financial misconduct

FCA to regulate Claims Management Companies and caps on fees introduced

FCA publishes first Decision Notice under the partly contested cases process

FCA: Criminal prosecutions for AML systems and controls failings – a step too far?

ICAEW accountants: take action now!

Banks required to carry out 70 million immigration checks every quarter

#Brexit: Lords examine financial regulation and supervision

FCA proposes extension of senior managers regime

The extension of the Senior Managers and Certification Regime

OPBAS – FCA consults on the “supervisor of supervisors”

Whistleblowing and the public interest - clarity at last or further down the rabbit hole?

Dublin, Paris, Frankfurt – Five things to think about before agreeing to work abroad

Highlights from the FCA Enforcement annual performance account 2016/17

FCA Annual Report 2016/17: conducting regulation with confidence

Running the Marathon – lessons for professional and financial services partnerships

FCA prepares for Fourth Money Laundering Directive

FCA and PRA regulatory references - what do the new rules mean in practice?

FCA’s use of private warnings under scrutiny

FCA and PRA joint policy statement regarding enforcement decision-making

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