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Financial services and regulation

Our global financial services regulatory practice helps clients navigate the evolving and increasingly complex global regulatory environment. We help our clients structure their businesses and operations in the most efficient and commercial way, complying with relevant requirements, minimizing regulatory burdens and developing business opportunities from change.

“Norton Rose Fulbright is praised for its ‘extensive industry knowledge,’ and ‘awareness of the regulator’s perspective.’” Legal 500 UK, 2016

Our financial services regulatory practice is full-service, covering wholesale and retail financial services both within and outside the financial sector. Our lawyers provide a holistic approach that considers issues across subjects and sectors, with an understanding of both local and global implications. The team is structured around its core regulatory strengths: banking, markets infrastructure and commodities, and asset management.

Part of our financial services regulatory practice is our Government Relations and Public Policy (GRPP) team, which offers clients a unique mix of policy, process and sectorial expertise and works with clients through the entire legislative process from initial objectives to new law, from implementing measures to application.

We also offer clients a dedicated Regulatory Compliance Consulting practice comprised of compliance and risk professionals who work in tandem with our lawyers to bring clients a deeper level of service and knowledge. The team advise and support senior management, compliance functions and front line businesses to develop, enhance and embed their regulatory frameworks and control environments and has extensive experience advising clients on a range of sophisticated, cross-border compliance, regulatory, and risk control matters.

Our team is closely involved with global regulatory reform and has extensive experience working in the industry and with the world’s leading financial regulators, including the HM Treasury, the UK Financial Conduct Authority (FCA), the UK Prudential Regulation Authority (PRA), the US Securities and Exchange Commission and the US Commodity Futures Trading Commission. This gives us real insight into how the regulators think and work, as well as how regulatory policy is formed, turned into legislation and then supervised.

Our areas of work include

  • Authorizations
  • Asset and wealth management
  • Banking and finance, including banking regulation
  • Change in control
  • Documentation, including compliance and contractual
  • Custody and client money
  • Financial crimes
  • Financial institutions
  • FinTech and RegTech
  • Fixed income, currencies and commodities
  • Government relations and public policy
  • Individual accountability, including senior management and corporate governance
  • Investment funds
  • Market conduct and benchmarks
  • Market infrastructure and post-trade
  • New product launches
  • Regulation and investigations, including broker deal, consumer and mortgage, derivatives, payment services, prudential, regulatory risk, securities and compliance
  • Sanctions and controls, including anti-money laundering
  • Sourcing and technology
  • Structured trade and commodity finance
  • WTO and international trade