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Financial services regulation and compliance

For those working in the financial services, the regulatory environment is complex and evolving, with firms having to devote more resource to governance, risk and compliance issues. A steady stream of legislation is creating a changing landscape (EMIR, AIFMD and PSDII being obvious examples) with product design, distribution and competition issues all under increased regulatory scrutiny. At the same time, financial crime and conduct risk issues are generating a raft of enforcement actions and heavy fines from regulators around the world, often working together to tackle issues across global markets.

Eversheds Sutherland Financial Law Twitter feed Follow us on Twitter: @ESfinanciallaw

An experienced team

We advise asset managers, investment banks, and brokers/agents tackling issues such as fund formation and distribution, financial crime and cross border regulatory investigations. In the retail space we advise banks, retail finance houses, life offices and merchant services providers. We have had large teams working on regulatory and enforcement issues such as PPI, interest rate swaps mis-selling and client assets. We have a market leading consumer credit and payment services team which is at the cutting edge of the technological, commercial and regulatory developments affecting the sector.

Section 166 reviews

We are one of a small number of law firms appointed to the FCA’s skilled persons’ panel to undertake s166 reviews for firms in relation to governance, controls and risk, conduct of business and financial crime issues. We have been involved in investigations, enforcement actions and s166 reviews relating to issues such as PPI, LIBOR, client assets, money laundering controls and investment mis-selling.

Our services:

Operations

  • Authorisations and approvals
  • Product design and distribution
  • Financial promotions
  • Policy and procedure reviews
  • Risk framework design and review
  • Implementation of compliance programmes
  • Outsourcing of operations
  • Target operating model design
  • Passporting
Eversheds Sutherland Financial Law Twitter feed Follow us on Twitter: @ESfinanciallaw

Support and advisory

  • Project and secondment support
  • Internal investigations
  • Past business reviews
  • Root cause analysis
  • Section 166 reviews
  • Independent audit
  • Regulatory change programmes
  • FCA supervisory visits
  • Preparing SIFs for FCA/PRA interviews
  • Thematic reviews
  • Training and team development
Eversheds Sutherland Financial Law Twitter feed Follow us on Twitter: @ESfinanciallaw

Key areas

  • FCA conduct regulation
  • Working with the FCA, PRA and FOS
  • Governance and risk management
  • Complaints handling
  • Mis-selling
  • Financial crime
  • Money laundering
  • CASS compliance
  • Product governance and distribution
  • Competition issues
  • Market abuse and insider dealing
Eversheds Sutherland Financial Law Twitter feed Follow us on Twitter: @ESfinanciallaw

Spotlight on:

Senior managers regime

The Senior Managers & Certification Regime

Individual accountability in the financial institutions sector has never been more under the spotlight.

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International funds net

International Funds Net

IFN has been designed in conjunction with clients and draws upon our market understanding, depth of resource and innovative approach to information technology.

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Eversheds Sutherland Financial Law Twitter feed Follow us on Twitter: @ESfinanciallaw

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Top 5 training courses

Top 5 training courses for investment managers

Investment Management: Top 5 Training Courses

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Brexit for asset managers

Brexit for asset managers

As asset managers it is particularly important that consideration is given to the impact on trade and economic prospects of staying in the EU, a potentially reformed EU or leaving the EU.

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Asset market study

Asset management market study

We have included links on this page to our briefings and relevant FCA papers. For the very latest information and advice on the market study, please feel free to contact one of our team.

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Eversheds Sutherland Financial Law Twitter feed Follow us on Twitter: @ESfinanciallaw

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© Eversheds Sutherland 2023. All rights reserved. Eversheds Sutherland is a global provider of legal and other services operating through various separate and distinct legal entities.

Eversheds Sutherland is the name and brand under which the members of Eversheds Sutherland Limited (Eversheds Sutherland (International) LLP and Eversheds Sutherland (US) LLP) and their respective controlled, managed and affiliated firms and the members of Eversheds Sutherland (Europe) Limited (each an "Eversheds Sutherland Entity" and together the "Eversheds Sutherland Entities") provide legal or other services to clients around the world. Eversheds Sutherland Entities are constituted and regulated in accordance with relevant local regulatory and legal requirements and operate in accordance with their locally registered names. The use of the name Eversheds Sutherland, is for description purposes only and does not imply that the Eversheds Sutherland Entities are in a partnership or are part of a global LLP. The responsibility for the provision of services to the client is defined in the terms of engagement between the instructed firm and the client.