LEGAL
Financial Regulation
Expertise in all aspects of regulatory compliance and risk management.
Search our PeopleThe pace of change in financial regulation worldwide is increasing as governments pay greater attention to consumer protection, seek to reinforce financial system stability, and respond to digital innovation, crypto asset trading, ESG, greenwashing and other trends.
Ashurst is an expert in global financial services regulation, advising some of the world’s leading banks and other institutions on their regulatory obligations. We also work closely with regulators, enabling us to prepare clients for issues that might appear on the regulatory horizon.
Deep understanding
We understand the impact of regulations in an increasingly digital financial services sector.
Creative thinking
Ashurst delivers innovative solutions to meet your most difficult regulatory problems.
Astute advice
We advise on all regulatory matters, from potential misconduct and financial crime to regulatory enforcement measures.
Customised strategies
Ashurst delivers tailored strategies that enable you to respond effectively to regulatory challenges.
Cutting-edge insight
We have the knowledge and insight to provide effective advice on all regulatory matters.
A client-oriented approach
We understand your business and market, enabling us to deliver practical and commercial advice.
How we can help
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Financial Regulation
Understanding current and prospective regulations
Read moreFinancial Regulation
Understanding current and prospective regulations
As global financial rules tighten and evolve, you need to clearly understand the existing and prospective regulations of the jurisdictions in which your organisation operates. In particular, you need to anticipate new regulations before they are instituted and have strategies in place to address them effectively.
Innovative solutions
Ashurst has an in-depth understanding of the financial services industry and the regulations that apply to it. We advise many financial institutions and other organisations in regulated sectors. Our client-oriented approach enables us to deliver commercial, practical and innovative advice to address the specific regulatory challenges you might face. That’s why we have been mandated with some of the most complex and sensitive matters in financial services.
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Regulatory Investigations
Implications that can’t be ignored
Read moreRegulatory Investigations
Implications that can’t be ignored
The financial and reputational implications of regulatory investigations and disputes can’t be ignored. If your organisation is subject to an investigation, dispute or enforcement proceeding, you must respond immediately and judiciously.
Tailored strategies for an effective response
At Ashurst, we work with the world’s leading financial institutions to implement effective solutions to disputes and other regulatory issues. We advise on all regulatory matters, including financial crime, regulatory enforcement, systems and controls, complaints handling, misconduct and structured products. We also deliver tailored strategies to ensure you can respond effectively to internal or regulatory investigations, enforce rights, recover money or assets, and defend claims.
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Digitisation
Reimagining financial services
Read moreDigitisation
Reimagining financial services and addressing regulatory concerns
The financial services sector is undergoing a digital transformation as institutions embrace digitisation, rework legacy systems, and invest in fintech solutions. Our lawyers, equipped with a comprehensive understanding of data, privacy, AI, and banking as a service, can guide you in avoiding regulatory scrutiny and mitigating negative consequences while navigating this evolving landscape.
Tokenisation of securities and comprehensive support
Tokenisation of securities is gaining momentum, and our dedicated team has unique experience in launching projects that leverage DLT and other systems. With expertise in native digital assets and tokenised investments, we provide a full range of support to both new entrants and traditional financial institutions in deploying digital market infrastructure, cross-border services, and applications. -
Risk
Increasing scrutiny on financial institutions
Read moreRisk
Increasing scrutiny on financial institutions
Today, consumer data and digital platforms create either extraordinary convenience or profound privacy concerns. Regulators are therefore paying increased attention to the ways financial institutions collect, manage and use the enormous volumes of customers’ personal information they collect.
Cutting-edge insight
At Ashurst, we have the knowledge and insights to advise you effectively on regulation and risk matters such as the obligations of the Banking Executive Accountability Regime, the Financial Accountability Regime, the Design and Distribution Obligations and breach reporting. We also understand and appreciate the ongoing regulatory pressure placed on banks and related organisations to manage their anti–money laundering and counter-terrorism financing responsibilities.
Sharing our insights
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Risk Insight 
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New derivatives transaction reporting rules are now in force – is your data in order?
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A View From The Exchange: Ashurst's key takeaways from the Government's Guidance on the new failure to prevent fraud offence
06 Nov 2024
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Preparing for review and redress programmes in Motor Finance: Lessons learned from Australia
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A View From The Exchange: UK's Lloyd's of London tackles non-financial misconduct
30 Oct 2024
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Our works, awards & rankings
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News Ashurst advises HIH Invest on the launch of a new residential property fund with 14 residential properties
19 Nov 2024
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