Regulatory Law

We advise regulated businesses and senior individuals across financial services, money services, estate agency, accountancy and other supervised sectors — on day-to-day compliance, regulator investigations and enforcement defence.

Our regulatory team supports clients through the entire regulatory life-cycle — from authorisation and licensing through to ongoing compliance, supervisory engagement and contested enforcement action.

We advise on the Fit & Proper Test and Senior Managers & Certification Regime, draft compliance frameworks and policies, and provide training to boards and senior managers.

When something goes wrong, we represent firms and individuals in regulator inspections, Section 166 reviews, enforcement investigations and tribunal proceedings, working closely with specialist counsel where required.

How we can help

• Regulator authorisations & licensing
• Compliance frameworks & policies
• Fit & Proper Test support
• Senior Managers & Certification Regime
• Regulator inspections & Section 166 reviews
• Enforcement investigations & defence
• Tribunal & appeal proceedings
• Compliance training for boards & MLROs

Our process

1. 1

   Initial consultation

   Confidential discussion of your matter, the documents available and any time-critical deadlines that apply.

2. 2

   Strategy & costs

   A clear written assessment of your options, realistic prospects and a stage-by-stage costs estimate so you can decide how to proceed.

3. 3

   Active progression

   We carry out the agreed work — drafting, correspondence, negotiation or court proceedings — keeping you fully informed at each stage.

4. 4

   Resolution

   We secure the best available outcome and advise on any next steps, enforcement or follow-on work required.