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Compliance and Regulatory

Financial Services Regulatory

The financial services sector is heavily regulated, with entities facing significant and continuous compliance obligations. Numerous entities ranging from banks, branches, investment firms, alternative investment fund managers, UCITS, security issuers, listed companies, forex companies, asset managers, brokers, insurers and reinsurers, payment service providers, e-money institutions, financial advisors, deposit takers, credit providers, crowdfunding platform providers, venture capitalists, private equity managers, fintech must abide by stringent regulatory regimes, ensuring compliance at a continuous basis and at all times. These obligations are complex, complicated, and ever-changing due to the evolving nature of the relevant regulations. Expert consultation and guidance are, therefore, necessary to navigate these regulatory frameworks.

Our team offers specialized and focused services on the financial sector, supporting both emerging and established financial services market participants. We undertake the heavy burden of regulatory compliance for our clients starting from the proper establishment of the regulated entities and the obtaining of regulatory approvals and licenses to the discharge of their reporting and continuous compliance obligations. Our team offers comprehensive and effective consultation for transactional matters, too, ensuring compliance in case of arrangements arising in the financial services sphere (such as broker deals, mergers, and acquisitions, joint ventures). We consult and prepare optimal business planning, taking account of regulatory needs, and prepare all regulatory manuals, policies, and procedures, including internal manuals and procedures, which ensure compliance of the regulated entities. Our services cover a wide range of regimes, such as AMLD, MiFID II, MAR, FATCA, FATF, AFMD, UCITS, EMIR, PSD II, Credit Institutions Laws, supporting domestic, EU and non-EU regulated entities.

We evaluate and analyze our clients’ systems and controls as a compliance assessment tool, anticipating, and carrying out all regulatory reporting obligations. In ensuring regulatory compliance, we coordinate and manage meetings and communication with competent regulators. Drawing on our close interaction and extensive experience with regulators, we are well-equipped to understand regulators’ approach, putting effective compliance mechanisms into place that anticipate and accommodate the ever-developing, emerging regulatory needs.

The complex financial services framework is equally challenging where it intersects with technology and emerging, novel, and innovative, tools. Our fintech expertise is pertinent to the intersection of financial services regulatory and technology so that we can securely drive and accommodate innovation in financial services. Novel and emerging technology-reliant business models and platforms operate and enter the financial services market demanding regulatory compliance and observance of existing and novel regulatory regimes. Our team can assess and determine the scope of compliance, analyzing the nature of these novel business models. This offers our clients an early competitive advantage, considering that the regulatory aspect is effectively and promptly covered by our team’s forward-thinking and up-to-date business consultation, structuring, and services. We support emerging companies on the establishment, development, and operation of capital-raising platforms in venture capital, angel investing, crowdfunding, and other novel finance portals.

Our regulatory practice in the financial services sector is unmatched, covering all regulatory needs and transactional matters. Our expertise in the fintech area ensures that all the latest financial developments are effectively and comprehensively handled towards our clients’ growth and success.

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