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Industry
Financial services clients rarely bring us a single question. They bring a commercial decision with a regulatory constraint attached, and want to know how much of the decision survives the constraint.
Sector contacts
We act for banks, asset managers, insurers, and payments and market infrastructure businesses across transactions, regulatory counsel, investigations, and disputes. The firm has advised financial institutions since its first decade, and the practice has grown alongside the regulatory perimeter rather than in reaction to it.
Our work in the sector is unusually evenly split between advisory and contentious matters. That is deliberate. A regulatory adviser who has never defended an enforcement action tends to underestimate how a control framework reads to someone who has decided something went wrong.
What clients are contending with
Payments, lending, and market infrastructure businesses are now supervised under regimes written for institutions they do not resemble. Licensing analysis is a recurring cost, not a one-time exercise.
Sanctions and financial crime frameworks are judged by how they performed on the transaction that failed. We build and remediate them with that reading in mind.
Acquisitions in the sector complete on the regulator's timetable. Sequencing consents is usually the critical path, not the negotiation.
Practice Areas
Fund formation, secondaries, and regulatory counsel for managers and institutional investors.
Internal and government investigations, enforcement defense, and the controls that prevent the next one.
Litigation and international arbitration in matters where the outcome changes the business.
Senior transitions, restrictive covenants, workplace investigations, and the employment side of transactions.
Representative Matters
Three authorities, three timetables, and a screening system that had been correctly designed and incorrectly configured.
A sponsor-led secondary in which the conflicts process was settled before the transaction was announced rather than defended after it.
Eleven assets, a maturing facility, and a lender that wanted participation in the upside rather than a higher margin.
A departure that had to be announced, a covenant that had to be enforced, and a business that had to keep its clients through both.
Speak to the firm
Describe the matter in general terms and name the parties involved. We run a conflicts check, usually within two business days, and a partner in the relevant practice will call you. The first conversation is not charged.