Ashurst offers a global full advisory service to clients in the
investment banking, securities, derivatives, trading platforms,
private equity, fund management, corporate finance and insurance
and reinsurance (both life and non-life) sectors, including:
- obtaining new authorisations;
- advising on cross-jurisdictional regulatory issues;
- advising on monitoring and enforcement visits by regulators;
- drafting client documentation;
- advising on and drafting compliance and risk management policies;
- regulatory aspects of product structuring;
- regulatory aspects of multilateral trading platforms;
- the management of regulatory capital;
- advice on conflicts of interest in full service financial
institutions;
- MiFID-related issues;
- liaising with regulators on specific regulatory issues affecting
our clients;
- advice on the intermediation of financial services in multiple
jurisdictions; and
- providing general advice on the legislation and regulations
affecting financial services providers.
We have particular experience in a variety of specialised product
sectors, including:
- OTC derivatives;
- structured finance;
- UCITS funds; and
- commodities and futures.
With an experienced team, which includes lawyers who have
previously worked as in-house counsel at regulators and in Europe,
Asia, Australia and the United States, we are able to offer
in-depth knowledge of the issues. We are closely acquainted with
the UK and US regulatory system and have good relationships with a
number of regulators, including the Financial Conduct
Authority, BaFin, CONSOB, the AMF, the Australian Securities and
Investments Commission, the Securities and Exchange Commission and
FINRA.
The regulatory team also plays an active part in shaping new
regulatory and legislative frameworks. It has participated in the
Joint Associations Committee's drive to create a set of principles
for Retail Structured Products and continues to shape the debate in
relation to the PRIPs KID. In addition, two members of the team are
on the City of London Law Society's Regulatory Committee.
Cross-jurisdictional regulatory advice
We have experience in providing broad regulatory advice in relation
to significant overseas jurisdictions. In particular, we have
significant experience advising on cross-jurisdictional regulatory
projects. We are also able to provide clients with expert advice on
financial services regulation in overseas jurisdictions through
Ashurst's global network of offices including in Tokyo, Sydney,
Hong Kong, Dubai and Singapore as well as our European offices
in Brussels, Stockholm, Paris, Milan, Madrid and Frankfurt.
Contentious regulatory
For many years, Ashurst has acted for leading financial
institutions in relation to internal and regulatory investigations
and disciplinary proceedings involving financial services in the UK
and across Europe. We work closely with our dedicated contentious
regulatory team both pre-emptively and after an investigation or
action has commenced.
Useful links
www.fca.org.uk