Non-contentious regulation

Voted top advisers by the regulatory industry in both contentious and non-contentious categories

Compliance Register 2007/08

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Regulation is constantly evolving. The Financial Services Authority's rules are complex and copious, and in recent years, there has been a deluge of EU legislation taking effect within the UK.  This environment, alongside the competitive nature of the globalised economy, means it is a difficult and complex world for financial services firms.  Specialist advice is therefore essential.

Led by Charlotte Hill, the financial services and regulation team is expert in guiding our clients through this complex environment.  The team brings clients the valuable combination of legal, commercial and regulatory experience.  As well as her experience in private practice, Charlotte has also worked for one of the FSA's predecessor regulators IMRO, and in-house as head of legal. 

Our clients range from very large, household-name firms through to specialist boutiques. They include asset managers, corporate finance houses, overseas law firms, accountants, banks, brokers, and regulated entities of all types based in the UK and overseas.

We can help you with:

  • FSA authorisation and amendments to authorisation
  • Helping clients prepare for FSA visits
  • Design, development, distribution and promotion of financial products. 
  • Remedial action – from addressing simple client to the complete overhaul of a company's systems and controls
  • Large scale implementation projects – such as MiFID or Treating Customers Fairly
  • Corporate restructurings
  • Legacy document reviews
  • Anti-money laundering
  • Due diligence
  • Consumer credit

Professional, responsive and friendly, they have a marked ability to cut through irrelevancies and get straight to the crux of a matter.

Steve Woolley, head of compliance, ICAP plc

"The kind of top client service that is hard to find"

Chambers UK 2009

"The sheer commitment of Stephenson Harwood is key to its success"

Chambers UK 2010

"Total dedication"

Asia Pacific Legal 500 2009/2010

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