Financial Services Regulation
Expert legal advice and representation to navigate the complex and evolving regulatory landscape of the UK financial services sector.
Why Verradin LLP is the Premier Choice for Financial Regulation
- In-depth expertise in FCA, PRA regulations, and cross-border compliance matters
- Proven track record advising on authorisations, regulatory approvals, and tailored compliance frameworks
- Strong client relationships serving regulated firms, fintech innovators, and financial institutions
- Practical, commercially minded advice to support business growth while managing regulatory risk
- Skilled handling of regulatory investigations, enforcement actions, and dispute resolution
Our Financial Services Regulation Expertise
- Advising firms on authorisation, permissions, and exemptions under the Financial Services and Markets Act 2000
- Regulatory compliance audits tailored to retail and wholesale financial firms
- Assistance with Senior Managers and Certification Regime (SMCR) compliance and governance
- Review and drafting of regulatory documentation including terms of business and financial promotions
- Guidance on operational resilience and risk management frameworks
- Support for regulatory investigations, notifications, and enforcement proceedings
Clients We Assist
- Banks, building societies, and wealth managers
- Asset managers and investment firms
- Fintech companies and payment services providers
- Independent financial advisers (IFAs) and corporate finance advisers
- International clients with UK regulatory exposure
Our Approach to Financial Services Regulation
Verradin LLP takes a proactive and tailored approach to managing regulatory obligations. We work closely with your team to understand your business model, anticipate regulatory changes, and design frameworks that align compliance with commercial objectives.
- Comprehensive regulatory risk assessments
- Collaborative compliance program development and implementation
- Training and support for senior management and compliance teams
- Preparedness for regulatory investigations and enforcement
- Ongoing monitoring and response to evolving financial regulatory environments
Our objective is to ensure your organisation operates with confidence and resilience in a highly regulated and dynamic sector.