Here at Womble Bond Dickinson, our team of financial services lawyers are attuned to the needs of each individual client and are here to put in place effective strategies in accordance with regulatory compliance.

Financial service regulations can pose many challenges for businesses, so if you’re looking for a financial services lawyer that can offer pragmatic advice and support in navigating a complex regulatory landscape, then our team is here to help. Our leading financial service solicitors aim to meet the needs of your business and enable clients to adhere to complex regulator requirements.

Keeping up to date with legislative changes and expectations is imperative to all businesses in order to ensure alignment with regulation changes. Helping to identify what developments are critical within companies, our financial lawyers can offer detailed advice and help towards implementing necessary change within businesses. With expertise across a range of sectors including asset management, banking, restructuring, insolvency and more, our financial services solicitors are here to help.

Financial Services Regulation Clients

Focusing on managing regulatory risk, avoiding disputes and helping to resolve regulatory contention, our lawyers work with a range of financial services clients including:

  • Banks and Broker
  • Insurers
  • Investment firms
  • Consumer credit and mortgage lenders
  • Wealth managers
  • Financial advisers
  • Fund managers
  • Payment service providers and e-money issuers 
  • Crowdfunding platforms
  • Unauthorised firms seeking to remain outside the regulatory perimeter.

Financial Regulation Legal Services

With an unparalleled understanding of the regulatory landscape within the financial sector, our financial lawyers are able to provide a wide scope of services for financial institutions in regards to regulatory compliance including:

  • Offering access to our regulatory news-site FIN in order to provide a quick and easy way to identify critical needs within businesses
  • Training staff to be aware of regulations and how to comply with them
  • Offering financial crime prevention advice to companies in need
  • Providing advice for those wishing to stay outside of the regulatory perimeter
  • Advising on outsourcing and commercial agreements
  • Drafting and reviewing customer documents and agreements with third party companies
  • Working with fund managers to provide structuring, marketing and distribution agreements 
  • Offering legal guidance on regulatory non-compliance and dispute resolution
  • Advising businesses on their obligations under payment services and e-money regulations
  • Providing regulatory strategies for non-bank financial services providers including Fintech’s
  • Working with commercial insurance experts to advise on distribution, perimeter issues and customer-facing documents 
  • Advising on regulatory requirements of mortgage documentations
  • Offering guidance to crowdfunding platforms to ensure regulatory compliance.


If you’re in need of legal advice surrounding regulatory compliance within the financial services, get in touch with our team of financial lawyers and browse our professional staff to find out how we can help you.

Key contact

"Excellent all-round financial services lawyer."

Jonathan Drake - Legal 500, 2019

"Experienced and knowledgable."

"A pleasure to work with."

Emma Radmore - Legal 500, 2019

"Hardworking and helpful."

Roseyna Jahangir - Legal 500, 2019