Practices

EXPERTISE ​Financial Regulation

Ashurst is one of the world's leading regulatory advisors. We handle both sensitive local regulatory matters and complex cross-border ones.

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A full advisory service

Ashurst is at the forefront of global financial services regulation. We have an in‑depth knowledge of the regulators and their concerns, and we know what is on the regulatory horizon for our clients. Our experience ranges from regulatory change initiatives such as Dodd-Frank and MiFID to major disputes such as LIBOR and FX.

We advise a wide variety of clients in the regulated sectors including banks, investment banks, insurers, trading platforms, clearing houses, market participants, market infrastructure operators, asset and fund managers, private equity firms, hedge funds, and corporate finance clients.

Financial Regulation experts

We are particularly noted for our expertise in: compliance and risk management policies and procedures; the regulatory aspects of complex products and their distribution; surveys and advice covering cross-jurisdictional regulatory issues, such as MiFID II, Dodd-Frank and EMIR; responding to domestic and global regulatory investigations and enforcement actions including market abuse and insider dealing issues; buying and selling regulated businesses and the regulatory implications for lending and other financial transactions; and financial disputes between counterparties.

Our approach

Our client-oriented approach has won us industry recognition and the respect of our clients. Not only do we advise on regulatory issues, we provide commercial, practical and innovative solutions to the challenges that those issues create. That is why we are regularly asked to work on the most complex and sensitive of matters in the financial services sector.

Global network, local knowledge

We have a team of specialist partners based in Asia‑Pacific: Australia, Hong Kong, Singapore, Tokyo and Shanghai; Europe: the UK, France, Germany, Spain and Italy; and the US.

Seamless and integrated legal service

We bring together the best of our non-contentious and contentious regulatory capability to develop solutions to complex regulatory issues.

We frequently advise clients on handling regulatory problems, often at the earliest stages where questions of self-reporting or global co-ordination may arise. We have acted for high profile individuals facing insider dealing allegations, firms facing allegations of benchmark manipulation, and on contested enforcement proceedings relating to breaches of conduct rules.

The quality of (their regulatory) work is always good and their lawyers are easy to work with. They are practical and responsive - I have been very impressed. CHAMBERS, 2015

Recognition

As a leading international firm, we are proud to be recognised by clients and industry bodies for our achievements and the contributions we make

  • 2016

    CHAMBERS AND PARTNERS

    Band 2, Financial Regulation - non contentious

  • 2016

    CHAMBERS ASIA-PACIFIC

    Band 2, Financial Services Regulation

  • 2015

    UK LEGAL 500

    Band 2, Financial Regulation - non contentious

  • 2016

    IFLR

    Band 2, Financial Regulation - non contentious

  • 2016

    AUSTRALASIAN LAW AWARDS

    Insolvency & Restructuring Deal of the Year

  • 2016

    AUSTRALASIAN LAW AWARDS

    Property, Infrastructure & Projects Deal of the Year

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Key Contacts

We bring together lawyers of the highest calibre with the technical knowledge, industry experience and regional know-how to provide the incisive advice our clients need.

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​Find out how our experts can help solve the challenges you face in your industry.

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