Firms To Watch: Financial services: non-contentious/regulatory

Cleary Gottlieb Steen & Hamilton‘s London team is headed up by Ferdisha Snagg, a well regarded counsel who works with a strong roster of banks, asset managers, and other financial services clients.
Covington & Burling LLP‘s London financial services offering was recently strengthened by the arrival of David Berman, who joined the firm from Latham & Watkins in October 2023. Berman is set to head up the burgeoning practice.
Monica Gogna, who established the financial services regulation practice at EY LLP in June 2021, acts for banks, asset managers, insurers, payment services providers and fintech start-ups on a broad range of domestic and cross-border compliance and regulatory matters.
Goodwin continued its strong run of picking off top talent from the leading UK players with the hire of financial services regulatory specialist Andrew Henderson from Macfarlanes LLP.
Greenberg Traurig, LLP bulked up is London capabilities with the hire of experienced financial regulation lawyer Tim Dolan at the start of 2023 - Dolan is known for 'his ability to combine explanations of highly technical regulatory guidance with pragmatic advice.'
Praised for its ‘strength and depth of expertise’, specialist financial services regulatory firm McDonnell Ellis LLP houses a team of ‘highly experienced’ partners, including practice leader Brian McDonnell, David Ellis and Richard Ellis, who joined from Charles Russell Speechlys LLP in September 2022.
Simpson Thacher & Bartlett LLP made a key hire for its London practice in spring 2023 with Stephanie Biggs joining from Travers Smith LLP to co-head the European financial services and funds regulatory team.

Financial services: non-contentious/regulatory in London

A&O Shearman

A&O Shearman houses a ‘capable and first-class team, who expertly assist clients to navigate through a complex and dynamic regulatory environment and provide practicable and commercially workable solutions’. The practice covers the full gamut of regulatory matters, from market infrastructure, payments regulation, fintech and consumer finance to regulatory change projects and transactional work. A ‘market leader’ in derivatives and securities regulation, Damian Carolan jointly leads the team alongside Bob Penn, who acts for banks, asset managers and market infrastructure providers on domestic and cross-border matters. ‘Excellent and engagingBen Regnard-Weinrabe focuses on mandates concerning fintech, payments, cryptoassets, retail banking and consumer finance, while Kate Sumpter has demonstrable experience advising international banks on regulatory-driven structural change projects. Other key contacts in the group include co-head of the firm’s financial markets and markets infrastructure regulatory practice, Nick Bradbury, and fintech regulatory specialist Nikki Johnstone.

Responsables de la pratique:

Damian Carolan; Bob Penn

Autres avocats clés:

Ben Regnard-Weinrabe; Kate Sumpter; Nick Bradbury; Nikki Johnstone; Nadia Pascal

Les références

‘Very capable and first-class team, who expertly assist clients to navigate through a complex and dynamic regulatory environment and provide practicable and commercially workable solutions. Added value is a sound and thorough understanding of how the commercial realities of the various individual markets work, how the various parts of the payment’s ecosystem work together and what is commercially sensible for us in servicing our clients.’

‘Ben Regnard-Weinrabe is excellent and engaging. Superbly bright, he knows the fintech and payments space inside and out, and truly understands what is important to our business. He has helped us to structure new products and services to ensure regulatory compliance whilst balancing commercial considerations.’

‘A&O is a market leader in the financial regulatory field. It is always on the cutting edge of legal and regulatory change.’

Principaux clients

UK Finance

SwapAgent Ltd.

Tradeweb Europe Ltd.

XTX Markets Limited

Virgin Atlantic Airways Group

A global US headquartered bank





Nomura International Plc

LCH Ltd.

eBay Inc.


Virgin Atlantic Airway Group

Planet Payment

Remitly, Inc.


Principaux dossiers

  • Leading on a financial market infrastructure (FMI) risk review project for a global US headquartered bank.
  • Advised a bank syndicate comprising BNP Paribas, HSBC and RBC Capital Markets on the European Investment Bank’s (EIB) inaugural issuance of sterling-denominated digital bonds, also marking the first public issuance on HSBC Orion, HSBC’s tokenisation platform.
  • Advising a global payments company (a subgroup of a European headquartered multinational financial services company) across a number of its €20bn digital investment initiatives.

Clifford Chance LLP

The financial regulation team at Clifford Chance LLP covers the full spectrum of mandates, from Brexit-related regulatory issues and digital assets to new business generation matters, policy work and the regulatory aspects of large-scale M&A transactions, among others. Caroline Meinertz leads the team and advises global financial institutions on Brexit-related mandates, while Simon Crown focuses on funds and asset management and Caroline Dawson handles matters concerning investment banking, derivatives, market infrastructure and ESG. Monica Sah counts global financial institutions, disruptor blockchain providers and crypto services providers among her key roster of clients, and Paul Ellison’s practice caters to private equity firms. Other members of the team include Diego Ballon Ossio, who was promoted to partner in May 2023, and senior associates Laura Douglas and Stephanie Peacock. Now a consultant, Simon Gleeson remains a key contact in the group.

Responsables de la pratique:

Caroline Meinertz

Autres avocats clés:

Simon Crown; Monica Sah; Caroline Dawson; Diego Ballon Ossio; Stephanie Peacock; Laura Douglas; Simon Gleeson

Les références

 ‘The team has both breadth and depth of experience and skills. They are great at keeping us informed on developments and providing us sessions to understand new or evolving legislation and regulation.’

 ‘Simon Crown is also proactive in considering developments as they evolve and bringing to our attention matters, we should be aware of.’

Linklaters LLP

The ‘stellar’ financial regulation group at Linklaters LLP continues to showcase its capability in handling high-risk and multi-jurisdictional issues, from post-implementation MiFID II matters, CSRD, ESG and Brexit-related work to fintech and payments mandates, among others. Practice leader Martyn Hopper advises investment banks, retail banks, insurers, asset managers and listed companies on regulatory compliance work, and Michael Kent ‘provides exceptional advice’ on matters concerning MiFID II, market abuse and cross-border licensing and conduct issues. Peter Bevan acts for investment managers, private banks, hedge funds and private equity funds, with demonstrable experience advising on new product development and marketing, trading issues and regulatory structuring, while Harry Eddis stands out for his expertise in the fintech arena. Raza Naeem, who handles matters concerning ESG, wholesale and retail conduct, licensing and governance, is another key contact in the team. Carl Fernandes re-located to the firm’s Hong Kong office.

Responsables de la pratique:

Martyn Hopper

Autres avocats clés:

Michael Kent; Peter Bevan; Harry Eddis; Raza Naeem; Nikunj Kiri; Sebastian Barling; Alastair Holt

Les références

‘Knowledgeable of their subject matter, up-to-date and relevant market experience.’

‘Nikunj Kiri is great. He really understands our business and our needs, and he can adapt according to the problem. Very reactive and a true expert.’

‘Linklaters regulatory team continues to be stellar. They are at the top of their game in market structures and EU/UK financial services regulation, together with FCA compliance matters.’

Principaux clients

Visa Europe Limited

SMBC Bank International plc

Fnality International Limited

Masthaven Bank Limited


Praised for its ‘broad range of knowledge’, the ‘commercial’ team at Ashurst has demonstrable experience in the digital assets arena, in addition to advising on matters concerning MiFID II, governance, ESG, Brexit and funds. Jake Green leads the team and stands out for his expertise in post-Brexit cross-border mandates, while Etay Katz acts for banks on large-scale regulatory change projects, with a focus on fintech transformation and digitalisation. Tim Cant has considerable experience in MiFID II and Lorraine Johnston advises on ESG regulatory compliance issues, as well as financial services governance mandates. Other key contacts in the group include Bradley Rice, who focuses on digital finance and fintech, and counsel Sidika Ulker.

Responsables de la pratique:

Jake Green

Autres avocats clés:

Tim Cant; Etay Katz; Lorraine Johnston; Bradley Rice; Sidika Ulker

Les références

‘Jake Green has extensive knowledge of the regulatory market practice across global firms, allowing him to provide practical advice on how regulatory compliance can work for our organisation. Jake is willing to provide a risk-based view that can work for our business, rather than providing the conservative approach.’

‘Tim Cant is technically excellent, but at the same time he has an incredible knowledge of how the market works and how firms are implementing relevant rules.’

‘The Ashurst regulatory team are very commercial and understand not only the legal and technical backdrop but also how financial market firms are implemented these rules. It is extremely helpful to understand how others in the market are interpreting financial regulations and the team has an excellent handle on this.’

Principaux clients

Goldman Sachs

Oak Hill Advisors



Peel Hunt

OSTTRA, a joint venture between CME Group and IHS Markit

Monument Bank

General Atlantic

Tritax Management LLP

Coutts & Co

Latham & Watkins

Latham & Watkins stands out for its capability in large-scale financial services-related transactions, with demonstrable experience advising on matters concerning ESG, consumer credit, conduct and culture, market abuse and SMCR, among others. Nicola Higgs leads the team and acts for global investment entities on the sale of derivative products, while Rob Moulton is noted for his expertise in European regulatory developments, such as MiFID and MAR. Other key contacts in the team include counsel Becky Critchley, who focuses on consumer protection, structured finance transactions and benchmark regulation, and associate Anne Mainwaring, who advises on UK and EU regulatory developments related to ESG. David Berman left in autumn 2023 to spearhead Covington's London financial services practice.

Responsables de la pratique:

Nicola Higgs

Autres avocats clés:

Rob Moulton; Becky Critchley; Anne Mainwaring; Ella McGinn

Les références

‘This practice is one of the ‘go-to’ teams in the City for non-contentious regulatory advice for financial service firms. They are always on top of developing regulatory trends and provide outstanding client service. They seem comfortable with all types of work from discrete, technical regulatory queries to much wider projects covering multiple areas of a client’s business.’

‘Ella McGinn is a first-rate associate with an excellent eye for detail and very adept at identifying key information in a large pool of material (and creating solutions around it).’

‘The team has continued to host monthly webinars to run through the latest changes. This is a large team with a variety of expertise and so it’s resourced properly and efficiently. Great breadth of experience and staffed appropriately.’

Principaux clients


Allianz Global Investors



Central Bank of Egypt

Deutsche Bank

Evelyn Partners


Klarna Bank



Mitsubishi UFJ Financial Group

Numis Securities

Royal Bank of Canada

S&P Global

Wellington Management

Principaux dossiers

  • Advising S&P Global on the regulatory aspects of the integration of its business with that of the newly merged IHS Markit business.
  • Advising AllianceBernstein on the formation of its joint venture with Société Générale, an European bank, of each firms’ cash equities brokerage and research businesses.
  • Advising Lowell, a portfolio company of Permira, on its bolt-on acquisition of Hoist Finance UK Limited, the UK credit management subsidiary of Hoist Finance AB.

Norton Rose Fulbright

The team at Norton Rose Fulbright is ‘at the top of its game’ in the wholesale markets arena, with a strong focus advising on retail and wealth management matters, often involving cross-border elements on account of the firm’s international footprint. Jonathan Herbst spearheads the global financial services regulation group and stands out for his expertise in bank structuring, while Hannah Meakin provides ‘exceptional advice’ on matters concerning market infrastructure, commodities derivatives and fintech. Albert Weatherill, who spearheads the payments practice, and policy development expert Matthew Gregory were promoted to partnership in January 2023. Katie Stephen, who co-heads the contentious financial services group, is another key contact.

Responsables de la pratique:

Jonathan Herbst; Hannah Meakin; Katie Stephen

Autres avocats clés:

Matthew Gregory; Albert Weatherill

Les références

‘In-depth knowledge of the sector with lawyers at top of their game. They are pragmatic, commercial and not afraid to suggest innovative solutions.’

‘The team is super collaborative, helpful and provide a lot of added value. The team acts with integrity and professionalism at all times but most importantly are technically knowledgeable and have a wealth of industry intel and knowledge that is most valuable.’

‘I find the NRF team most helpful, always happy to provide information/intel relating to market developments. Specific mention is owed to Jonathan Herbst and Hannah Meakin. They go above and beyond in all circumstances and always ensure that my needs are met. Both very pleasant to work with; approachable, responsive and considerate.’

Principaux clients


CME Group

Goldman Sachs


BNP Paribas

Société Générale


Save the Children


Royal Bank of Canada

European Bank for Reconstruction and Development (EBRD)

Mortgage Advice Bureau

Standard Chartered

Russell Investments

Ruffer Investments

Starling Bank

Bank of Montreal

Charles Stanley

Principaux dossiers

  • Advised KKR on three acquisitions including: its 25% stake in Northumbrian Water for $1.02bn; its majority stake in the French insurer APRIL Group; and its €3bn acquisition of world-leading reproductive medicine group, IVIRMA.
  • Leading on instructions to implement the FCA’s new Consumer Duty, working with numerous clients, across all retail sectors, from retail banks, retail brokerages, exchanges, asset managers to private and mass retail wealth managers and consumer finance firms.
  • Acted as sole legal adviser to Royal Bank of Canada in relation to its £1.6bn recommended cash offer for investment management firm, Brewin Dolphin Holdings plc.

Simmons & Simmons

Acting for both buy-side and sell-side clients, Simmons & Simmons advises on a broad range of matters concerning crypto and digital assets, payments, SMCR, MiFID3, financial markets affairs and Brexit-related issues, in addition to the financial services aspects of M&A transactions. Team leader Penny Miller handles compliance work relating to SMCR, as well as strategic governance and conduct risk and culture mandates, while Charlotte Stalin spearheads the practice’s cross-border regulatory offering and acts for financial institutions on Brexit-related issues. Darren Fox, who counts hedge fund managers, private equity houses, investment banks and broker dealers among his key roster of clients, is another name of note in the group.

Responsables de la pratique:

Penny Miller

Autres avocats clés:

Charlotte Stalin; Darren Fox; James Wallace

Slaughter and May

Fielding a team of ‘high-quality lawyers with excellent market knowledge and commercial acumen’, Slaughter and May handles a broad range of financial services regulatory matters, including advisory issues, such as policy developments, and the regulatory aspects of large-scale transactions. Practice leader Jan Putnis services a diverse roster of financial institutions, with notable expertise in cross-border corporate and commercial transactions, while Nick Bonsall acts for insurers, banks and asset managers, demonstrating a keen interest in the EU/UK regulatory regimes for solvency/own funds and governance. Other key contacts in the team include senior counsels Kristina Locmele and Tim Fosh, and ‘pragmaticDavid Shone. Head of the EU financial regulation practice Sabine Dittrich joined the firm from UBS Asset Management in January 2023.

Responsables de la pratique:

Jan Putnis

Autres avocats clés:

Nick Bonsall; Kristina Locmele; Tim Fosh; Sabine Dittrich; David Shone

Les références

‘The team were superb.’

‘We worked with David Shone, and members of his team. David was brilliant. Very pragmatic, yet held the line when it really was important. Fully understood the issues so he could anticipate what we would want, and negotiate accordingly.’

‘Very high quality lawyers with excellent market knowledge and commercial acumen.’

Principaux clients


Standard Chartered / SC Ventures

Banco Santander

American Express






Svenska Handelsbanken AB

OneSavings Bank

Klarna Bank AB

Silicon Valley Bank

Monzo Bank


Legal & General

Allianz SE




Principaux dossiers

  • Advised on its acquisition of River & Mercantile Group’s UK advisory, fiduciary management and derivatives business, and acquisition of a 75% stake in Greencoat Capital Holdings.
  • Advised Zurich on its Brexit-related insurance business transfer scheme from Zurich Insurance plc (ZIP), now based in Ireland, to its Swiss incorporated parent company, Zurich Insurance Company Ltd (ZIC), under Part VII of the Financial Services and Markets Act 2000

Travers Smith LLP

Travers Smith LLP is turned to by a number of bluechip asset managers, corporates, and other financial services entities for its 'highly intelligent, incredibly responsive, client-focused' approach. Key names to note include practice head Tim Lewis, the 'outstanding' Michael Raymond, and Natalie Lewis, recommended for her expertise in fintech and payments work.

Responsables de la pratique:

Tim Lewis

Autres avocats clés:

Phil Bartram; Mark Evans; Michael Raymond; Natalie Lewis

Les références

‘The team at Travers is great on ESG topics. They are commercial, respond quickly and really understand what we as the client are focused on, what the risks are with taking various positions and also follows up when things changes.’

‘Michael Raymond is great, I have worked with him on several different ESG topics including for specific ESG funds in the loan space. He really has an excellent grasp of what is the key impacts are from different decisions.’

‘The Travers Smith regulatory team consists of highly intelligent, incredibly responsive, client-focussed, outcomes-driven and dedicated lawyers.’

Principaux dossiers

Addleshaw Goddard

The financial services regulation team at Addleshaw Goddard, who ‘do not miss a beat on any instruction’, counts banks, fund managers, asset managers, investment platform providers, wealth businesses and insurance companies among its key roster of clients. Following the retirement of Amanda Hulme, Rosanna Bryant leads the team and advises on banking transactions and Part VII arrangements, while Lorna Finlayson spearheads the group’s retail investment offering and handles matters concerning ring fencing, ESG compliance and EBA outsourcing. James Greig, who joined from Barclays Bank in September 2022 and brings demonstrable experience in the wholesale financial services industry, is another key contact in the group.

Responsables de la pratique:

Rosanna Bryant

Autres avocats clés:

Lorna Finlayson; Ben Koehne; Steven Francis; Richard Small; Jan Gruter

Les références

‘Richard Small knows everything.’

‘The entire team at AG make us feel like they are providing an in-house GC service. They are responsive and innovative. The legal team are backed up by outstanding support staff, and they have without doubt the best front of house team in London. AG advise us on a range of matters, and they do not miss a beat on any instruction.’

Principaux clients


Reclaim Fund Limited

Yorkshire Building Society

Metro Bank

Shawbrook Bank

Chesnara plc

UK Finance

FNZ (UK) Ltd

FBN Bank

Nottingham Building Society

Principaux dossiers

  • Advised high street banking providers on the creation and launch of Cash Access UK Limited, a new joint venture between our respective clients to support their customers.
  • Acting as sole legal adviser on the UK Finance Steering Group looking at a potential UK retail central bank digital currency (CBDC).
  • Advising banks, asset and wealth managers and building societies on implementation projects for the requirements of the FCA’s Consumer Duty Rules.

Bryan Cave Leighton Paisner

Always willing to go the extra mile’, the team at Bryan Cave Leighton Paisner acts for a broad range of financial institutions in the retail and wholescale sectors, in addition to advising members of senior management and listed companies on regulatory requirements. Daniel Csefalvay acts for investment banks, broker dealers, market infrastructure providers and investment managers on domestic and cross-border regulatory risk mandates, while Matthew Baker is ‘very experienced’ in the investment management arena, acting for regulated businesses in large-scale transactions. Polly James leads the team and associate Joanna Munro, who ‘stands out in terms of the quality of work and responsiveness’, is another key contact.

Responsables de la pratique:

Polly James

Autres avocats clés:

Matthew Baker; Daniel Csefalvay; Joanna Munro

Les références

‘The team are very client focused and reliable. I have found them always willing to go the extra mile to respond quickly and find the right advice. They are always thinking one step ahead and frequently have their eye on wider issues.’

‘International practice with a stellar reputation. They can deal with complicated requests and have a sophisticated understanding of market dynamics and nuance.’

‘Polly James is calm, knowledgeable and considered.’

Principaux clients



CMS counts wholescale and retail banks, insurers, broker deals, investment managers, payment service providers and consumer finance lenders, in addition to start-ups and fintech companies, among its key roster of clients. ‘At the top of his field’, practice leader Ash Saluja specialises in banking and investment business regulation, while Paul Edmondson remains a key contact on matters concerning Brexit planning and restructurings. Sam Robinson co-heads the firm’s global fintech group and Angela Greenough has demonstrable experience in regulated financial services outsourcing. Other key contacts in the team include Pippa Tasker, who advises financial services providers on UK and EU regulatory mandates, and recently promoted partner Tom Callaby.

Responsables de la pratique:

Ash Saluja

Autres avocats clés:

Paul Edmondson; Sam Robinson; Pippa Tasker; Angela Greenough; Tom Callaby; Laura Houët; Helena Vastardis; Robert Dedman

Les références

‘They are smart, pragmatic, responsive and easy to work with – a perfect combination.’

‘Ash Saluja is at the top of his field, commercially astute and responsive, delivering advice that answers all the questions all the time.’

‘Senior associate Helena Vastardis is responsive, knowledgeable and gets to the heart of the issue to provide accurate, unembellished advice and opinion.’

Principaux clients

Aegon Asset Management UK plc

Quilter Investors Limited

Columbia Threadneedle Real Estate Partners

Evenlode Investment Management Limited

BMO Global Asset Management / Columbia Threadneedle


Towers Watson Limited (part of Willis Towers Watson


Various – SFDR

Ocean 14 Capital

Aviva Group

Aviva Investors

Atomos Investment Limited

Tristan Capital Partners

Paragon Bank PLC

Marie Curie

American Express Services Europe Limited


















Bud Financial





Clear Junction






Principaux dossiers

  • Advised Aviva Group on the outsourcing of asset servicing for £230bn assets under management (AUM) across the Aviva liquid funds in the UK, Luxembourg and Ireland, which underpin the Group’s life and pensions products.
  • Advised BMO/CTI on the implementation of SFDR across its entire European fund ranges, including its voluntary adherence in the UK and the impact of the incoming UK rules on its range.
  • Advised Evenlode on the review and development of its new ESG Policy applicable to a range of UK and Irish funds, taking into consideration the jurisdictional differences in expectations and regulation in force to ensure that the ESG Policy can work across the Evenlode’s product range.

DLA Piper

DLA Piper has demonstrable experience in domestic and multi-jurisdictional mandates concerning regulatory investigations, transactions and fintech, with a burgeoning workload including financial crime issues, banking group restructurings and the establishment of new banks. Michael McKee, who has experience in MiFID II and securities regulation, PSD 2 and payments regulation, as well as corporate governance for financial institutions, jointly leads the team alongside Tony Katz, who counts global banks and fintech companies among his key roster of clients. Praised for his ‘outstanding and unique experience advising European banks on UK law and regulation’, Antony Hainsworth previously led the UK financial services regulation group at Société Générale and joined the firm in July 2022, shortly followed by the arrival of ‘pragmaticKaren Butler from Reed Smith LLP. Based in Edinburgh, ‘exceptionally knowledgeable and skilfulStuart Murdoch is another key contact in the team.

Responsables de la pratique:

Michael McKee; Tony Katz

Autres avocats clés:

Antony Hainsworth; Karen Butler; Stuart Murdoch; Puesan Lam

Les références

‘Stuart Murdoch is not only an exceptionally knowledgeable and skilful lawyer, he is also fantastic to deal with. He is personable, responsive, agile and imaginative.’

‘A very pragmatic approach, not fixated on “number of turns” or “call quota” but focussed on providing an offering to work with clients to create the product required.’

‘Antony Hainsworth has been a pleasure to work with. Practical, knowledgeable and a very calm.’

Principaux clients

Perpetual Limited

Bank Leumi UK PLC and Leumi UK Group Limited

Bank J Safra Sarasin

Principaux dossiers

  • Advising Perpetual in connection with its proposed acquisition of Pendal Group Limited.
  • Advising Bank Leumi UK on the reorganisation of its UK banking business, in particular the deregulation of its UK banking business, whilst retaining its property and hotel finance businesses.
  • Supporting Bank J Safra Sarasin with its entry into the UK regulated mortgage space.

Herbert Smith Freehills LLP

Herbert Smith Freehills LLP has demonstrable expertise in the digital assets arena, acting for crypto exchanges and fintech entities on navigating regulatory boundaries and changes, with additional capability advising investment banks and wholescale markets businesses, asset managers and insurers. Practice head Clive Cunningham is noted for his experience in banking, securities and asset management mandates. Marina Reason maintains a broad practice, covering investment banking, retail banking and asset management, in addition to handling Brexit, MiFID II and ESG-related matters, among others. Reason and Kelesi Blundell, who joined the practice from A&O Shearman in November 2022, are both praised for their ‘tremendous expertise’.

Responsables de la pratique:

Clive Cunningham

Autres avocats clés:

Marina Reason; Kelesi Blundell; Nish Dissanayake; Jed Wilsher

Les références

‘The team is absolutely excellent. Marina Reason and Kelesi Blundell have tremendous expertise, but also excel at communicating complex legal topics in a clear and succinct way. They also have a very diverse team and a wider range of expertise.’

‘The team is very commercial, seeking to understand our needs and advising in a supportive manner. They are great at getting on a call without delay and working through the issues.’

‘Marina Reason and Kelesi Blundell are incredible to work with. They have provided incredible expertise on all legal issues related to DLT, FMI’s, digital regulation, digital sandboxes, MiCA and digital assets.’

Principaux clients

ClearBank Limited

Tandem Money Limited / Tandem Bank Limited

TSB Bank plc

TP ICAP Group Services Limited

iSwap Euro BV

HSBC private bank

The Ardonagh Group



Baillie Gifford

Deutsche Bank



Columbia Threadneedle Management Limited

Principaux dossiers

  • Advising ClearBank on all regulatory aspects of its recent equity raise, led by Apax Digital, together with associated group restructuring (including regulatory capital compliance and PRA engagement.
  • Advising clients on innovative digital assets and technology-related projects, including how to navigate the regulatory boundaries and anticipate upcoming regulatory changes.
  • Advising numerous banks and other financial institutions on regulatory requirements, such as regulatory capital, ring-fencing and suitability frameworks.

Hogan Lovells International LLP

Commended for its ‘incredible depth and breadth of knowledge’, Hogan Lovells International LLP counts global banks, asset managers and financial market infrastructure providers, in addition to fintech start-ups, among its key roster of clients. Practice leader Jonathan Chertkow has demonstrable experience in the payments and consumer finance sectors, while Rachel Kent ‘has outstanding insight into government policy and regulatory change’ and Michael Thomas is praised for his ‘unparalleled knowledge’ in market infrastructure and governance matters. Other key contacts in the team include ‘trusted adviserJames Black and ‘incredibly valuableRita Hunter.

Responsables de la pratique:

Jonathan Chertkow

Autres avocats clés:

Rachel Kent; Michael Thomas; James Black; Rita Hunter; Roger Tym; Charlie Middleton

Les références

‘Rachel Kent has outstanding insight into government policy and regulatory change.’

‘Jonathan Chertkow has been our go-to support for day-to-day queries on payments and consumer credit. He and his team bring a wealth of experience and offer practical and commercial advice that helps us to create innovative solutions to satisfy the reg requirements while maintaining our customers’ user experience.’

‘Michael Thomas is our go-to for financial services regulatory advice. He has unparalleled knowledge.’

Principaux clients

ALD Automotive






BNP Paribas

BNY Mellon

Checkout Ltd


Clear Junction


Co-operative Bank

Credit Karma

Credit Kudos







Generation Home


Hampden and Co

Hampshire Trust Bank


Intriva Capital




Lending works

Livemore Capital

Lloyds Banking Group

Masthaven Bank Limited




Open Banking Ltd












The Depository Trust & Clearing Corporation

The Just Group

The London Metal Exchange / LME Clear

The Montreal Exchange



TSB Bank


UK Finance





Principaux dossiers

  • Advised a UK bank on the sale of its mortgage book to another UK bank in June 2022.

Kirkland & Ellis International LLP

The ‘well-resourced’ team at Kirkland & Ellis International LLP boasts a stellar client roster of private equity firms, in addition to alternative investment funds, fund managers and investment advisers. Lisa Cawley leads the practice and has demonstrable experience advising on the regulatory aspects of high-value transactions, compliance matters and assisting private investment funds on regulatory issues. Julia Dixon handles mandates concerning authorisation, licensing and permission requirements, as well as compliance with UK and EU regulation, while Prem Mohan advises on regulatory issues relating to the structuring and formation of private investment funds across a various asset classes.

Responsables de la pratique:

Lisa Cawley

Autres avocats clés:

Julia Dixon; Prem Mohan; Adam Skinner; Deirdre Haugh

Les références

‘The Kirkland & Ellis team stand out for their impeccable customer service. There is no ask that’s too little or too big, and they pre-empt issues before they arise to provide a streamlined and effective service and support.’

‘Well-resourced, expertise across an extensive range of topics and great market knowledge.’

‘Adam Skinner is responsive, strong technically and very easy to work with.’

Principaux clients


Principaux dossiers

  • Represented EQT AB on its acquisition of Baring Private Equity Asia.

Reed Smith LLP

The financial regulatory group at Reed Smith LLP services a broad range of clients, from investment banks, retail financial service providers and commodity derivatives traders to insurance intermediaries, fund platforms and asset managers, on domestic and cross-border mandates. Robert Falkner jointly leads the team alongside Chris Borg, who is noted for his expertise in futures and options and commodity trading matters, while David Calligan has considerable experience advising on the regulatory aspects of M&A transactions in the financial services sector. Karen Butler and Tim Dolan left the firm in September 2022 and January 2023 respectively, while Romin Dabir joined from Kirkland & Ellis International LLP in November 2022.

Responsables de la pratique:

Chris Borg; Robert Falkner

Autres avocats clés:

David Calligan; Claude Brown; Brett Hillis; Romin Dabir

Baker McKenzie

The financial services and regulatory team at Baker McKenzie, which is well-placed to leverage the firm’s international footprint, advises on matters concerning asset management, market infrastructure, M&A-related transactions, derivatives and ESG, among others. Practice leader Mark Simpson stands out for his expertise in the fintech sector, while ‘super lawyerCaitlin McErlane, who is praised as ‘formidably intelligent’, acts for clients on regulatory implementation projects, day-to-day compliance issues and related transactional mandates.

Responsables de la pratique:

Mark Simpson

Autres avocats clés:

Caitlyn McErlane

Les références

‘The team has broad knowledge of EU and UK requirements and a good understanding of our business which means they give targeted advice.’

‘Caitlin McErlane is a super lawyer, formidably intelligent, and a great resource for all manner of regulatory questions.’

Principaux clients


Metlife Investment Management


Two Sigma

NinetyOne Plc

Flatex DeGiro

Lombard Insurance

Deposit Solutions

Dechert LLP

Led by Gus Black, the team at Dechert LLP has demonstrable experience advising asset managers on buy-side financial regulatory matters and is well-placed to leverage the firm’s US-law capabilities to handle transatlantic issues. Karen Anderberg advises asset managers on all aspects of US financial services regulatory issues and Katie Carter focuses on the EU and UK regulatory disclosure regimes relating to green financial products, while Colin Sharpsmith joined from Kirkland & Ellis International LLP in September 2022. Other key contacts in the team include Richard Frase and Karen Stretch.

Responsables de la pratique:

Gus Black

Autres avocats clés:

Richard Frase; Karen Anderberg; Karen Stretch; Katie Carter; Colin Sharpsmith; Simon Wright

Les références

‘The Dechert team are responsive and thoughtful, and willing to go the extra mile whenever needed.’

‘Simon Wright ably helped us navigate challenging regulatory processes and been available whenever needed.’

‘Friendly, approachable team with first-rate knowledge.’


Dentons is noted for its expertise in the fintech arena, advising global banks, multinational payment services providers and large-scale retailers, with demonstrable experience in handling the financial regulatory aspects of cross-border banking transactions. Greg McEneny leads the team and focuses on the regulation of derivatives, securities and markets infrastructure. Counsel Adrian Yeo, who joined from HM Treasury in February 2023, is another key contact in the group.

Responsables de la pratique:

Greg McEneny

Autres avocats clés:

Adrian Yeo

Principaux clients


Banco Santander S.A. London Branch

Multi Service Technology Solutions, Inc doing business as TreviPay

Mitsubishi Finance Corp.

PayPal, Inc

Fox Williams LLP

Praised for its ‘intelligent and practical approach’, Fox Williams LLP’s diverse client roster includes asset managers, banks, investment firms, insurers, credit providers and electronic money issuers, among others. Chris Finney leads the team and advises on the full spectrum of regulatory issues, with a flourishing fintech practice. Peter Finch is ‘instrumental in providing advice’ on matters concerning payments, consumer credit and mortgages, and Mardi MacGregor was promoted to partner in May 2023.

Responsables de la pratique:

Chris Finney

Autres avocats clés:

Peter Finch; Mardi MacGregor

Les références

‘Experience in dealing with regulators and a good balance between technicity and pragmatism.’

‘Chris Finney was able to understand our model and tailor the advice well.’

‘Fox Williams have an intelligent and practical approach.’

Principaux clients

FM Global Insurance

International Correspondence Schools

Allica Bank Limited

Santander Financial Services

Griffin Financial Technology


Principaux dossiers

  • Advised FM Global Insurance on its preparations for compliance with ESG-related regulatory obligations.
  • Advised Allica Bank on a £100m equity raise, providing regulatory advice as part of the transaction on both the PRA Capital requirements and Change of Control process.
  • Advised (i) Santander Financial Services on its provision of wholesale banking services to other large financial institutions, insurance companies and brokerages; and (ii) Santander Financial Services’ international business arm to enable it to launch a BTL service aimed at UK ex-pats.

Macfarlanes LLP

Housing a ‘responsive team with excellent partners and associates’, Macfarlanes LLP is noted for its expertise in the asset management arena, with demonstrable capability in handling matters concerning wealth management and platform and discretionary management, in addition to ESG affairs. Praised as ‘knowledgeable and approachable’, Alexandra Green jointly leads the practice alongside Michael Sholem, who joined the firm from Cadwalader, Wickersham & Taft LLP in October 2022.

Responsables de la pratique:

Alexandra Green; Michael Sholem

Autres avocats clés:

Tim Plews; Tiffany Cox

Les références

‘Alexandra Green provides clear and informed advice.’

‘A very responsive team with excellent partners and associates.’

‘Alexandra Green is knowledgeable, approachable, and gives timely, practical advice. I would not go to anyone else.’

Principaux clients

Jupiter Asset Management

Legal & General

Hayfin Capital Management

Arcmont Asset Management

JO Hambro

Valderrama Limited


BMS Group

Principaux dossiers

  • Advising Arcmont Asset management on its sale to Nurveen.
  • Advising BMS Group on its sale to its existing shareholders and its agreements with Eurazeo for an additional investment.
  • Advising Valderrama Limited on the proposal to acquire the entire issued, and to be issued, share capital of Dignity Plc.

Mayer Brown International LLP

Mayer Brown International LLP is well-placed to leverage its geographical footprint across Europe, Asia, the US and Brazil to act for global banks, insurance companies, asset managers and fintech entities on a range of domestic and cross-border mandates. Chris Chapman leads the team and handles non-contentious regulatory issues under UK and EU law, including matters involving regulatory and law enforcement authorities. Musonda Kapotwe, who advises on the financial services regulatory aspects of banking, capital markets and derivative transactions, is another key contact in the group.

Responsables de la pratique:

Chris Chapman

Autres avocats clés:

Musonda Kapotwe

Les références

‘Musonda Kapotwe and the team have a broad range of expertise. The team present us with a range of possible solutions but clearly suggest a single solution which is bespoke for our business needs. We have been impressed by the firm’s resourcing and cost budgeting.’

‘Excellent, focused and practical knowledge on niche and complex areas of law.’

‘Musonda Kapotwe has been excellent at explaining complex issues in an accessible way. She has a handle on the issues, the material, and her team’s contributions to it.’

Paul Hastings LLP

Paul Hastings LLP handles a broad range of matters concerning SFDR, AIFMD, IFPR, taxonomy regulation and MiFID II compliance, in addition ESG initiatives, fund structuring and the regulatory aspects of domestic and cross-border M&A transactions. Arun Srivastava leads the team and focuses on the regulatory obligations in the fintech arena, as well as advising on cross-border product and services offerings across the EU. Clients praise Srivastava and Nina Moffatt for their ‘encyclopedic knowledge’ and ‘comprehensive understanding of financial services and regulatory compliance’.

Responsables de la pratique:

Arun Srivastava

Autres avocats clés:

Nina Moffatt

Les références

‘PH stands out for its unique combination of expertise and client-focused approach. The London team have unparalleled experience in financial services compliance and regulation, covering both the UK and abroad. The team members possess in-depth knowledge of the complex legal and regulatory frameworks that govern financial services.’

‘Arun Srivastava and Nina Moffatt possess a deep and comprehensive understanding of financial services and regulatory compliance. Their encyclopedic knowledge of the complex legal and regulatory landscape allows them to provide us with accurate, up-to-date, and practical advice that addresses both our unique legal requirements and commercial considerations.’

‘A highly diverse team with specialist knowledge and experience.’

Principaux clients

American Express

Bangkok Bank


JP Morgan

Waverton Investment Management

Principaux dossiers

  • Advised UK, EU and non-EEA asset and fund managers on the European Union’s Sustainable Finance Disclosure Regulation (SFDR) and Taxonomy Regulation.
  • Advised UK and non-EEA (mainly US) fund managers on the new pre-marketing and marketing regimes under the AIFMD and the new cross-border fund distribution directive and regulation.

Pinsent Masons LLP

Praised for its ‘breadth of expertise and commercial approach’, Pinsent Masons LLP has experience advising on matters concerning retail products, from investment funds and insurance to consumer finance and fintech. Key clients include high-street banks, asset managers, insurers and wealth managers, in addition to start-ups and established corporates. David Heffron leads the team and Elizabeth Budd has a strong focus in the investment management arena, while Andrew Barber spearheads the consumer finance and payments group, and is praised as a ‘truly exceptional financial services lawyer’.

Responsables de la pratique:

Colin Read

Autres avocats clés:

Elizabeth Budd; Andrew Barber

Les références

‘Breadth of expertise and commercial approach.’

‘Client and commercially focused, very knowledgeable and professional.’

‘Andrew Barber has great client focus and service. Very responsive.’

Principaux clients

Standard Life

Lloyds Banking Group

Aegon UK PLC

Scottish Widows

Aberdeen Standard Investments

Railpen Investments


Royal London Group

Legal & General

Post Office Limited


Allied Irish Banks

UK Finance Limited

Otovo Limited/European Distributed Energy Assets Limited

Pay.UK Limited

GS Fintech Limited

Principaux dossiers

  • Engaged by GS Fintech, a wholly owned subsidiary of GS Technologies Limited, to advise on its stablecoin application for admission to the UK Financial Conduct Authority’s Regulatory Sandbox.
  • Advised Allied Irish Banks plc on a virtual Power Purchase Agreement (vPPA) with NTR plc to buy energy from two new solar farms which will provide 80% of AIB’s energy requirements.

Sidley Austin LLP

The ‘responsive and commercially aware’ team at Sidley Austin LLP covers a broad scope of mandates concerning investment funds, payment services and UK/EU securitisation regulation, in addition to anti-money laundering and financial sanctions compliance programmes. Praised for his ‘deep knowledge of payments regulation’, John Casanova leads the practice alongside ‘client-focusedLeonard Ng, who has demonstrable expertise in regulation relating to Brexit, crypto-assets, sustainable finance and ESG. Rachpal Thind advises on the regulatory aspects of structured finance transactions, while Max Savoie ‘possesses excellent technical knowledge of payments regulation and delivers advice in a pragmatic and commercially sensitive manner’.

Responsables de la pratique:

John Casanova; Leonard Ng

Autres avocats clés:

Rachpal Thind; Max Savoie

Les références

‘Great team of payments lawyers. They are very responsive and commercially aware.’

‘Leonard Ng has deep financial services expertise, delivers practical solutions, client-focused, constantly looking out for clients and provides regular updates on developments.’

‘Max Savoie possesses excellent technical knowledge of payments regulation and delivers advice in a pragmatic and commercially sensitive manner. He is one of the best payments practitioners in the market.’

Principaux clients

Galvanize Climate Solutions LLC

William Blair International Limited

Athora Holding Ltd.

Clearlake Capital Group LP

Citadel Group

Deutsche Bank (New York)

King Street Capital

D.E. Shaw Group

B-Flexion Group

Managed Funds Association

White & Case LLP

White & Case LLP handles a broad range of mandates, from funds regulation, banking M&A, capital markets regulation, SFDR and anti-money laundering to fintech and payment services, ESG and market disclosure. Praised as an ‘excellent strategic and lateral thinker, combined with an ability to cut to the core issues and key risks facing clients’, practice leader Jonathan Rogers focuses on banking regulatory issues, technology transaction projects and fund structurings, as well as fintech and payment services matters. Other key contacts in the group include Kristen DiLemmo and counsel Laura Kitchen.

Responsables de la pratique:

Jonathan Rogers

Autres avocats clés:

Kristen DiLemmo; Laura Kitchen

Les références

‘Impressive coverage over all areas of financial services. Very responsive and hands on assistance and support for clients.’

‘Jonathan Rogers is an excellent strategic and lateral thinker, combined with an ability to cut to the core issues and key risks facing clients. Hands-on approach combined with gravitas and a clear, straightforward communication style means that the advice provided is incisive, pragmatic and solutions focused.’

Principaux clients

Crédit Agricole

Itau BBA International

Saudi Arabian Monetary Authority (SAMA)

Oaktree Capital






The Liquidity and Sustainability Facility (“LSF”)

Principaux dossiers

  • Advising Crédit Agricole on cross-border regulatory matters.
  • Advised Itau Unibanco on a $500m capital injection into its UK subsidiary bank Itau BBA International plc.
  • Advising the Saudi Central Bank (SAMA) on regulatory matters.


Praised for its ‘stellar all-round service’, Akin advises investment managers on regulatory commitments and requirements, including the full spectrum of related UK and EU financial services legislation, with demonstrable experience in handling ESG initiatives. Practice leader Ezra Zahabi has ‘impeccable knowledge’ in matters concerning regulatory compliance, fund structuring, market abuse and market conduct, in addition to structuring investment management and advisory platforms.

Responsables de la pratique:

Ezra Zahabi; Helen Marshall

Autres avocats clés:

Suley Siddiqui; Philip Woodruff

Les références

‘The team provided stellar all-round service; responsive, commercial and technically excellent. They have an impressive breadth of practice and are simply fantastic for explaining very complicated things very clearly.’

‘Ezra Zahabi is very bright and knowledgeable, helpful and solution-oriented but does not shy away from making us aware of risks. She has impeccable judgment and I trust her thoroughly.’

‘The Akin Gump regulatory team comprises a personable yet technically-strong group of lawyers, who demonstrate a meaningful commitment to forging lasting advisory client partnerships. They collaborate very well and on a seamless basis, equally amongst other practice groups within their firm, with other law firms as well as in-house client stakeholders.’

Principaux clients

British International Investment (formerly CDC)

Elliott Advisors

Principaux dossiers

  • Advising British International Investment on the creation of a co-branded ESG SFDR Toolkit for the investment managers with whom BII invests.
  • Advising Elliott Advisors on all aspects of UK/EU regulatory compliance including general FCA compliance, transaction-related compliance, SMCR and AIFMD.

Charles Russell Speechlys LLP

Charles Russell Speechlys LLP has a ‘huge depth of expertise’ advising on matters concerning private banking, wealth management and private funds, in addition to crypto assets, equity capital markets and broking, trading and markets mandates. William Garner leads the team and advises on the establishment, operation and regulation of trading platforms, including MFTs and OFTS, as well as proprietary trading across all asset classes. Other key contacts in the group include Victoria Younghusband and Charlie Ring.

Responsables de la pratique:

William Garner

Autres avocats clés:

Victoria Younghusband; Charlie Ring; Edyta Brozyniak

Les références

‘Outstanding range of financial institutions form part of CRS’s client base, which has given the FS practice a huge depth of expertise.’

‘William Garner is a rainmaker par excellence.’

‘I was very impressed by Charlie Ring’s depth of knowledge and experience, which came across very clearly. He was able to distil everything down to the key issues, explaining concisely where the other side was coming from and what actually mattered.’

Principaux clients

EFG Private Bank

FairXchange Limited

FIL Investment Services (UK) Limited


C Hoare & Co.

LGT Vestra



Credit Suisse

Waverton Investment Management

Principaux dossiers

  • Advised the managers of Sepura Limited on Sepura’s sale to London-based private equity group Epiris in July 2022.
  • Acting for London and Capital Limited (L&C) on a sale of a majority of its shares to private equity firm Lovell Minnick Partners (LMP).
  • Advised the shareholders of Metis Wealth Limited and Metis Asset Management Limited on the sale of those companies to Hurst Point Group (which is supported by funds managed by The Carlyle Group).


Led by Duncan Black, the team at Fieldfisher has demonstrable experience in banking regulation, fintech, anti-money laundering, retail product regulation and consumer finance, in addition to the regulation of derivatives and financial markets infrastructure. Other key contacts in the group include directors Simon Lafferty, who advises on prudential regulation, and Steven Burrows, who focuses on securities and derivatives trading and financial markets infrastructure.

Responsables de la pratique:

Duncan Black

Autres avocats clés:

Simon Lafferty; Steven Burrows

Les références

‘The team has broad and in-depth knowledge of all areas of financial regulation.’

‘Simon Lafferty and Steven Burrows have excellent knowledge of financial products and structures, enabling them to apply complex areas of financial regulatory law to the specific transaction in question.’

Principaux clients

Triland Metals Limited

Sumitomo Mitsui Trust International Limited

Currencies Direct Financial Markets Limited / Currencies Direct Ltd

Aros Kapital Ltd

Fried, Frank, Harris, Shriver & Jacobson LLP

Fried, Frank, Harris, Shriver & Jacobson LLP handles a broad range of regulatory and compliance matters, including financial promotions, senior manager arrangements and FCA authorisations, with notable expertise advising global fund managers on European private funds regulation. ‘Highly valued partnerGregg Beechey leads the team and focuses on mandates concerning AIFMD, in addition to MAR, MiFID II and EMIR. Other key contacts in the group include special counsel Zac Mellor-Clark and associate Nishkaam Paul.

Responsables de la pratique:

Gregg Beechey

Autres avocats clés:

Zac Mellor-Clark; Nishkaam Paul

Les références

‘The team of superstars led by Gregg Beechey can only be highly recommended. They provide solid, commercially-oriented yet legally substantiated advice.’

‘Zac Mellor-Clark is an absolute star in his field. He is always available to offer highly practical advice, strong technical insights, transaction support and market colour.’

‘Nishkaam Paul is a rising star. Clients appreciate his amiable personality, strong work ethic and impressive technical knowledge.’

Principaux clients

Accel Partners

Arcmont Asset Management

Aztec Financial Services (Jersey Limited)

Bain Capital

Balderton Capital (UK) LLP


BlueBay Asset Management

Cairngorm Capital

Cambridge Innovation Capital

Copenhagen Infrastructure Partners

Corten Capital

Crescent Capital Europe

CVC Credit Partners

Danske Private Equity


FSN Capital

George Capital

Goldman Sachs

Greencoat Capital

HSBC Asset Management

Intermediate Capital Group (ICG)

iCON Infrastructure

Investec Bank PLC

Kennet Partners

Mid Europa Partners

Morgan Stanley

Neuberger Berman

Norvestor Equity

Palatine Private Equity

Partners Group UK

Pioneer Point Partners

Platina Partners

StepStone Group

Vitol SA

Principaux dossiers

  • Representing BlackRock on a wide spectrum of fund mandates across the alternatives market, including private equity/buyout, credit, real estate, infrastructure and ESG/social impact funds.
  • Advising CVC Credit Partners, the dedicated credit arm of CVC, which invests in companies across the sub-investment grade corporate markets in Europe and North America.
  • Advised Arcmont Asset Management (Arcmont), a European private debt manager since inception, and remains designated fund counsel following the team’s separation from BlueBay Asset Management.

Gibson, Dunn & Crutcher

Commended for its ‘deep technical expertise in financial services regulation’, Gibson, Dunn & Crutcher advises on the regulatory aspects of M&A and private equity transactions, equity and debt capital markets matters, as well as outsourcing deals. Michelle Kirschner leads the team and focuses on market abuse issues, conduct of business and regulatory change management, including MiFID II, MAR and SM&CR, in addition to Brexit-related mandates.

Responsables de la pratique:

Michelle Kirschner

Autres avocats clés:

Matthew Nunan

Les références

‘The Gibson Dunn team applies their deep technical expertise in financial services regulation to complex and novel situations in a practical manner. To do this, they collaborate well across practices and jurisdictions, particularly the US.’

‘Michelle Kirschner applies her expertise and judgement to provide practical advice in highly complex matters at the forefront of developing law and regulation across borders.’

Principaux clients

Credit Suisse

Goldman Sachs





Marsh McLennan

Morgan Stanley



K&L Gates LLP

K&L Gates LLP advises on a broad range of matters concerning ESG, AIFMD, MiFID II, EMIR, payment services, fintech and cryptocurrency, with demonstrable capability in handling pan-European and transatlantic mandates. Michelle Moran spearheads the London-based practice and advises on the establishment, authorisation and management of retail and institutional investment funds in the UK, Ireland, Luxembourg and Jersey. Other key contacts in the group include Philip Morgan and Andrew Massey.

Responsables de la pratique:

Michelle Moran; Michael Caccese

Autres avocats clés:

Philip Morgan; Andrew Massey

Les références

‘K&L Gates cover the financial services regulatory landscape with professionals in the UK and Europe.’

‘The entire team provides real-time and practical advice on financial market regulation and enforcement matters.’

‘Andrew Massey is always ready to provide thorough, comprehensive advice.’

Principaux clients

Dimensional Fund Advisors

Federated Hermes

First Sentier Investors

Manulife Investment Management (Europe)


Principaux dossiers

  • Representing Dimensional Fund Advisors, a global investment manager with approximately US$637bn in assets under management.
  • Representing Federated Hermes a global investment manager operating in Europe through regulated entities in the UK and Ireland.
  • Representing First Sentier Investors (formerly Colonial First State) a global asset management business which manages assets of US$180bn.


Katten is well-placed to leverage its transatlantic footprint to act for exchanges, clearing houses, broker-dealers, proprietary trading companies, investment funds and asset managers on a broad range of financial service regulatory mandates. Carolyn Jackson ‘is an excellent and knowledgeable lawyer in the field of derivatives regulation’, in addition to advising on matters concerning the Dodd-Frank Act and EMIR. Other key contacts in the group include Nathaniel Lalone and Neil Robson.

Autres avocats clés:

Carolyn Jackson; Nathaniel Lalone; Neil Robson

Les références

‘Carolyn Jackson is one of the most experienced, pragmatic and creative lawyers I’ve ever worked with. Commercially minded.’

‘Pragmatic, commercial and deep knowledge. Hands-on when necessary, hands-off when possible. It feels like having them on your own team.’

‘Carolyn Jackson is an excellent and knowledgeable lawyer in the field of derivatives regulation, and she brings the ability to provide both US and European advice which is unique and really useful to us as an international business.’

Orrick, Herrington & Sutcliffe (UK) LLP

The ‘collaborative’ team at Orrick, Herrington & Sutcliffe (UK) LLP stands out for its transatlantic payments offering, with additional experience advising on the financial services regulatory aspects of IPOs, asset purchases and sale purchases. Following the retirement of Jacqui Hatfield, Dan Jones, who joined from Baker Botts (UK) LLP in September 2022, leads the team and focuses on large-scale payments and fintech projects. Managing associate Rebecca James is another key contact in the team.

Responsables de la pratique:

Dan Jones

Autres avocats clés:

Rebecca James; Guy Stevenson

Les références

‘The Orrick team works to know our business and to think creatively to offer advice that furthers our business goals. It is a collaborative relationship that is aligned with the business’s mission.’

‘They have a detailed practical knowledge and anticipate well in advance the opinion to be taken by regulators on the products and services and what kind of questions can be expected.’

‘Guy Stevenson provided a pragmatic approach and coherent yet eloquent solution for our specific request.’

Principaux clients

Adiona Technologies Limited

BlueSnap Inc


Demonstrable Labs

Floww (Fomtech Limited0

Glorious Digital Limited (client since February 2022)

Griffin Financial Technology Limited

Jacobi Asset Management Limited

Koia Global Limited (client since 2021)

Ledgercomm Ltd.


MFS Africa





PNC Bank



Rally Ventures Management, LLC


Terra Payments Services (TerraPay)


True Potential



Principaux dossiers

  • Acting for Wirex on both payments and crypto regulations, such as advising on the application of UK payments law to its innovative new payment and lending products involving crypto assets.
  • Advised Ziglu as lead regulatory counsel on the application UK payment regulations on its business structure, capital requirements, and financial crime controls.
  • Advising Griffin on regulatory issues connected with establishing a UK bank.


Leveraging its widely-recognised expertise in the insurance arena, RPC frequently advises on the interpretation and implication of regulatory reform, while continuing to bolster its payments, consumer credit and general financial services regulatory practice. Counting insurance companies and brokers among his key roster of clients, team leader Matthew Griffith is also noted for his expertise in post-Brexit-related mandates. Of counsel Whitney Simpson is another key contact in the group.

Responsables de la pratique:

Matthew Griffith

Autres avocats clés:

Whitney Simpson; Jonathan Charwat

Les références

‘The team are extremely professional, knowledgeable, and I have every confidence in them, they work well together as a team.’

‘Jonathan Charwat is an excellent representative of RPC. Jonathan has helped us with a variety of topics this year and can always be relied upon to be professional and help us to find an appropriate solution.’

Principaux clients

LINK Scheme

Frasers Group




Inigo Managing Agent





Principaux dossiers

  • Acting as sole legal adviser to LINK Scheme.
  • Provided general regulatory advice throughout the year to Inigo Managing Agent Limited, a new managing agent at Lloyd’s of London, including broker remuneration advice and assistance and advice in respect of Inigo’s insurance distribution agreements.
  • Acting for Markel in carrying out reviews of over 60 distribution agreements and over 120 insurance policies.

Taylor Wessing LLP

The financial services and regulation team at Taylor Wessing LLP has ‘extensive knowledge’ in the fintech arena, advising on a broad range of matters concerning payment services, consumer lending, wealth management and banking. Praised as ‘approachable and great in communications’, Charlotte Hill leads the team and acts for banks, payment service providers, investment and asset managers, as well as brokers.

Responsables de la pratique:

Charlotte Hill

Autres avocats clés:

Clare Reynolds; Katie Fry-Paul

Les références

‘The team at Taylor Wessing are incredibly helpful with our billing approach, request for secondees and collaboration. They are an extension of our in-house team.’

‘Clare Reynolds remains our “go-to” lawyer in financial services regulatory work and continues to build a team of excellent lawyers.’

‘The team has extensive knowledge of financial regulation in the UK. The team is service-minded.’

Burges Salmon LLP

Burges Salmon LLP has demonstrable experience in the fintech and insurance sectors, in addition to advising on employment-related financial services regulation issues, unregulated funds and regulated lending matters. Tom Dunn leads the practice and advises on the structuring, establishment, operation and winding up of UK regulated investment funds. Martin Cook, who spearheads the firm’s fintech offering, is another key contact in the group.

Responsables de la pratique:

Tom Dunn

Autres avocats clés:

Martin Cook; Anna Davis; James Green

Les références

‘Tom Dunn and Anna Davis have in-depth knowledge of the FCA regulatory regime, and are always on top of current themes and regulatory developments. They are able to share market insight, given their client base, and affiliations with industry bodies.’

‘The team is timely in their responses, terms of engagement are clear including billing rates and fixed fee work. The team lead appoints the right support in terms of knowledge and advice.’

‘Anna Davis is professional, provides timely responses and quickly understands the business issues.’

Principaux clients

FundRock Partners Limited

Mattioli Woods

Royal London

St. James’s Place

The Embark Group

The Ecclesiastical Group

The Financial Conduct Authority

The Financial Services Compensation Scheme

The Mainspring Group

The Marlborough Group

The Saltus Group

The Shepherds Friendly Society

The Octopus Group

The Wales Pension Partnership

Principaux dossiers

  • Advised the Embark Group, one of the fastest growing digital retirement and savings businesses in the UK, on its conditional sale to Lloyds Banking Group for £390 million.
  • Advised the Financial Conduct Authority (FCA) on the introduction of the new Overseas Funds Regime, which was announced by HMT to enable non-UK funds that have equivalent regulatory protections to a UK UCITS to be marketed to retail investors in the UK.
  • Advised St. James’s Place (SJP), a UK wealth management businesses on the launch of four new fund-of-funds and on its preparation to comply with the Uncleared Margin Rules.

Debevoise & Plimpton LLP

Clare Swirski, who acts for insurers and other financial institutions on a broad range of transactional and regulatory mandates, jointly leads the team at Debevoise & Plimpton LLP alongside Patricia Volhard, who splits her time between the firm’s London and Frankfurt offices and focuses on EU regulatory issues. Key clients include UK, EU and US-based fund managers, investment managers and insurers.

Responsables de la pratique:

Patricia Volhard; Clare Swirski

Autres avocats clés:

John Young

Les références

‘Patricia Volhard is excellent, commercial, committed, helpful and extremely knowledgeable.’

‘John Young is very good.’

‘The regulatory team integrates seamlessly with our funds team, which is very helpful.’

Principaux clients

American International Group

Covéa Mutual Insurance Group

HarbourVest Partners

Exponent Private Equity

LCM Partners

Principaux dossiers

  • Advising AIG in the separation of its life and retirement business from its P&C business and on the all cash sale of a 9.9% equity stake in its life and retirement business to Blackstone and the related strategic asset management relationship for a portion of the life and retirement investment portfolio.
  • Providing international transactional and regulatory advice to the Covéa group in its US$9bn acquisition of PartnerRe (following acting in the same capacity in the same transaction terminated in 2020).
  • Advising on numerous aspects of EU Sustainable Finance Disclosure Regulation (SFDR) in the context of various HarbourVest fund strategies.

Deloitte Legal

The financial regulation team at Deloitte Legal counts banks, broker-dealers, fintech and cryptocurrency businesses, in addition to e-money issuers and fund managers, among its key roster of clients. Following the departure of Jake Ghanty to Wedlake Bell LLP in March 2023, Clare Jenkinson leads the team and has experience in regulatory change projects, as well as advising on matters concerning digital assets.

Responsables de la pratique:

Clare Jenkinson

Principaux clients Ltd


Genpact WM UK Ltd

Parques Reunidos

Chip Financial Ltd

Assure Hedge UK Ltd

Fleetcor Technologies Inc

Mosaic Health Ltd

Goldmoney Vault Ltd

Farrer & Co

The financial services team at Farrer & Co handles a range of matters concerning mortgage conduct of business rules, wealth management and private banking, asset management, financial promotion and governance. Grania Baird leads the practice and has been kept busy with projects relating to Consumer Duty, while Andy Peterkin is ‘knowledgeable and commercial in his advice’ on the regulatory aspects of corporate transactions, fintech and crypto assets regulation.

Responsables de la pratique:

Grania Baird

Autres avocats clés:

Andy Peterkin

Les références

‘Very good regulatory knowledge and a helpful approach to problem-solving.’

‘Andy Peterkin has been knowledgeable and commercial in his advice.’

Principaux clients

Royal Bank of Canada

Nedbank Private Wealth

Canaccord Genuity Wealth Limited

SG Kleinwort Hambros

Handelsbanken Wealth Management and Handelsbanken plc

James Hambro & Partners LLP

Royal Bank of Canada

Nedbank Private Wealth

Principaux dossiers

  • Acting for a wealth manager in relation to their Consumer Duty project, including advice on the topic, implementation plan and particular work on redrafting their Terms of Business and other client facing documentation to ensure compliance with the consumer understanding outcome of the Consumer Duty.
  • Advised Canaccord Genuity Wealth Management (CGWM) on its £54m acquisition of the private client investment management business of Edinburgh based Adam & Co, acquired from Royal Bank of Scotland PLC (RBS).
  • Advised Canaccord Genuity Wealth Group Holdings (Jersey) Limited (CGWGHJL) on its £164m acquisition of the entire issued share capital of Punter Southall Wealth Limited, acquired from Psigma Wealth Limited (Psigma).

Gowling WLG

Praised for its ‘helpful, targeted advice and pragmatic approach’, key contacts in Gowling WLG’s financial services regulatory practice include principal associates Kam Dhillon and Sushil Kuner, following the departure of Ian Mason to Walkers in December 2022. Dhillon handles UK and EU financial services regulatory matters, while Kuner has demonstrable experience in the fintech arena.

Responsables de la pratique:

Kristian Rogers

Autres avocats clés:

Kam Dhillon; Sushil Kuner

Les références

‘The team provides helpful, targeted advice and pragmatic approach to problems.’

Principaux clients

AssetCo Plc

Klarna Bank AB

Molten Ventures Plc

H&T Group Plc


Mercia Asset Management PLC

Inspired Villages Group

Principaux dossiers

  • Advising AssetCo plc on the acquisition of River and Mercentaile Group PLC for circa £95m.
  • Advising Klarna Bank AB on UK financial services regulatory matters.
  • Advising Mercia Asset Management PLC on its acquisition of Frontier Development Capital Limited.

gunnercooke LLP

gunnercooke LLP further bolstered its standout expertise in cryptoassets with the arrival of Gareth Malna from Stephenson Law in March 2023, who handles regulatory matters concerning asset management, payment services and electronic money. Other key contacts in the group include James Burnie, who navigates on all aspects of EU and UK financial regulation ‘with great skill and knowledge’, and Edward Black.

Autres avocats clés:

Edward Black; James Burnie; Gareth Malna

Les références

‘The practice contains talented individuals across many different disciplines. They have provided us with access to the right expertise as and when we need it. We find that our engagements with them to be collaborative and always helpful.’

‘Very experienced and approachable individuals.’

‘James Burnie has been invaluable to our journey as a start-up business in the digital asset space. James has helped us navigate this constantly evolving landscape with great skill and knowledge. James takes a pragmatic approach to problems, and understands the requirements of our business.’

Principaux clients

Financial Services Commission of the Government of Mauritius


Ziglu Limited



Helford Capital Partners


Zai Technologies Limited

Fiat Republic

Old Street Digital



Outlier Ventures incubator


Nettle Group

Plum Fintech Limited

Leeds Building Society

Principaux dossiers

  • Drafting the rules and guidance for the Mauritius cryptoassets framework, working closely alongside the Mauritius FSC.
  • Advising on setting up a new investment platform for new types of investment, ranging from new types of fund (including tokenised funds) to dinosaur fossils and rare wines.
  • Assisting Swapsicle set up a DEX, a new type of exchange applying DeFi principles to trading.

Morgan, Lewis & Bockius UK LLP

Noted for its expertise in the investment management arena, the practice at Morgan, Lewis & Bockius UK LLP is led by ‘exceptionally experiencedSimon Currie, who advises on the formation, management and operation of private investment funds, listed investment companies, managed accounts and separate account investment vehicles. William Yonge, who specialises in UK and EU financial services regulation, is another key contact in the group.

Responsables de la pratique:

Simon Currie

Autres avocats clés:

William Yonge; Steven Lightstone

Les références

‘The team understand all issues and are extremely experienced in the financial services regulatory arena. Their knowledge is exceptional.’

‘Steven Lightstone is very knowledgeable, asks the right questions and is client friendly.’

‘Simon Currie is exceptionally experienced and sees the entire picture.’

Principaux clients

Stone Harbor Investment Partners

Virtus Investment Partners Inc

Lincoln Peak Capital Management LLC

Ares Management Corporation

Principaux dossiers

  • Represented Stone Harbor Investment Partners in connection with Virtus Investment Partners’ acquisition of Stone Harbor as an affiliated manager.
  • Represented Virtus Investment Partners Inc. in its acquisition of AlphaSimplex Group LLC, a manager of liquid alternative investment solutions with $10.9 billion of assets under management, from Natixis Investment Managers.
  • Represented Lincoln Peak Capital Management LLC in its minority investment in Meadow Partners, a vertically integrated private real estate investment firm based in New York City and London.

Proskauer Rose LLP

Praised as ‘pragmatic and diplomatic’, Proskauer Rose LLP’s cross-practice group acts for private asset managers, including private funds, hedge funds and portfolio managers, on AIFMD-related matters, ESG issues, fintech cases and fund formations, in addition to associated M&A and private equity transactions. Private funds expert John Verwey leads the team and advises on firm authorisations, appointed representative arrangements, change in control and market abuse matters.

Responsables de la pratique:

John Verwey

Autres avocats clés:

Amar Unadkat

Les références

‘The team are very responsive and cover a wide range of compliance, regulatory and ESG matters.’

‘John Verwey is an extremely knowledgeable and responsive individual to work with. He knows all of the relevant legislation and provides pragmatic solutions when needed.’

‘Amar Unadkat stands out for his approachable and dedicated service to clients. He provides clear, concise advice and is our go-to lawyer for regulatory queries due to his pragmatic and commercial approach.’

Principaux clients


Hollyport Capital


Headway Capital Partners



One Peak Partners

Isio Group

G Square

Ascot Lloyd


Atlas Holdings

Lovell Minnick


Blossom Capital

Exponent Private Equity

VGC Capital


Principaux dossiers

  • Advised AnaCap on all regulatory aspects of spin out of its credit business to form Veld, funded by the former AnaCap credit team and Trive, a US fund of GPs.
  • Advised Hollyport Capital on the regulatory aspects of the formation of its latest fund, Hollyport Secondary Opportunities Fund VIII, which closed above its target of $1.5bn.
  • Advised Ascot Lloyd and its stakeholders, including Oaktree Capital Management, on its sale to Nordic Capital.

Ropes & Gray LLP

The ‘solutions oriented’ team at Ropes & Gray LLP advises asset managers spanning the US, UK and Asia on regulatory matters, including ESG and securitization regulation, as well as fund formation issues and transactional mandates. Eve Ellis, who focuses on ESG-related matters confronting asset managers, jointly leads the practice alongside Anna Lawry, who has experience in derivatives and structured finance regulation.

Responsables de la pratique:

Eve Ellis; Anna Lawry

Autres avocats clés:

Dorota Maj

Les références

‘Practical solutions are what sets the Ropes team apart.’

‘I appreciate Eve Ellis’s proactive approach. She reaches out when she thinks a change would be relevant to our business.’

‘Solution oriented, practical advice and good cross-border collaborations with leading local law firms.’

Schulte Roth & Zabel International LLP

Schulte Roth & Zabel International LLP is noted for its expertise in the alternative investment management arena, counting buy-side firms, in addition to proprietary traders, broker-dealers, electronic trading platform operators and placement agents, among its key roster of clients. Anna Moleva-Otto, who ‘combines huge expertise with pragmatism’, leads the practice and advises on the impact of EU directives and regulations.

Responsables de la pratique:

Anna Maleva-Otto

Autres avocats clés:

Jim McNally; Polly O’Brien

Les références

‘Team led by partners who can quickly provide high-quality advice on a broad range of issues.’

‘Anna Maleva-Otto combines huge expertise with pragmatism, is always responsive and a pleasure to work with.’

Principaux clients

AB CarVal Investors, L.P.

AlbaCore Capital LLP

Cevian Capital

Emso Asset Management Limited

Lone Pine Capital LLC

Marshall Wace LLP

Pantera Capital

Portfolio Advisors, LLC

Silver Point Capital, L.P.

Viking Global Investors LP

Principaux dossiers

  • Worked with numerous investment fund clients in the months following the imposition of Russia-related sanctions to analyse the effects of the recent sanctions on the clients’ investment activities and, where necessary, to unwind and restructure certain investment activities and fund structures involving Russian investors, financial institutions and other businesses.
  • Advised several UK and US asset managers on UK and EU data protection considerations, including basis for processing, international transfers of personal data, and data anonymisation procedures in connection with reviews of contracts with providers of alternative data.
  • Advised in connection with several launches of investment funds that are investing in digital assets. This work includes advising on the regulatory requirements applicable to custody and depositary providers and registration under the UK anti-money laundering regime.

Weil, Gotshal & Manges (London) LLP

Counting fund and asset managers across the UK, Europe, North America and Australia among its key list of clients, Weil, Gotshal & Manges (London) LLP handles a broad range of matters concerning Brexit, AIFMD and MiFID II, ESG, FCA authorisation, securities regulation and market abuse. Additional key areas of focus include advising fund manager start-ups, spin-outs and other financial service providers in establishing new businesses. Marc Schubert leads the team and has experience in private funds regulatory issues.

Responsables de la pratique:

Marc Schubert

Autres avocats clés:

Hannah Laurie

Les références

‘Very experienced and long standing work on AIFMD.’

‘Knowledgeable of our business, responsive and good to deal with.’

‘The team is commercial, pragmatic, responsive and solution driven.’

Principaux clients

Advent International

Bain Capital

Berkshire Partners

Brookfield Asset Management

Crow Holdings

Generation Investment Management

Genstar Capital

Altamont Capital

Lindsay Goldberg

Providence Equity

Principaux dossiers

  • Acting for Brookfield Asset Management on the separation of its asset management business from its proprietary investment business, leading on regulatory filings’ analysis in over 25 jurisdictions.
  • Advising Brookfield Asset Management, which manages over $750bn of assets, on the regulatory and global securities law aspects on a range of their private funds in the private equity, infrastructure, real estate and credit arenas.