Practice

Financial Services Regulatory Consulting

When the regulatory landscape changes or you're facing a regulatory obstacle, the first step is to understand the compliance and legal implications for your business. 

Representative experience

Advising on regulatory authorization and variation of permission.

Advising on regulatory change program implementation.

Designing and delivering all aspects of remediation programs, including policies and procedures and providing oversight.

Preparing for and implementing SM&CR, including application and interview support for senior managers.

Assisting with large-scale due diligence, investigation, and reviews for all types of transactional activity.

Supporting and advising in respect of compliance and conduct risk reviews in preparation for regulatory visits and information requests.

Designing and delivering training and coaching programs, including online modules.

Working with firms in preparation for and during Section 166 Skilled Person’s Reviews.

Helping firms with complaint handling reviews, resourcing, and root cause analysis.

Designing and implementing a complaint management framework.

Awards and Rankings

Hogan Lovells ranked in the top ten most innovative law firms in Europe by the Financial Times for the third year running

LONDON - The Financial Times has ranked Hogan Lovells eighth overall in the FT Innovative Lawyers Europe 2018 report, which is published in conjunction with research partner RSG Consulting.

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Press Releases

Hogan Lovells Showcases its Authorisation Tool for FinTech Startups Considering the FCA Authorisation Process

London, 19 September 2017 – Hogan Lovells, the leading global law firm, is today showcasing its recently launched Hogan Lovells Engage: Authorisation Tool, which aims to guide...

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Press Releases

Hogan Lovells launches Financial Services Regulatory Consulting practice with hire of Director Steve Murphy

Market first-mover and strategic response to Brexit uncertainty in the financial services sector.

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