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.

Hogan Lovells Events

Debate: The African Continental Free Trade Agreement- should Nigeria be part of it?

We will be co-hosting a debate on the status and future of the African Continental Free Trade Agreement alongside renowned networking group, Nigerians in the Square Mile. The conversation...

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Media Mention

Hong Kongs private banks gearing up to meet suitability requirements

Mark Parsons spoke to Citywire Asia on how Hong Kong’s private banks are preparing to meet suitability requirements proposed by the SFC.

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Media Mention

Clean coal could have a place in green financing in China

Shengzhe Wang was interviewed by Reuters about the exclusion of coal in China’s green financing activities.

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Blog Post

Luxembourg's first dip before surfing on the blockchain wave

On 14 February 2019, the Luxembourg Parliament adopted the bill (the "Bill")(*) amending the law dated 1 August 2001 on the circulation of securities (the "Securities Law").

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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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