Regulatory counsel for regulated finance
Advising financial services firms on authorisation, supervision and regulatory change
- Licences obtained for clients
- 200+
- Jurisdictions where we advise firms
- 65+
- Years advising regulated firms
- 12+
- Our offices
- London and New York
Talk to us
Tell us about your firm and a member of our team will be in touch.
info@regulatorycounsel.co.uk
London and New York
How we support you
Five practices, one team, from the first permission to the annual audit.
All services- 01AuthorisationChoosing the right permission, preparing the application and handling the regulator until the decision.
- 02Compliance and governanceThe framework, monitoring, returns and board reporting that keep an authorised firm in good standing.
- 03Financial crimeAnti-money laundering and sanctions frameworks, risk assessments, transaction monitoring and independent reviews.
- 04Safeguarding and client moneySafeguarding and client money arrangements, reconciliations and readiness for the annual audit.
- 05Regulatory response and remediationInformation requests, skilled person reviews, changes of control and remediation, handled with the regulator.
Sectors we advise
Payment, e-money, crypto, lending, insurance and investment firms, from a founding team seeking its first permission to an established group adding a market.
All sectorsPayments and e-money
Payment institutions, e-money institutions, money transmitters and MSBs.
Crypto and stablecoins
Exchanges, custodians, wallet providers and stablecoin issuers.
Banks and lending
Mortgages and home finance
Insurance
Investment and wealth
Licences and registrations
Each with its own guide, reviewed by our licensing team.
All licencesTools and trackers
See which authorisation fits your model, and follow how regulators are deciding.
- 01Which licence do I need?A few questions about your model, and the authorisation that fits it.Open
- 02UK payments authorisation trackerFCA payment and e-money authorisation figures, quarter by quarter.Open
- 03US state money transmission trackerMoney transmitter licensing and stablecoin rules across the US states.Open
Insights
All insightsWhy FCA authorisation applications failThe real reasons applications stall or are withdrawn, how the gateway assessment is applied, and what a case officer is testing in each part of the pack.Read the insightUK CASS 15 safeguarding requirementsReadHow to apply for a UK banking licenceRead
MSBs