Regulatory counsel for regulated finance
Advising financial services firms on authorisation, supervision and regulatory change
- Licences obtained for clients
- 200+
- Jurisdictions we have advised in
- 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