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Clifford Chance

Clifford Chance
Financial Regulation<br />

Financial Regulation

Global Financial Regulation

Our financial regulation group is the 'go to' team for clients' most important instructions, a vital guide in relation to their pressing regulatory issues in hugely demanding market conditions.

Ranked tier one in Chambers, Legal 500 (Legalease Ltd.) and IFLR (Delinian Limited), the group has outstanding strength in the industry with regard to the breadth of coverage of regulatory issues and depth of knowledge.

We advise the leading market providers of securities on custody, securities lending, settlement risks, finality, and collateral. As well as advising participants in an immense range of trading, clearing, settlement and payment systems, we have acted for and advised a wide range of operators of financial market infrastructures.

How can we help you?

Experienced handling of cross-border and complex regulatory issues

Our geographical reach is unique; we are recognised as having strong advisory practices in the US, the UK, Continental Europe, the Middle East and Asia – a strength that is particularly important to global financial institutions who form our core client group.

Our practice advise across the full spectrum of financial services businesses, including in investment banking, commercial banking, asset management, insurance, wealth management, retail banking, payments services, fintech, exchanges, clearing and settlement. We also maintain close links to governmental and regulatory bodies, as well as with leading industry associations. This gives us unrivaled market insight and the ability to leverage this to the benefit of our clients.

Ahead of the curve expertise

Clients benefit from our extensive track record in handling complex,
multi-jurisdictional transactional and regulatory matters. We are a first port of call for these complex mandates and can call on our experience of advising on market firsts and in relation to the latest developments in the market.

Our practice group has played a leading role in shaping new legislative and regulatory frameworks across a broad range of markets. We have been deeply involved in the developing international, EU and US regulatory changes in response to the financial crisis and other geo-political changes. We work closely with governmental and regulatory bodies and with the key industry associations in addressing these issues.

Full-service offering

We are able to provide a “cradle to grave” service and our financial regulation practice is backed by a strong dispute resolution practice focusing on financial services litigation, enforcement and investigations, as well as by our strengths in capital markets, banking, corporate, tax, technology, data protection and public policy. Our cross-practice teams work together seamlessly to provide clients with joint solutions.

Recent client highlights

  • Advising a leading global bank on its global digital execution project, which has involved seeking local advice on the legal, valid, binding and enforceable nature of electronic signatures provided via a digital execution platform in approximately 100 jurisdictions.
  • Advising the UK operations of a global banking group on the ongoing reforms to the UK financial services regime, including the Financial Services and Markets Bill, the Retained EU Law (Revocation and Reform) Bill and the Edinburgh Reforms.
  • Advising a leading global asset manager on all aspects of its sale of its North American and European private equity businesses to Brookfield including all related regulatory implications and workstreams across multiple jurisdictions.
  • Acting as global strategic counsel on a leading US bank client's acquisition of another international bank's US wealth management business and post-acquisition advice on integration of the business, including coordinating cross-border licensing surveys on the US bank's ability to service acquired clients located in other jurisdictions, including various South American jurisdictions.

  • Advising a Norwegian private equity alternative investment manager on its EU and UK operations and its ability to market across Europe in light of regulatory changes brought about by CBDF and the ESMA Guidelines on marketing communications, and in the UK in light of Brexit.
  • Advising ISDA on UK and EU regulatory issues, including on UK and EU divergence, UK and EU MiFID amendments, EMIR review, and its sustainability agenda, advocacy around CSDDD and the IOSCO papers on carbon markets.

Finance Industry Alerter

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Financial Markets Toolkit

Access the Clifford Chance Financial Markets Toolkit for a 24/7 online resource that gives you the cutting edge knowledge you need for your financial markets business. Aimed at all professionals working across the global financial markets, the Toolkit comprises a collection of publications, guides and transaction tools from across our network. It has been designed to be compatible with smart phones and tablets and its resources are available to you on demand, whenever you need them.

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