Womble Bond Dickinson is a transatlantic law firm, providing high-quality legal capability and outstanding personal service to a wide range of regional, national and international clients from 27 key locations across the United Kingdom and the United States. Our strong regional heritage and culture help us stay closer to our clients and the issues they care about, and with teams located across the UK and the US we bring international perspectives and extended jurisdictional reach to a wide range of client needs.

The Financial Services Regulatory team is based in London and Edinburgh and forms part of our highly ranked Banking and Finance practice. Our experienced team can guide you through the regulatory web and can assist, from high-level horizon scanning, through detailed advice on specific issues, to helping to implement change and training your staff. We act for banks, insurers, consumer credit and mortgage lenders, wealth managers, financial advisers, fund managers, primary and secondary intermediaries, payment service providers, e-money issuers, crowdfunding platforms as well as unauthorised firms seeking to remain outside the regulatory perimeter or firms needing financial crime prevention advice.

• Authorisation
• Bespoke Processes/Procedures
• Client Assets
• Complaint Handling
• Compliance Auditing/Due Diligence
• Compliance Support
• Compliance Training
• Data Security/Protection
• Documentation
• Due Diligence
• File Reviews
• Financial Crime /AML
• Governance
• Marketing
• Regulatory Returns
• Regulatory Updates
• Risk Assessment /Management
• Training

• Building Societies/Friendly Societies
• Consumer Credit/P2P
• Credit Unions
• Crypto/AML
• Discretionary Fund Managers
• General Insurance
• IFAs
• Investment Managers
• Investment Product Providers
• Lenders
• Mortgage Brokers/Lenders
• Payments & e-money