Financial Services Regulatory Lawyers

The financial services industry has seen an unprecedented level of regulatory reform. This has resulted in complex new regulations that require ongoing support to make sure your business is compliant.

At Arbor Law, we understand that keeping up to date with the ever changing landscape and level of regulatory reform across the industry can be a challenge. That’s why our financial services regulatory lawyers are on-hand to oversee regulation and help you avoid potential penalties for compliance failures.

Taking control of your regulatory requirements

By combining our technical expertise with commercial pragmatism, we tailor our services to your specific needs and financial services regulatory requirements.

As one of the leading providers of outsourced ongoing regulatory compliance support, and with decades of experience working in-house at leading financial institutions, we act as an extension of your team to provide flexible legal support. We make sure your business is compliant and meets the regulatory requirements enforced by the financial industry.

Contact us today to see how our team can provide flexible legal resource when you need it the most.

Tailoring our services to meet your needs

Take a look at the legal support we provide for financial services regulatory:

It’s important to determine your business’ permission profile to understand what type of FCA (Financial Conduct Authority) licencing is required. At Arbor Law, we take the lead to prepare your FCA license application and support with the documentation, as well as liaise directly with the FCA until your FCA compliance application is approved.

As part of your financial regulatory requirements, you need to be able to demonstrate that your business is fully compliant with the regulations set out for your industry. Our financial services regulatory team design a governance framework that covers strategy, resource allocation, reporting channels, independence between first and second line of defence, compliance intelligence and readiness for change.

We develop a framework by including drafting and implementing all of your compliance and financial crime manuals, policies and procedures, as well as designing training programmes to staff across all seniority.

As your business grows, it’s essential that you have the parameters in place to manage risk. We provide a risk audit and develop a risk register for various risks that are associated with your business. Not only is a risk audit mandatory, but a risk model and insights into analytics will ensure they are managed effectively and that a financial crime framework is in place to make sure you comply with the latest regulations.


If your team requires regulatory compliance support, our senior financial regulatory and compliance specialists can relieve some of the pressure by taking responsibility and acting as a compliance officer. As part of outsourcing your compliance work to us, we can manage regulatory relations and developments, reporting, your compliance and financial crime programmes, client onboarding, risk managing training and more.

Our VC compliance solutions are tailored to support venture capital firms in navigating the complex regulatory landscape. Arbor Law provides comprehensive services including compliance audits, regulatory reporting, and risk management. Our expert team ensures that your operations meet all legal requirements, helping you avoid penalties and maintain investor confidence. Rely on us for proactive and practical compliance strategies that keep your firm on track.

Our financial services regulatory lawyers

Our financial services regulatory lawyers work with you to understand your business, services and products you deliver, so they can provide the right level of support. From preparing your FCA application to designing your governance framework, meet the team who are able to support you on projects of all sizes.

Meet our lawyers

Get in touch for financial services support

Contact us or complete the form below to find out more about how our regulatory lawyers can work with your in-house teams to provide specialist advice, so you can deliver financial services efficiently and in a compliant manner.