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Business Legal Services
Financial Services Regulation
Our financial services lawyers will help you strategically navigate the evolving and complex financial services regulatory environment.
Regulation is increasingly complex and places heavy burdens and restrictions on how financial institutions may operate. Our experienced team advise and support senior management, in-house legal teams, compliance functions and front-line businesses to meet their objectives and mitigate risk.
We’ll help you develop and enhance your regulatory frameworks and control environments along with supporting your interactions with the Financial Conduct Authority (FCA)
Experts in financial services law
Our team can assist you across all areas of investment and finance law, including:
What we do: Financial services solicitors
Our financial services lawyers can assist you with your requirements and walk you through what is needed whether you are applying for authorisation, drafting customer agreements or buying or selling a regulated business. Some of the typical areas we would help your business with include:
- Payment services and electronic money issuance
- Consumer credit
- Applications for authorisation and variation of permission
- Approved person applications and requirements
- Dealing with regulators including change in control notifications
- Regulated activities and the FCA’s Perimeter guidance
- Financial promotions
- Outsourcing agreements
- Anti-Money Laundering
- Bribery Act requirements
- Data protection requirements
If you are looking to buy or sell a regulated business, our finance solicitors will also work closely with our corporate and commercial teams to cover all aspects of your deal, so legal work is seamless for your entire transaction.
Who we help
We regularly give expert legal advice on financial services legislation to a wide range of clients and financial institutions including:
- Payment service providers (payment institutions, electronic money institutions, banks)
- Consumer credit firms (from small retailers to banks)
- Lenders
- Fintech and regtech firms
- Investment funds
- Asset and wealth management
- Finance companies and business development companies
Testimonials
What our clients say
Our on-demand relationship with Harper James allows our in-house counsel instant access to specialist support. We relied on their valued guidance to get us through the acquisition process with accuracy and confidence.
Alison Conway
Senior Advisor,
Trust Payments
Speed of turnaround and clear advice
Ian Rose
Head of Networks,
AllStar Business Solutions
Experience of your team and how they make it simple to understand the options and what is required.
Value for money.
Paul Smith
COO,
Incuto
As a young and growing fintech company, there have been a number of legal matters that we have needed to manage; such as client contracts, employment contracts and fund raising from investors. We’ve used Harper James for around a year and they have provided us with very valuable support through several lenses, not least in our funding round in late 2017, where we raised £1million and Harper James managed the legal side of the transaction. We recommend them without hesitation.
Gareth Morgan
Chief Risk and Compliance Officer,
Delio
Our on-demand relationship with Harper James allows our in-house counsel instant access to specialist support. We relied on their valued guidance to get us through the acquisition process with accuracy and confidence.
Alison Conway
Senior Advisor,
Trust Payments
Speed of turnaround and clear advice
Ian Rose
Head of Networks,
AllStar Business Solutions
Experience of your team and how they make it simple to understand the options and what is required.
Value for money.
Paul Smith
COO,
Incuto
As a young and growing fintech company, there have been a number of legal matters that we have needed to manage; such as client contracts, employment contracts and fund raising from investors. We’ve used Harper James for around a year and they have provided us with very valuable support through several lenses, not least in our funding round in late 2017, where we raised £1million and Harper James managed the legal side of the transaction. We recommend them without hesitation.
Gareth Morgan
Chief Risk and Compliance Officer,
Delio
Why choose our financial services regulation solicitors?
Our financial services solicitors have all been recruited from top 100 UK law firms or from large international businesses. Find out more about our financial services solicitors here:
Pricing plans
Legal support designed
to fit your business needs
Our three transparent pricing packages are designed to give you the widest possible access to high-quality legal advice, whatever the size and nature of your business:
City
Straightforward access to senior solicitors at a competitive rate.
An affordable solution for businesses needing one-off legal support. Receive ‘City’ partner-level expertise at a fraction of ‘City’ prices.
Enterprise
Have legal peace of mind for £189 per month with additional support from £125 per hour.
A monthly subscription legal support package specifically designed for start-ups and smaller businesses.
On-Demand
Providing you with priority access to a dedicated panel of highly experienced solicitors.
Fully account managed quarterly subscription service for businesses with more complex legal needs.