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Financial Services Regulation & Enforcement

Financial Regulation • Regulatory Compliance • Regulatory Licenses • Regulatory Enforcement Disputes • Regulatory Investigations • Risk Management • Internal Investigations • Market Abuse

Key Contacts

Our highly specialised team of lawyers routinely act on the highest profile regulatory and compliance cases for many of the world's leading financial institutions.  Our Financial Regulation and Enforcement Disputes team is drawn from the firm’s Banking and DIFC Courts’ Litigation practices and brings first class technical regulatory and legal knowledge as well as a multi-disciplinary approach to financial regulatory matters.  From high-profile financial services regulatory investigations to multi-jurisdictional investment mis-selling claims, Al Tamimi’s talented litigators and banking lawyers work hand in hand to achieve the best possible results for our clients.

Our powerful breadth of experience and comprehensive local knowledge enables us to advise on every aspect of financial regulatory and compliance work, including:

  • the establishment of new financial services businesses
  • consulting on the specific level of compliance required of clients
  • restructuring, mergers and acquisitions in the financial services sector
  • new product structuring and distribution
  • capital adequacy arrangements
  • marketing and distribution regimes
  • market conduct issues
  • money laundering and KYC requirements
  • advising on, and developing, risk management solutions
  • self reporting requirements, internal investigations and disciplinary action
  • advising on regulatory investigations and enforcement defense work
  • representing and defending clients in all enforcement actions brought by regulators

Our dedicated legal team’s practice is well established and highly regarded for being strategic, practical and commercially minded.  Our proactive approach is at the core of non-contentious and contentious work which allows us to regularly saves our clients time, money and mitigate the risk of unsuccessful outcomes to keep our clients one step ahead.

In addition, we offer the following in respect of contentious regulatory matters:

  • consulting on internal and regulatory investigations
  • advising on the parameters of information requests and their applicability in context
  • negotiating with regulators in order to achieve better commercial outcomes
  •  advising on the merits and prospects of early settlement
  •  representing clients in regulatory enforcement and civil court cases involving regulatory matters 
  •  mis-selling claims

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