We specialise in advising firms in the financial services sector. Our expertise is wide ranging and multi-faceted across the industry, with particular experience in conduct risk issues that arise where employment and regulatory spheres coincide. These issues range from contract and regulatory remuneration structuring, through to judgement calls resulting from financial and non-financial misconduct and risk management failures. We advise on all the consequences that can follow from these, including investigations (internal and external), HR disciplinary and FCA/PRA regulatory sanctions, exits, regulatory references and interactions with the regulators. Our lawyers, some former regulators, are steeped in the financial services sector, having advised on issues within it for many years, through many different iterations of the regime and relevant rules and codes. The quality of our work is praised by legal directories. Our work for the sector consists of: The full range of employment issues, including contested team moves and talent management Remuneration Code and related issues Senior Managers and Certification Regime (SMCR) Regulatory advice Applications and notifications to the Regulators Corporate purpose, culture and diversity strategy Post investigation lessons learned exercise Health check HR audits, policy reviews and comprehensive staff training programmes Internal investigations and regulatory audits Dealing with the regulators, including defending enforcement actions You can find information on our Finance and Banking Disputes capability here.