Financial Services Compliance

We help financial services firms turn regulatory challenge into commercial opportunity. Whether assisting with acquisitions or disposals, launching new products, entering new markets, responding to FCA or PRA scrutiny, supervisory intervention or enforcement investigations, implementing regulatory change or strengthening governance and control frameworks, our lawyers and regulatory consultants provide practical, sector-focused support that helps firms achieve their strategic objectives, manage regulatory risk and maintain constructive relationships with regulators.

We support firms at every stage of the regulatory lifecycle, from authorisation, acquisitions and business transformation projects through to day-to-day compliance, product development and distribution, governance, prudential requirements, regulatory change programmes and engagement with the FCA and PRA. By combining legal and regulatory consulting expertise, we help clients address complex regulatory challenges efficiently, manage risk effectively and deliver commercially sustainable outcomes.

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Asset Finance, Consumer Lending and Mortgages

Asset Finance, Consumer Lending and Mortgages

We work with retail banks and commercial mortgage providers, leasing companies, asset and motor finance providers, retail and commercial lenders, and intermediaries across the UK and internationally to provide integrated regulatory advisory and implementation support, ensuring that regulatory obligations are met while supporting commercial strategy and operational resilience.
Banking and deposit takers

Banking and deposit takers

The UK banking and deposit taking sector continues to operate under intense regulatory scrutiny after a period of significant regulatory reform post-the Global Financial Crisis. Navigating PRA and FCA expectations requires clear strategy, robust frameworks and clear execution. We work with banks and building societies to simplify this complexity, supporting you at every stage of the regulatory lifecycle, from authorisation through to business-as-usual operations and strategic change.
Insurance and reinsurance

Insurance and reinsurance

We work with insurers, reinsurers and insurance intermediaries across the UK and internationally to provide integrated regulatory advisory and implementation support, ensuring that regulatory obligations are met while supporting commercial strategy and operational resilience.
Wealth Management & Retail Investments

Wealth Management & Retail Investments

DWF’s Wealth Management Regulatory (WMR) practice provides strategic legal and regulatory support and solutions to (retail) investment firms and platforms. As a dedicated team focusing only on this market, we have significant experience in firms' regulatory challenges the approach taken by FCA and other associated regulators. This means we blend technical capabilities with commercial awareness. The team delivers tailored, actionable advice that reflects the realities of the sector’s evolving regulatory landscape.

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Corporate support

Corporate support

We work with corporate teams, private equity investors and financial services firms to provide specialist regulatory support across the lifecycle of corporate transactions, ensuring that regulatory risks are identified early and managed effectively to support successful and timely deal delivery.

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FCA enforcement investigations

FCA enforcement investigations

Our Legal 500-ranked Financial Services Regulatory team advises FCA-regulated firms, senior managers and individuals on FCA Enforcement investigations, including ‘dual-track’ criminal and civil investigations.
FCA supervisory intervention

FCA supervisory intervention

Our Legal 500-ranked Financial Services Regulatory team advises FCA-regulated firms, senior managers and individuals on FCA Enforcement investigations, including ‘dual-track’ criminal and civil investigations.
Prudential

Prudential

Prudential regulation is becoming more complex, driven by an ever-increasing focus on prudential matters as well as growing supervisory scrutiny and expectation around sophistication. Firms must meet both PRA expectations on safety and soundness and the FCA’s increasing focus on financial resilience and harm mitigation. We help firms cut through this complexity, providing clear, practical support across capital, liquidity and financial resilience requirements under BAU, stressed and wind-down scenarios.
Regulatory Consulting

Regulatory Consulting

We work with our clients across the financial services sector, both within the UK and overseas, to advise on the design and implementation of key regulatory change to ensure regulatory expectations are met and commercial outcomes are achieved.
Skilled Person Reviews

Skilled Person Reviews

DWF’s appointment in April 2026 to both the PRA and FCA Skilled Person panels reflects our recognised expertise, independence and track record in delivering high-quality, regulator-ready outcomes across a broad range of review areas.