Financial Regulation

At Edwin Coe, our financial regulation team helps clients operate confidently and compliantly within the UK regulatory framework – or, where appropriate, to structure their activities to remain outside its scope. We advise a diverse range of clients, from asset managers, fintech and payments firms to insurance intermediaries, mortgage and consumer credit providers and private fund managers.

Whether guiding a new market entrant through FCA authorisation, advising on complex fund structuring, or supporting firms in their engagement with regulators, our approach is pragmatic, collaborative and grounded in deep technical experience.

A joined-up view 

Regulation intersects with every aspect of business – from funding and governance to product design and investor relations. Our work brings together insight from across Edwin Coe’s banking & finance, corporate, tax and private capital teams to provide a holistic view of both regulatory and commercial priorities.

We help clients:

• Understand when and how financial regulation applies.
• Seek authorisation or approvals where required.
• Maintain ongoing compliance and manage supervisory relationships.
• Respond effectively to investigations, enforcement action or Financial Ombudsman claims.

We also advise on financial promotions, anti-money laundering compliance, market conduct and insider dealing regulations, ensuring our clients are equipped to act responsibly and strategically in a regulated environment.

Quiet strength. Lasting results. 

Our reputation is built on clarity – simplifying complex regulation so that our clients can make confident decisions. We combine technical expertise with an understanding of how the regulators think and operate, giving our clients practical, informed advice at every stage of their regulatory journey.

We act for both firms and individuals – including senior managers and compliance officers – on all aspects of the FCA and PRA regimes, as well as in cross-border matters involving the Payment Systems Regulator and overseas authorities.

Our experience spans both the emerging and the established: from digital assets and payments technology to traditional investment management, insurance, credit and collective investment schemes. Across all sectors, our focus is on aligning compliance with commercial strategy – ensuring regulation becomes an enabler, not an obstacle.

As a certified B Corporation, we believe that good regulation underpins good business – creating trust, protecting investors and supporting sustainable growth.

Three-dimensional advice 

Our team brings together legal precision, commercial judgement and regulatory insight to help our clients succeed in an environment of constant change. We look beyond immediate challenges to anticipate how regulation, technology and markets will evolve – helping clients stay agile, compliant and commercially prepared.

Collaborative in approach. Committed in purpose. Connected where it matters most.