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Monday, 15th April 2024
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Clients seek financial services regulation advice Back  
Regulation and compliance in the financial services sector has become more complex. Increasing use of the internet for marketing and providing financial services is a main factor, while the enactment of the recent investor compensation legislation means that compliance processes must be strictly adhered to ensure investor protection. Legislation, both domestic and from the EU has been developed to form a network of mutual recognition within EU borders. The ability to passport authorisations obtained in one EU country across other EU countries has contributed significantly to opening up the European market to financial services providers.

In response to these changes law firms have been developing their financial services regulation expertise. In May this year, A & L Goodbody established a Financial Services Regulation and Compliance Unit. Their aim is to provide a ‘one-stop-shop’ approach for advice on financial services regulation for both new and existing clients. The unit will be headed up by Kevin Allen and supported by his team including, Adrian Burke, David Widger and Brian McDermott. Specific areas to be covered by the unit include the regulation of banking; investment firms; stockbroking; insurance undertakings and intermediaries and the regulation of collective investment schemes.


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