Regulatory & Governance

Advising at the intersection of Regulatory, Governance and Tech

Advising on all aspects on financial services regulation, both contentious and non-contentious, and regulation.

What We Do

Financial Services Regulation

With deep expertise advising regulated and non-regulated firms in the financial services sector, we advise on the following areas:

The UK regulatory perimeter (regulated activities, financial promotion, prospectuses, collective investment schemes etc)
Wholesale markets legislation (FSMA, MiFID, MAR, EMIR, BMR, SFTR etc)
Benchmarks and regulatory issues in data licensing
All aspects of the FCA Handbook
FCA and exchange enforcement actions
Exchange and CCP rulebooks and market codes

Governance

Our lawyers have deep practical experience of governance, advising boards, company secretaries and in-house legal teams. We cover the following areas:

The Companies Act
Conflicts of interest
Articles of association
Terms of reference for boards and committees
Policies and procedures
The Combined Code
The Modern Slavery Act
The Bribery Act

Insight

We publish for our clients and contacts blogs, vlogs and white papers, and hold occasional events and webinars about developments in Tech Law.

Our insight is widely recognised in the market. Who’s Who Legal have named us one of their eight Tech Law though leaders each year since 2017. Click through to our insights page or an article below.

Regulatory & Governance

SMCR Enforcement Actions

What are ‘reasonable steps’ in the context of the SMCR? Tom Hine explains using two recent cases.

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LawTech

LawTech and Cloud Contracts

What should law firms keep in mind to get the best from their Cloud investment? Richard Kemp takes a look.

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Regulatory & Governance

WEBINAR: Getting Ready for DORA

Time & Date: 09:00-10:00am, Wednesday, 15 May 2024Register here. DORA – the EU’s Digital Operational Resilience Act – comes into force …

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What our clients say about us

“SITA is the IT provider for the air transport industry. Today, SITA’s solutions drive operational efficiencies at more than 1,000 airports while delivering the promise of the connected aircraft to more than 400 customers on 18,000 aircraft globally. Data is central to SITA’s business, and SITA’s communications network connects every corner of the globe and bridges 60% of the air transport community’s data exchange. Kemp IT Law’s experience and thoughtful advice on all things data are really helpful in leveraging SITA’s unique position to further grow and develop SITA’s data operations.”

“As a top 40 UK law firm, digital transformation is central to Trowers & Hamlins, and Kemp IT Law have provided first class advice and support to the Firm on a number of our key projects.”

“At Shakespeare Martineau we’re constantly investing in the digital transformation of our operations and business. Kemp IT Law specialises in projects for law firms, and we have been working with them on a number of key projects for the firm. We’ve been impressed with their specific experience in law firm IT regulation and contracting – they know the points and what’s market practice and their practical, can do approach has been of real help to us.”

“Supporting the business on our digital transformation is central to us at Foxtons, and it’s been valuable for us to be able to call on Deirdre’s and Richard’s practical and helpful advice on our digital transformation journey.”