Financial services risk and compliance
Managing financial services regulatory and financial crime risks can be challenging for businesses. Our Financial Services Risk and Compliance practice, embedded within our Financial Services Regulatory team, partners with clients to provide bespoke and practical advice and support to help you manage regulatory and financial crime risks.
Our team of experienced lawyers and compliance professionals are dedicated to helping you understand and implement legal and regulatory changes, manage conduct risk, and ensure your business operates within the right legal regulatory and financial crime framework. Our Financial Services Risk and Compliance team can provide you with the following support:
Assurance reviews and risk assessments
Financial crime compliance
Regulatory advice
Regulatory applications support
Related insights & events
SM&CR reform: HM Treasury announces Senior Managers and Certification Regime reforms
FCA's findings on Customer Due Diligence processes and controls: Good and poor practices
FCA and PRA publish final rules on operational incident reporting: firms have to ready by 18 March 2027
FCA finalises Phase 1 SM&CR reforms: what firms need to do now
PRA publishes Phase 1 SM&CR reforms: What firms need to know now
FCA puts inactive appointed representatives under the microscope
SFO publishes business plan for 2025-26: Geared for the future
FCA sets expectations for stronger outcome‑focused governance in Year 3 Consumer Duty board reporting
FCA's guidance on targeted support in consumer segment design: considerations for firms
The Bank of England and PRA set out plans for safe AI innovation: What firms need to know
The FCA highlights the due diligence risks for firms when dealing with unregulated lenders
FCA regulatory priorities 2026: Cross-sector themes and what they mean for firms
UK Government strengthens AML and crypto controls through the Money Laundering and Terrorist Financing (Amendment) Regulations 2026
UK Supreme Court confirms broad reach of Russia sanctions and suspends payment obligations under letters of credit
FCA turns to AI to fight fraud: What the Palantir contract means for financial regulation
FCA publishes consumer understanding good practice and areas for improvement
sort
TLT awarded Stonewall accreditation for LGBTQ+ inclusive culture 
TLT shortlisted for ‘UK Firm of the Year’ at The Lawyer Awards 2026 
government-and-public-services-legal-panel-appointments
TLT boosts public sector team with strategic Partner hire Nine TLT lawyers featured in Thomson Reuters Stand-out Lawyers 2026 list 
TLT celebrates trio of partner promotions in Scotland 
TLT welcomes Restructuring & Insolvency Partner in Birmingham 
TLT appoints new EDI and Wellbeing Champions in support of inclusive culture
TLT advises leading renewable energy company on sweep of strategic transactions
TLT continues Future Energy focus with new Partner hire TLT launches new legal qualification pathway in Scotland 
The Balancing Act: Partnerships, trust and patient capital
ESG in Action: Inside the Government Legal Department's social mobility agenda
ESG in Action: Climate resilience in real terms: Breaking sustainability silos with Santander 
ESG in Action: Hospitality and sustainability working together for future successes
ESG in Action: Beyond returns: Inside the world of responsible investment
ESG in Action: Trailblazing with Ablaze: Helping young people succeed
ESG in Action: Power from the panels: Profit with purpose with Eden Sustainable
The Balancing Act: Setting the scene for regeneration
ESG in Action: Top-down and bottom-up momentum: The next chapter of social mobility with SMBP
ESG in Action: Balancing the basket with the British Retail Consortium
Energise2030: Grid reform, Gate 2 and what's next for connections
ESG in Action: Banking on biodiversity with Nationwide Building Society
employment-law-focus---understanding-the-neonatal-care-leave-and-pay-act-2023
When good tax decisions go wrong: Governance, filing positions and HMRC scrutiny
SMConnect Webinars: Practical Insight for leaders in SMCR roles
Biodiversity Net Gain: What’s changing and what it means for you
dmcc-act---the-next-chapter-for-cma-consumer-law-enforcement
international-fintech-brexit-preparations
major-uk-utilities-provider-employment-law-brexit
tlt-oversees-an-international-acquisition-of-a-specialised-south-west-business
tlt-advises-on-the-90m-sale-of-long-standing-clients-business
advising-a-fast-growth-ecommerce-consultancy-on-a-share-capital-sale-and-reinvestment
preparing-for-the-procurement-act-2023
community-connection-and-collaboration-tlt-and-fgr
placing-sustainability-at-the-heart-of-learning
a-partnership-for-sustainable-action---tlt-and-belmont-estate
bng---tlt-and-belmont-estate-about-driving-nature-positivity
what-does-the-next-generation-of-our-cities-look-like
TLT awarded Stonewall accreditation for LGBTQ+ inclusive culture
TLT shortlisted for ‘UK Firm of the Year’ at The Lawyer Awards 2026
Government and public services legal panel appointments
TLT boosts public sector team with strategic Partner hire
Nine TLT lawyers featured in Thomson Reuters Stand-out Lawyers 2026 list
TLT celebrates trio of partner promotions in Scotland
TLT welcomes Restructuring & Insolvency Partner in Birmingham
TLT appoints new EDI and Wellbeing Champions in support of inclusive culture
TLT advises leading renewable energy company on sweep of strategic transactions
TLT continues Future Energy focus with new Partner hire
TLT launches new legal qualification pathway in Scotland
The Balancing Act: Partnerships, trust and patient capital
ESG in Action: Inside the Government Legal Department’s social mobility agenda
ESG in Action: Climate resilience in real terms: Breaking sustainability silos with Santander
ESG in Action: Hospitality and sustainability working together for future successes
ESG in Action: Beyond returns: Inside the world of responsible investment
ESG in Action: Trailblazing with Ablaze: Helping young people succeed
ESG in Action: Power from the panels: Profit with purpose with Eden Sustainable
The Balancing Act: Setting the scene for regeneration
ESG in Action: Top-down and bottom-up momentum: The next chapter of social mobility with SMBP
ESG in Action: Balancing the basket with the British Retail Consortium
Energise2030: Grid reform, Gate 2 and what's next for connections
ESG in Action: Banking on biodiversity with Nationwide Building Society
Employment Law Focus - Understanding the Neonatal Care (Leave and Pay) Act 2023
When good tax decisions go wrong: Governance, filing positions and HMRC scrutiny - Webinar
SMConnect Webinars: Practical Insight for leaders in SMCR roles
Biodiversity Net Gain: What’s changing and what it means for you
DMCC Act - The next chapter for CMA Consumer Law Enforcement
International Fintech Case Study: Brexit Contract Migration | TLT
UK Utilities Case Study: Employment Law and Brexit Planning | TLT
TLT oversees an international acquisition of a specialised South West business
TLT advises on the £90m sale of long-standing client's business
Advising a fast-growth eCommerce consultancy on a share capital sale and reinvestment
Preparing for the Procurement Act 2023 - construction industry focus
Community, connection and collaboration - TLT and Forest Green Rovers FC
Placing sustainability at the heart of learning - TLT and the Ministry of Eco Education
A partnership for sustainable action: TLT and Belmont Estate
BNG - TLT and Belmont Estate talk nature positivity
What does the next generation of our cities look like?
