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Transactions Regulatory Support

Close the deal and meet your obligations


Regulatory compliance risk is an increasingly key value and execution factor in financial sector transactions.

Working with our world-class M&A team, we handle complex, high-value and innovative transactions, guiding clients on managing regulatory risk across multiple jurisdictions.

We work with financial institutions, buyers and sellers on public and private mergers, acquisitions and corporate restructurings (domestic and cross-border) and advise them how to cover compliance risk allocation in transaction documentation, and how to manage regulatory notifications and approval processes to achieve timely execution of deals.



Our integrated financial services regulatory team spans over 25 countries with many of the team having worked in senior in-house roles within both regulators and global financial institutions. We are well-placed to identify and advise on key regulatory issues, assess and prioritise those risks, and develop practical solutions which are consistent with transaction objectives and timetables.

Recent Experience

Cazenove Capital

Advising on its acquisition by Schroders for £424 million including regulatory advice and coordination of the change of control process in the UK, Jersey and Hong Kong

Deutsche Bank Asset & Wealth Management

Advising on the outsourcing to Bank of New York Mellon of direct real estate and infrastructure fund finance, fund accounting, asset management accounting, and client and financial reporting functions, representing roughly $46.3 billion in assets under administration

TSB Banking Group

Advising on its separation from Lloyds Banking Group, the negotiation of its on-going service arrangements with Lloyds, its IPO, and all regulatory aspects of the £1.7 billion takeover offer by Banco Sabadell

Investec Bank (Australia)

Advising in relation to its applications to the Australian Treasurer and APRA for approval to acquire, and then merge with, NM Rothschild Australia, as well as associated licensing and other regulatory issues

Insights and updates

26th April 2023
The ACCC has announced a proposal for major reforms to Australia’s merger clearance regime. If...
7th December 2021
Our Financial Services Regulatory (FSR) team surveys the regulatory landscape for 2022 and identifies themes...
12th May 2020
The Full Federal Court has dismissed the ACCC’s appeal in respect of its case against...
9th December 2019
Our financial services team surveys the landscape and highlights the themes that will define the...

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Financial Services Regulatory

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