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Regulatory Advice

Two men sat on a couch in front of a window. One man is reviewing a document with a pen in his raised hand, the other man is sat to the right with his arms crossed.

If your business operates in a regulated market, our multi-skilled team of business lawyers and advisers can provide a full range of regulatory advice and support to help you minimise risk and maximise opportunities in business projects and transactions - wherever in the world you are doing business.

Our regulatory work includes advice on matters such as:

  • The application of UK insurance regulation for insurers and reinsurers, insurance brokers, MGAs, captives, secondary intermediaries, insurance-related service providers, and investors in the insurance sector.
  • The application of UK financial services regulation for banks and other lenders, wealth managers, investment managers, investment funds, crypto asset providers, payment services providers, claims management companies, financial services-related service providers, and investors in the financial services sector.
  • The application of UK legal services regulation for solicitors, barristers, legal executives, patent and trade mark attorneys, licensed conveyancers, costs lawyers, notaries, accountants, and investors in the legal services sector.
  • The application of UK sports regulation for sports clubs, sports associations, sport-related businesses, and investors in the sport sector.
  • Regulatory authorisations and de-authorisations.
  • Financial promotions.
  • Engagement with regulators.
  • The regulatory status of guarantees.
  • Anti-Money Laundering (AML).
  • ESG and sustainable finance issues.
  • Data protection law.
  • Competition law.
  • National Security and Investment Act (NSIA) issues.
  • Regulatory due diligence in projects and transactions.
FEATURED ARTICLE
20.08.25 O'Connors News

Business law firm O'Connors adds competition law specialist to its regulatory team

Liverpool-based business law firm, O’Connors, has appointed competition law specialist, Laurence Pritchard, as a Consultant Solicitor in its legal team to broaden its regulatory support for clients.
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FEATURED ARTICLE
06.08.25 Strictly Boardroom

Insurance commission disclosure ruling has ramifications for property industry

A landlord has been ordered to repay nearly £700,000 in undisclosed insurance commissions.
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FEATURED ARTICLE
19.06.25 Strictly Boardroom

Five key regulatory considerations when selling a law firm

For law firm owners contemplating a sale or exit, whether this is prompted by succession planning, market consolidation, or strategic realignment, it is essential to approach the process with a clear understanding of the regulatory obligations involved. Unlike more straight forward corporate transactions, the sale of a legal practice carries with it unique regulatory requirements, and it is crucial that these matters are properly addressed to ensure compliance.
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FEATURED ARTICLE
13.04.25 Strictly Boardroom

A welcome step towards a more proportionate AIFM regime?

The UK's regulatory landscape for Alternative Investment Fund Managers (AIFMs) is under the microscope once again, with both HM Treasury and the Financial Conduct Authority (FCA) launching significant consultations that could reshape the future of this vital sector.
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FEATURED ARTICLE
02.04.25 Strictly Boardroom

The FCA's five year strategy - Balancing growth and consumer protection

The Financial Conduct Authority (FCA) has outlined its strategic priorities for the next five years, focusing on deepening trust, rebalancing risk, supporting growth, and improving lives. This strategy involves a commitment to being a smarter regulator, supporting growth, helping consumers navigate their financial lives, and fighting financial crime. Below, we’ve summarised some of the key takeaways.
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FEATURED ARTICLE
01.04.25 Strictly Boardroom

FCA to simplify Consumer Duty compliance

The Financial Conduct Authority (FCA) has announced an ambitious and much-needed program to simplify its requirements for firms, following the implementation of the Consumer Duty. This initiative seeks to address justified concerns about the complexity and volume of FCA rules and guidance, which have often forced firms, diverse in their nature and scale, into a regulatory Procrustes' bed. The attempt to fit all firms into the same rigid framework has resulted in disproportionate burdens and stifled innovation.
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FEATURED ARTICLE
24.03.25 Strictly Boardroom

Balancing innovation and consumer protection - The FCA's perspective on AI in credit decisions

The use of artificial intelligence (AI) in financial services is rapidly increasing, promising innovation and growth. This push for technological advancement, however, needs to be carefully balanced with the need to protect consumers, as emphasized by the FCA's principle of Consumer Duty.
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FEATURED ARTICLE
25.06.24 Strictly Boardroom

Competition Law is sport's hottest ticket this summer

With the UEFA European Championship underway in Germany, the team at O’Connors has been looking at a different type of competition that’s making a big impact on football, and professional sports in general across Europe: competition law.
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FEATURED ARTICLE
29.05.24 O'Connors News

O'Connors launches PLUS+ to support professional advisers

Liverpool and London-based law firm O’Connors has launched a new service called PLUS+ which enables lawyers, accountants, and other professional advisers to add O’Connors’ insurance and legal/financial services regulatory expertise to their advisory team when helping clients to manage risks in projects and transactions.
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FEATURED ARTICLE
24.09.24 Strictly Boardroom

How DORA will impact the financial services sector

It is estimated that cybercrime cost the UK economy around £27 billion in 2022, rising to £30.5 billion in 2023 and expected to increase again in 2024. On a global scale, the figure is in the multi-trillions. So, it’s not surprising that legislators are looking at how best to tackle this problem - especially within the financial sector.
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FEATURED ARTICLE
14.03.24 Strictly Boardroom

Can the UK become a leading captive insurance domicile?

The UK government will shortly commence its long-awaited consultation into a UK captive insurance regime. For some time, the UK insurance industry has been calling for the government to promote the development of regulatory guidelines which will support the growth of UK-based captive insurance vehicles, following six years of steadily rising insurance premiums.
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FEATURED ARTICLE
01.02.24 Strictly Boardroom

FCA proposals on the regulation of stablecoins in the UK

In November 2023, the FCA published its updated proposals on how cryptoassets will be regulated within the UK through Discussion Paper 23/4. With the announcement back in April 2022 that the Government plans to become a ‘global hub for cryptoassets trade and investment’, it is no surprise that they are working on getting the regulatory framework into shape. This latest paper sets out Phase 1 of the series of measures proposed, with stablecoins being the first cryptoasset to be fleshed out under the new regime.
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FEATURED ARTICLE
08.12.23 Strictly Boardroom

BSB Entities - Barristers pursuing public sector legal work under the Procurement Act 2023

Those following the Procurement Bill will no doubt recall its reading in Parliament following two years of extensive consultation and policy development post-Brexit. The Bill, reforming the pre-existing Procurement Rules received royal assent in October 2023, and has passed into law as the Procurement Act 2023.
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FEATURED ARTICLE
29.07.20 Strictly Boardroom

Bar Standards Board entities offer positive future for the Bar

Martin Luther King Jr said the ultimate measure of a person is not where they stand in moments of comfort and convenience, but where they stand at times of challenge and controversy.
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FEATURED ARTICLE
17.03.20 Strictly Boardroom

Writing insurance business into the UK

This boardroom briefing takes you behind-the-scenes of the insurance industry and highlights the risk management and insurance techniques that businesses use to protect and strengthen their balance sheet.
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