What We Do

Financial regulators, both at home and abroad, are increasingly investigating the conduct of financial services firms here in the UK to ensure that consumers and customers are treated fairly.

We regularly provide expert advice to financial services firms and senior management members on the complexities of financial regulations. If you need assistance with financial regulation, we can help advise you on:

An enforced investigation can be costly and potentially devastating, with the possibility of significant financial penalties and sanctions.

We can provide expert advice to ensure that your company contracts, warning notices and other documents are all up to date. Errors in these documents could lead to regulatory action, significant costs and bad publicity.

Why Choose Irwin Mitchell?

Our financial regulations team can help you when applying for financial authorisation and approval, as well as dealing with supervision conduct enquiries and visits. We can also provide specialist representation if you are subject to an enforcement investigation.

We provide general advice on commercial contracts across a range of financial services areas, including private client stockbroking, fund and asset management and payment services.

Contact Us

Our lawyers can help you and your business with all aspects of financial services regulation compliance. Give our friendly team a call on 0808 291 4962 or get in touch online.

Recent Work


We advised a demolition company regarding a proposed ship breaking operation on compliance with the UK legal framework

Car Exports

We advised the directors of a car export company being prosecuted by the Environment Agency

Business News

Our lawyers are regularly asked to provide expert insight, advice and analysis for the national media. Take a look at the stories below to see what we’re saying, as well as some of the recent deals we have completed for our clients here in the UK and abroad.

Testimonials & Client Feedback

We truly value the feedback we receive from both our clients and legal accreditation societies, such as The Legal 500 and Chambers & Partners.

Chambers & Partners UK Top Ranked Firm 2022

"Expertise advising clients on compliance with Europe-wide regulatory changes such as GDPR."

Chambers & Partners, 2022
Legal 500 UK Leading Firm 2022

"Depth of experience. IM have worked on many of the major fraud, financial services, cartel and money laundering cases and done so to an exceptionally high standard."

Legal 500, 2022
Legal 500 UK Leading Firm 2022

"A dynamic team with a broad skillset, particularly when assisting those that are the subject of regulatory investigation."

Legal 500, 2022

Find one of our solicitors near you

We have offices in major cities throughout the UK and our lawyers can arrange to visit you or your business in person if necessary. We also have international capability, with global links to other legal specialists.

Awards & Accreditation

We’re proud of the recognition we’ve received for our business legal work. For a list of awards and accreditations, please visit our awards page.

Chambers & Partners 2020 logo