Financial Regulatory

“Uría Menéndez has ‘an incredibly deep level of expertise’, displays ‘outstanding service, efficiency and reliability’, and ‘the lawyers always bring to the table an extraordinary level of contact with regulators’.” ( Legal 500)


We advise on all aspects relating to the financial regulation of undertakings for collective investment (UCITS), their management entities and depositaries, investment services companies, venture capital firms and their management entities and credit entities.

We offer our clients experience in Spanish, Portuguese and international financial practice, cross-border implications of activities in this sector, permanent contact with supervisory authorities and an innovative and practical approach to our work. The Financial Regulatory team regularly advises in the following areas:

  • Authorisation, incorporation and establishment in Spain and Portugal, change of business activity and delegation of duties in regulated entities (credit entities, investment services companies, UCITS, etc.)
  • Acquisitions, investments in and mergers of regulated entities
  • Restructuring, disposal, winding-up and liquidation of regulated entities
  • Contracting between companies (delegation of duties and outsourcing) and between companies and clients
  • Rules of conduct and best practices in the financial sector; handling complaints made to customer service departments and supervisory bodies
  • Market abuse, securities markets, set-off and liquidation
  • Supervision and inspection procedures concerning all types of entities and activities in the securities and credit markets
  • Administrative sanction proceedings