Financial Regulation


Ofelia García

Faced with an increasingly complex and ever-changing regulatory framework in a sector that is undergoing dramatic digital transformation, financial institutions require meticulous monitoring of regulatory changes and a complete understanding of their impact on the financial sector.

Our team is highly specialised, client-focused and capable of handling all areas of financial regulation to provide first-class technical advice for both the Ibero-American and international markets. We are in continual contact with the supervisory authorities and our experience enables us to offer an innovative and practical approach to:

  • Creation and authorisation of entities and branches, EU passporting, acquisition of significant stakes and the fit & proper rules
  • Mergers, acquisitions and spin-offs of non-core activities. Prudential consolidation and reorganisation of groups and regulated entities
  • Resolution planning: analysis of legal entities and corporate structures
  • Corporate governance: remuneration, corporate policies, defining functions, and outsourcing
  • Rules of conduct and best practices in financial services, commercialisation of products and client relations, including the prevention of money laundering and financing of terrorism
  • MAR rules, compensation, settlement and custody of securities, reporting of transactions, and securities and payment systems
  • Asset management and collective investment schemes
  • Innovative capital instruments and structures
  • Supervision (including the SREP and appeals against decisions), inspection and sanctioning procedures concerning all types of entities
  • Digital assets and new financial services or functionalities with a technological component


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