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Regulatory Legal Services

Ogier provides specialist regulatory legal advice, using hindsight and foresight to deliver insight on your business needs today and tomorrow.

The regulatory environment is increasingly complex and challenging, often involving multiple regulatory bodies across multiple jurisdictions. We network extensively with the best firms and consultants to ensure our clients get the right advice in diverse and cross-border situations.

We ensure clients comply with their regulatory obligations and are briefed on future regulatory change so they are ready to respond. We advise regulated businesses on contentious regulatory matters including investigations and enforcement actions as well as registration and licensing. We also assist in setting up and updating the right regulatory or compliance framework. Our pragmatic experts balance astute technical compliance with realistic, practical implementation advice and deal with issues as they arise.

Clients operate in fast paced and complex environments with demanding regulatory obligations to meet. We understand this and our Regulatory legal team, spanning Ogier's jurisdictions, uniquely includes skilled and experienced leading regulatory lawyers in addition to senior industry professionals. This dynamic ensures clients receive, cross-jurisdictional, astute legal advice that is strategic, practical and operationally fit for purpose. Our team has helped shape much of the law and regulations that impact our clients, engaging in regulatory consultations, proposals, initiatives and reforms thanks to our long-standing relationships with industry regulators in our six core legal jurisdictions.

Our team has extensive knowledge in cross-disciplinary regulatory topics from AML / CFT compliance to strategic regulatory structuring, but importantly, our regulatory experts have a deep understanding of the particular sector of the financial services industry in which they advise. Our regulatory lawyers are sector specialists, rather than regulatory generalists. Our clients include financial institutions, well known global organisations, and local businesses.

It is crucial that clients receive a comprehensive regulatory legal service. We are here to assist clients in obtaining a regulatory licence through to ongoing day to day compliance obligations but also successfully managing regulatory inspections and potential litigious investigations / sanctions. This is why our Regulatory legal services offering consists of the three core pillars below.

Regulatory expertise

Financial services and regulation

Ogier assists its clients to put regulatory control processes and due diligence in place to effectively manage all financial compliance risks, including those relating to prudential regulations, conduct of business regulations, AML / CFT / CPF and financial crime.

Financial services and regulation

Financial crime

Contentious regulatory matters including investigations and enforcement actions, assisting with internal investigations, responses to external investigations, and regulatory and prosecutorial actions, with experience in prosecutions and defence of financial crime issues.

Our expertise

Business crisis management

Business crisis management in the 21st century has to be fast, agile and expert. Businesses are responding to issues in real time with the potential for intense media exposure, cross-border regulatory action and large fines, as well as fines and / or imprisonment for officers and directors.

Our expertise