Regulatory

The regulatory environment is increasingly complex and is often challenging for regulated businesses. Specialist legal support is frequently required to advise on regulatory change or to consider the right response to potential issues.

Ogier strives to ensure that our clients not only remain in compliance with their regulatory obligations but that they receive forewarning and practical advice regarding the implementation of regulatory proposals, initiatives and reforms.  

We have long-standing and professional relationships with industry regulators in the BVI, Cayman Islands, Guernsey, Jersey and Luxembourg which is coupled with our wealth of experience assisting some of the world's largest financial services businesses in implementing change to meet the requirements of new laws and regulations. We pride ourselves on balancing astute technical compliance with realistic practical implementation advice.

Ogier regularly advises clients on registration, licensing and regulatory compliance.  Our team has helped to shape much of the law and regulations that impact our clients, be it through active participation in various industry bodies and regulatory committees, through consultation on new laws or direct dialogue with the regulatory body in each of our jurisdictions.

We also advise regulated businesses on contentious regulatory matters including  investigations and enforcement actions, assisting with all phases of the investigation process. Our team has the capacity to assist and advise in the prosecution and defence of financial crime issues, on sanctions-related issues, in self-initiated internal investigations and more generally on cross-border investigations, often working on such matters alongside onshore and in-house legal teams.

Our regulatory experts have a deep understanding of the particular sector of the financial services industry in which they advise, be it banking, insurance, securities investment business, corporate administration or investment funds. In this way, we stand out from our competitors in that our regulatory lawyers are also specialists in the applicable sector, rather than regulatory generalists.

Our regulatory team spans Ogier's jurisdictions, allowing our regulatory experts to undertake cross-jurisdictional analysis and provide a holistic solution, a useful tool where a multi-national client is facing similar regulations in different jurisdictions.

Services

We deal with

  • Anti-bribery and corruption
  • Anti-money laundering (AML) compliance services and reporting obligations
  • Attendance at interviews conducted in respect of regulatory investigations
  • Authorisation, licensing and registration
  • Competition
  • Corporate administration licensing and regulation
  • Corporate Governance
  • Cross jurisdictional investigations
  • Data protection compliance services
  • Disclosure/restraint orders
  • Economic substance analysis and compliance
  • Financial services regulation (banking, investment services, funds and trusts)
  • Health and safety
  • Immigration
  • Insurance and Reinsurance Business Licensing and Regulation
  • Investment Manager Licensing and Regulation
  • Maxwellisation of reports
  • M&A due diligence support
  • Mutual legal assistance (MLA)
  • Negotiations on sanctions and export controls
  • Regulatory enforcement actions, including cross border investigations and enforcement
  • Regulatory training and audit
  • Reporting and annual filing requirements
  • Risk management and compliance
  • Sanctions
  • Self-initiated investigations
  • Targeted Financial Sanctions Advisory Services
  • Tax Information Exchange and Reporting Compliance Services
  • White collar crime

Industry regulators

We have longstanding and professional relationships with industry regulators including:
BVI - Financial Services Commission
Cayman Islands - Cayman Islands Monetary Authority
Guernsey - Guernsey Financial Services Commission, Channel Islands Competition and Regulatory Authorities
Jersey – Jersey Financial Services Commission, Channel Islands Competition and Regulatory Authorities, Population Office and Data Protection Commissioner
Luxembourg - Commission de Surveillance du Secteur Financier (CSSF), Direct and Indirect Tax Authorities, Data Protection Commissioner
Hong Kong - Ogier does not provide Hong Kong legal and/or regulatory advice and therefore cannot advise on Hong Kong securities and/or futures regulation

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