Regulatory & Risk Advisory

Walkers' regulatory and risk advisory team offers Bermuda, British Virgin Islands, Cayman Islands, Guernsey, Irish and Jersey law advice on regulatory matters on a global basis. Our team comprises dedicated specialist financial regulatory and risk management advisory lawyers. We bring insight obtained from having worked inside various national regulators, including the Cayman Islands Monetary Authority, the British Virgin Islands Financial Services Commission, the UK Financial Conduct Authority and the Central Bank of Ireland, and as in-house global financial institution regulatory counsel as well as in international private practice.

Our team regularly advises non-regulated and regulated financial institutions including a wide range of businesses in the banking, insurance and reinsurance, investment fund, administrator, fiduciary and investment management, advice, broker-dealer and arranger sectors, including:

  • all regulatory applications and notifications, including new licences, variations or cancellations of existing licences and others
  • regulatory implications of mergers, acquisitions and reorganisations, including obtaining regulatory approval for changes of ownership or control
  • all day-to-day regulatory compliance matters
  • all required policies, procedures and compliance monitoring programmes
  • regulatory gap analysis and audits
  • preparing for regulatory inspections 
  • anti-money laundering and counter-terrorist financing, including delegation, reliance on third parties and designation of compliance and money laundering reporting officers
  • international sanctions
  • anti-bribery and corruption
  • market abuse and insider dealing
  • corporate governance and directors' duties, fitness and propriety
  • outsourcing
  • business continuity
  • regulatory capital and reporting, segregation of assets
  • regulatory strategy and developments, including extra-territorial impact of foreign regulation
  • regulatory aspects of transactional documentations and service provider agreements
  • marketing of investment products and services
  • data protection, including GDPR and local legislation
  • confidential information and data protection
  • FATCA and CRS
  • beneficial ownership
  • internal and regulatory investigations

Our team also offers significant experience of advising on a wide range of fintech matters, including fintech closed ended and open ended investment strategies, coin and token offerings, crowdfunding, peer-to-peer lending and, payments, outsourcing to fintech providers (including cloud data storage) and assisting numerous types of fintech businesses.

 


BRITISH VIRGIN ISLANDS
Lisa Penn-LettsomeSenior CounselT +1 284 852 2241lisa.penn-lettsome@walkersglobal.com

CAYMAN ISLANDS
Lucy FrewPartnerT +1 345 814 4676lucy.frew@walkersglobal.com

GUERNSEY
Stephen OzanneSenior CounselT +44 (0)1 481 748 913stephen.ozanne@walkersglobal.com

HONG KONG
Alice MolanPartnerT +852 2596 3425alice.molan@walkersglobal.com

IRELAND
Eoin O'ConnorPartnerT +353 1 470 6664eoin.oconnor@walkersglobal.com
Shane MartinOf CounselT +353 1 470 6673shane.martin@walkersglobal.com

JERSEY
Nigel WestonPartnerT +44 (0)1534 700 788nigel.weston@walkersglobal.com

LONDON
Sara HallPartnerT +44 (0)20 7220 4975sara.hall@walkersglobal.com

NEWS
ARTICLE
ADVISORY