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Financial Services
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Alan Taylor

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+682 2*****
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Chris Armstrong

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+356 2*****
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Nik Albrecht

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02 801*****
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Preetam Prayag

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+230 4*****
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Thomas Griffin

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0034 9*****
Thomas Griffin
deVere Spain S.L..

Jonathan Crompton

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+852 2*****
Jonathan Crompton
Reynolds Porter Chamberlain LLP

Brigitte Goulard

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416.86*****
Brigitte Goulard
Torys LLP

Ana Bohórquez

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+34 91*****
Ana Bohórquez
Squire Patton Boggs

Find Expert Financial Services Lawyers Through Global Law Experts

What is covered under Financial Services Law Practice?

The Financial Services Law Practice is a broad and complex field that provides legal counsel to financial institutions on the extensive body of laws and regulations governing their operations. This practice is dedicated to advising a wide range of entities, including banks, insurance companies, investment firms, and payment processors, on how to navigate the heavily regulated financial landscape. It covers ensuring that these institutions are fully compliant with all applicable rules, from their initial licensing and capital adequacy requirements to their day-to-day market conduct and consumer protection obligations. Practitioners also play a critical role in advising on new financial products and technologies, and in representing firms during regulatory examinations, investigations, and formal enforcement actions brought by government financial authorities.

Financial Services FAQ's

Financial services are the economic services provided by the finance industry to individuals and corporations. This broad term encompasses a wide range of activities related to the management of money. These services include the functions of banking, such as accepting deposits and making loans; investment services, like wealth management and securities trading; insurance services, which offer risk protection; and payment systems that facilitate the transfer of funds between parties.

The main types of financial services are generally grouped into several key categories. The primary types include commercial and retail banking services, which cover deposit-taking and lending. Investment services encompass asset management, brokerage, and underwriting of securities. Insurance services provide a wide range of risk management products, such as life, health, and property insurance. Payment and settlement services are another critical category, facilitating the transfer of funds through various systems.

Financial regulation is the system of rules, standards, and government supervision that is imposed on financial institutions. It is important because the financial sector is critical to the health of the overall economy. The primary goals of financial regulation are to maintain the stability and integrity of the financial system, to protect consumers and investors from fraud and unfair or abusive practices, and to combat financial crimes like money laundering, thereby ensuring public trust and confidence in the financial industry.

The fundamental purpose of consumer protection in finance is to establish a legal framework that safeguards individuals in their dealings with financial institutions. This framework is built on principles of fairness and transparency, and it works by requiring financial firms to provide clear and honest information about their products, outlawing deceptive acts and unfair practices, and creating mechanisms for redress so consumers have a way to resolve disputes and seek compensation for harm.

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