OVERVIEW
Our Capital Markets & Financial Services Regulation practice combines high-end transactional expertise, specialist regulatory knowledge and first-hand experience in the operation, governance and supervision of financial market infrastructures. We advise banks, investment firms, asset managers, listed companies, fintechs and corporates on the full spectrum of capital markets, financial services and market infrastructure matters — from licensing and market entry to ongoing compliance and enforcement.
Our work covers trading and post-trading rules, issuer obligations, corporate governance, ESG and sustainability regulation, fund regulation, capital markets transactions and innovative financial products. We support clients in designing structures that are commercially sound, operationally workable and regulatorily robust.
Areas of expertise
Banking & Financial Services Regulation
We advise credit institutions, investment firms, payment institutions, e-money providers, credit servicers and fintechs on banking and financial services regulation, including licensing, prudential supervision, capital adequacy, liquidity requirements and internal governance. Our experience spans regulatory perimeter analysis, market entry, fit-and-proper assessments, cross-border structures, consolidated supervision, AML/CTF compliance, sanctions, outsourcing, operational resilience and ESG-related risk governance. We also advise on bank restructuring, resolution, regulatory investigations, enforcement proceedings and compliance audits.
Capital Markets
We advise issuers, listed companies, underwriters, investment firms, shareholders and market institutions across the full range of equity and debt capital markets matters, including IPOs, secondary offerings, listings, delistings, public offers, private placements, sustainability-linked and green bond issuances, and ongoing issuer obligations. Our work covers prospectus requirements, disclosure obligations, market abuse rules, investor protection, shareholder rights, mandatory tender offers and regulatory change under the EU Listing Act. We also advise on the regulatory framework governing exchanges, trading venues, clearing houses, central securities depositories and settlement systems, and represent clients in contentious matters involving market abuse, insider dealing and disclosure breaches.
Funds & Collective Investments
We advise asset managers, fund managers, investment firms and institutional investors on the regulatory framework governing UCITS, alternative investment funds and other collective investment structures. Our work covers fund formation, regulatory authorisation, governance, investor disclosures, cross-border marketing, distribution and ongoing compliance. We assist clients in structuring products and governance arrangements under UCITS, AIFMD and MiFID-related obligations, and advise on green, social and sustainability-linked investment products, anti-greenwashing requirements and EU Taxonomy alignment.
Crypto Assets & Distributed Ledger Technology
We advise crypto-asset service providers, token issuers, fintechs, investment firms and market infrastructure participants on the regulatory requirements applicable to crypto-assets, tokenisation and distributed ledger technology. Our work covers MiCA-related licensing and compliance, white paper requirements, governance obligations, AML/KYC considerations, the structuring of stablecoins, security tokens and tokenised financial instruments, and DLT-based market infrastructure including smart contracts and blockchain governance. We bring particular experience in the regulatory evolution of DLT in capital markets, helping clients anticipate where the regulatory perimeter is moving next.
Credit Servicing
We advise financial institutions, investors credit servicers and other market participants on regulatory matters related to credit servicing. Our work covers regulatory perimeter analysis, licensing, supervisory compliance, governance, fit-and-proper assessments and general engagement with the Bank of Greece. We also advise on the interaction between credit servicing regulation, banking regulation, consumer protection, data protection and corporate governance, supporting clients in structuring transactions efficiently in a highly regulated market.
ESG Regulation & Sustainability Governance
We advise listed companies, financial institutions, asset managers and market participants on the evolving ESG and sustainability regulatory framework, including the EU Taxonomy, SFDR, CSRD, CSDDD, sustainability reporting and anti-greenwashing requirements. Our focus is on ESG regulation as it applies to capital markets and financial services — covering sustainability-linked instruments, green bonds, fund disclosures, investor-facing documentation and market expectations around transparency and accountability. We help clients integrate sustainability considerations into financial product design, distribution and disclosure in a way that is credible, documented and regulatorily robust.
Energy Trading & Carbon Markets
We advise on the regulatory framework applicable to energy trading, energy market infrastructures, carbon markets and sustainability-linked market initiatives. Our experience covers trading venues, exchanges, clearing arrangements, governance, licensing and the interaction between financial regulation, energy market regulation and market integrity obligations. We also advise on voluntary carbon market structures, carbon-credit frameworks, registries, trading platforms and alignment with EU sustainability standards, the EU Green Bond Standard and emerging regulatory expectations around carbon removals and environmental claims.
