Regulatory

We advise clients, including stockbrokers, hedge funds, fund managers, mortgage providers and insurers, in connection with all aspects of financial services regulatory and compliance work, including:

• Obtaining FSA regulatory authorisations
• Obtaining FSA approval for changes of control of firms
• Preparing/reviewing compliance procedures and arrangements
• Advising on the establishment of fund managers and of funds, other products and services, service providers and open architecture arrangements
• Ensuring customer-facing materials and internal materials are compliant
• Inputting on the impact, opportunities and hazards of "hot" regulatory issues
• Advising on regulatory issues arising in relation to the acquisition and disposal of businesses
• Advising on disputes with regulators and in relation to possible or actual disciplinary proceedings
• Conducting or assisting with investigations and reviews in respect of regulatory matters