our services
authorisation
Our experience includes:
- advising on the need and requirements for obtaining
authorisation
- advising on the approval for individuals under the Approved
Persons regime
- preparing and reviewing applications for and assisting in
applying for authorisation
- reviewing contracts of employment for Approved Persons and
non-executive directors and providing guidance and training on
regulatory responsibilities
- advising banks, investment and insurance businesses and
mortgage and general insurance firms on authorisation
issues
systems and controls and compliance arrangements
Our experience includes:
- advising on compliance controls, regulatory requirements and
documentation to establish wealth management businesses
- reviewing existing systems and controls and carrying out
compliance reviews
- providing bespoke training on senior management
responsibilities and regulation
- advising on internal procedures to comply with anti-money
laundering requirements
outsourcing and procurement
Our experience includes:
- firms and suppliers of outsourced services on all aspects of
outsourcing
- IT suppliers on all areas of IT and
Communications products and services
- regulatory requirements of outsourcing transactions and IT
procurements
financial products and promotions
Our experience includes advising on all
aspects of structuring, operating and promoting regulated financial
products including:
- banking products (including bank accounts, credit cards and
mortgages)
- life and investment products (including collective
investment schemes and unit trusts)
- insurance products
conduct of business
Our experience includes advising on:
- documentation for introducers, appointed representatives,
principals, networks and service providers
- compliance arrangements and compliance training materials
- all aspects of the FSA Handbook rules
- all aspects of outsourcing and product
distribution
regulatory investigations and enforcements
Our experience includes advising
on:
- the consequences and how to deal with regulatory breaches
- the conduct of internal investigations and dealing with the
regulator in the event of an investigation or enforcement
action
financial promotions
Our experience includes advising on:
- the development of new product literature (including web based
promotions)
- the regulatory implications of product and business development
initatives
- compliance with FSMA and other relevant legislation and rules,
including consumer credit, data protection and the application of
EU Directives
For further information please contact Kath Shimmin in the
Financial Regulation team on 023 8085 7081 or email kath.shimmin@bllaw.co.uk
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