financial 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
