Regulatory Advice

Summary

We provide advice on FCA/PRA regulatory and compliance issues including advice and guidance on all aspects of the financial services and markets legislation and the conduct of business rules in the FCA handbook.

FCA
Bank of England

Areas of Expertise

Selling restrictions for funds and financial products
FCA/PRA authorisations
Advice on registration of overseas UCITS funds
Treating customers fairly reviews (TCF)

Terms of business drafting and review
Anti-money laundering legislation
Bribery legislation
Client classification projects
FCA/PRA complaints handling reviews