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