REGULATORY ADVICE

Specialist regulatory advice for those operating in the financial services and legal services sectors

REGULATORY ADVICE

Financial Services Regulation – We provide the full range of regulatory advice to business organisations and individuals involved in the financial services sector including advice on:

  • The UK regulatory regime under the Financial Services and Markets Act 2000 (FSMA) and its implications for those setting up or operating insurance and other financial services businesses or arrangements in the UK
  • Cross-border regulation and conduct of business
  • Transaction-related regulatory due diligence
  • Financial promotions
  • Data protection issues

 

Legal Services Regulation – We provide the full range of regulatory advice to business organisations and individuals involved in the legal services sector including advice on:

  • The interpretation of the Solicitors Regulation Authority (SRA) handbook and its implications for solicitors, law firms and related service providers
  • The interpretation of the Bar Standards Board (BSB) handbook and its implications for barristers, chambers and related service providers
  • The interpretation claims management services regulation and its implications for claims managers and related service providers
  • Applications for SRA alternative business structures (ABS)
  • Applications for BSB entity regulation
  • Transaction-related regulatory due diligence
  • Formalising key commercial agreements with introducers and others
  • Data protection issues