Regulatory Advice
The Financial Services & Markets Practice advises all types of
firms, both wholesale and retail, on all matters arising out of
the Financial Services and Markets Act 2000, including the Regulated
Activities Order, the Financial Promotions Order and the regulatory
requirements contained in the FSA Handbook.
Our lawyers support the senior management of firms in evaluating and
managing regulatory risk and are able to work alongside compliance personnel,
auditors and internal audit to provide firms with solutions to regulatory
issues, whatever their scale or scope.
Our advisory work includes:
- FSA authorisation issues (application or variation)
- Perimeter guidance – are
you carrying on a regulated activity?
- Exclusions in the Regulated
Activities Order
- Financial promotions and qualifying credit promotions
- Senior management
arrangements, systems and controls (SYSC)
- Conduct of business (COB,
MCOB and ICOB)
- ARROW visits and risk mitigation programmes
- Regulated and unregulated collective investment schemes
- Prudential and capital adequacy issues
- Anti-money laundering issues
- Market abuse and insider trading
- Treating customers fairly (TCF) and unfair contract terms
- Fitness and
propriety
- Consumer credit licensing and credit brokerage/debt counselling
- E-money
issuers
- Commodity and derivative trading
- SIPPS and property investments
- Material outsourcing arrangements
- Mortgages and special purpose vehicles
(SPVs)
- Website design and functionality, including financial promotions
- Corporate finance
- Hedge funds
The Financial Services & Markets Practice operates out of the firm's
London and Exeter offices and services clients throughout the UK.
The Financial Services & Markets Practice – our
regulatory specialists
Click on name for a member profile
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