Financial Services Regulation Legal Services
As a business in the regulated financial services sector you know that regulation impacts on the whole of your business and that meeting the standards set by the regulators is key for your business' success and survival.
We use our legal expertise to advise our financial services clients on the various stages of the business journey through this highly regulated sector. Our Financial Services Regulation support is led by Marie Huntley, whose long term in- house legal and compliance expertise and her experience as an Approved Person means that she approaches your business’ regulatory issues with an exceptional awareness of the commercial and financial landscape in which you must comply with your regulatory duties. The areas in which we can assist you include:
- Authorisation of your business
- Managing your regulated business
- Client Money issues
- Investigations and Enforcement Actions
- Run-off and de-regulation