Managing your regulated business
As you know the regulatory requirements have only just begun when a firm obtains authorisation. There are many rules and requirements which will apply to your regulated business and ensuring you remain compliant within an ever changing regulatory landscape can be difficult. This is even more so the case for those organisations who are required to comply with the different rules imposed by the FCA and the PRA.
We can advise and support you in relation to the on- going requirements including:
- Compliance arrangements
- Management Controls and Systems
- Training and Competence and recruitment disciplines
- Conduct of business: Regulations over the interaction with your clients
- Corporate governance
- Financial promotions
- Product design/ manufacture and distribution
- Outsourcing and Procurement
- We advise both regulated firms and firms who supply to the regulated sector on the regulatory requirements and on ensuring the commercial agreements meet these standards.
- Threshold conditions and continuing to meet them as your business changes and developes
- Responsibilities of Approved Persons
- Client Money issues
- Selling or buying books of business
FREE initial enquiry
To discuss your legal needs, please call Marie Huntley on 020 3609 8764.
Simply outline the situation you're facing, and we'll tell you how we can help and what it will cost.
There's NO CHARGE for the initial conversation. That's right. It's completely free. Zilch. Nada.
By the way, our fees are often fixed or capped to help you budget, and we send invoices monthly so you can spread the cost.