“Wright Hassall is large enough to have an all-round skill-set whilst local enough to give personal attention…Niche specialisms include FSA regulatory work” Legal 500 UK 2010
What do we do?
We provide specialist advice and assistance on issues relevant to a broad spectrum of the financial services industry including:
setting up new FSA regulated businesses;
developing/launching new financial products;
advice on the scope and impact of current or future legal and regulatory regimes and FSA conduct of business principles (e.g. “treating customers fairly”);
undertaking s166 “skilled person” investigations and reports;
compliance support, reviews of systems and controls, capital adequacy;
advice/assistance prior to or in connection with FSA investigations, ARROW II visits, customer complaints and FOS complaints;
support for training & competence programmes for staff, senior managers and controlled function holders; and
offering dovetailed support (including due diligence, acquisitions/sales, employment, IT procurement, brand protection and debt collection) to financial service sector businesses.
Who do we work with?
Our lawyers have worked with – sometimes on an in-house basis - financial services businesses. We have advised product providers, intermediaries, mortgage lenders, service providers and other firms, in relation to their general business activities as well as their current and future regulatory obligations.
Wright Hassall is a full member of the Association of Professional Compliance Consultants (APCC). APCC is the only nationwide association of compliance consultancy firms in the and its members advise firms regulated by the Financial Services Authority in the on all aspects of regulatory compliance. Working alongside an APCC consultant/firm allows for specific elements of our client’s FSA compliance requirements (from regulatory reporting to staff training; compliance audits to senior management liaison) to be handled in the most cost effective way and by the most experienced team member.
For a no-obligation chat about how we can support you in the financial services sector, please contact Steven Janes.
