What we do
We advise authorised firms and those who are wishing to undertake regulated activities on a broad range matters: from obtaining authorisation through to complying with the regulatory framework and, if the needs arises, to assisting in investigations and enforcement action.
We have advised product providers, intermediaries, mortgage lenders, service providers and other firms that are not currently regulated in relation to their general business activities as well as current and future regulatory obligations. We provide specialist advice and assistance on issues across a broad spectrum of the financial services industry including:
advising in connection with authorisations, regulatory compliance, investigations and enforcement proceedings
advice on new product development (and changes to existing products) in connection with a broad range of retail financial services products, structured capital plans and receivables securitisations
advice in connection with disputes (including those before the Financial Ombudsmen Service)
advising authorised firms in connection with a broad range of third party contracts including: relationship/distribution agreements; investment management agreements; back office processing and other outsourcing arrangements
advising authorised firms (including IFA’s and other financial service sector businesses) on acquisitions and/or exit strategies
offering dovetailed and financial services sector focused support (including employment, IT procurement, brand protection and reputation and debt collection) to financial service sector businesses
