Our Knowledge, Your Business
Financial services regulations and compliance duties place a heavy burden on organisations, so if you need guidance and support in order to ensure that your activities remain within the law, Irwin Mitchell can provide the expertise, experience and capabilities you require.
Experts In Financial Services Regulations & Compliance
Recent dramatic events in financial markets have brought to the centre of public attention the regulation of banking, insurance and other financial services.
Consequently, FSA-regulated firms can expect further changes in the rules governing their businesses, together with a demand for increased public accountability.
The Financial Services and Markets Act 2000 and the Handbook of the Financial Services Authority are long, complex documents – yet they are only part of an extensive and changing regulatory regime that affects both companies and individuals.
In such a highly regulated area, risk management underpins our advice and we seek to ensure our clients develop their businesses, while also remaining compliant.
Our services include:
- Regulatory health checks on client proposals
- Preparation of contractual and constitutional documentation for regulated businesses
- Review of customer-facing material
We advise both regulated and non-regulated business clients on matters such as:
- The ‘regulatory perimeter’ (whether businesses should seek FSA authorisation)
- The scope of rules governing collective investment schemes
- Financial promotions
- Regulatory compliance
- Retail documentation
- Defining permissible business actions under authorisation
- Establishing and maintaining effective compliance procedures
- For non-authorised businesses, defining permissible actions without seeking FSA authorisation
- Keeping up to date with ever-changing FSA rules
How We Work With In-House Counsel
We have many years of experience in providing commercially focused and objective legal advice to in-house counsel from a range of sectors and industries.
Our legal specialists will offer you guidance in plain language that can be easily integrated into your organisation.
Unlike with some other law firms, with us you get a high level of involvement from our partners. We can offer creative solutions to your business problems and a proactive, straightforward approach.
Further Financial Services Regulations & Compliance Information
To arrange a discussion with no obligations, call 0870 1500100 or send us an online enquiry.