What We Do
Financial regulators, both at home and abroad, are increasingly investigating the conduct of financial services firms here in the UK to ensure that consumers and customers are treated fairly.
We regularly provide expert advice to financial services firms and senior management members on the complexities of financial regulations. If you need assistance with financial regulation, we can help advise you on:
An enforced investigation can be costly and potentially devastating, with the possibility of significant financial penalties and sanctions.
We can provide expert advice to ensure that your company contracts, warning notices and other documents are all up to date. Errors in these documents could lead to regulatory action, significant costs and bad publicity.
Why Choose Irwin Mitchell?
Our financial regulations team can help you when applying for financial authorisation and approval, as well as dealing with supervision conduct enquiries and visits. We can also provide specialist representation if you are subject to an enforcement investigation.
We provide general advice on commercial contracts across a range of financial services areas, including private client stockbroking, fund and asset management and payment services.