Financial Advice & Regulatory Compliance

What We Do

Financial services regulation is ever-changing and complex, with firms having to allocate increased resources and costs to meet their compliance obligations.  It is therefore important to have company procedures that are fully compliant. Further costs and sanctions may be incurred in the long run if you fall foul of a regulator.

We can assist with the following:

  • Applying for authorisation or variation of permissions
  • Approved person applications (which may be contested by the FCA)
  • Advice on approved person fit and proper issues such as conduct and disciplinary matters, approval refusal, disclosure of criminal convictions and completion of Forms A-D
  • Supervision notification and reporting obligations
  • FCA Handbook rules and breaches
  • Customer complaint handling including Financial Ombudsman Service (‘FOS’) complaints
  • CASS compliance and rule breaches
  • Mis-selling and unsuitable advice concerns
  • Preparing senior management members for interview by the FCA or another investigating body
  • Advice regarding s166 skilled person reports
  • Perimeter and regulated activity (RAO) guidance
  • Anti-money laundering controls and financial crime compliance and POCA obligations

Why Choose Irwin Mitchell?

We advise firms and senior managers of their financial regulatory obligations when applying for authorisation and approval, dealing with supervision conduct enquiries and visits. We also provide expert representation if you are subject to an investigation.

In providing financial regulatory and compliance advice we can draw on assistance from our colleagues in other teams specialising in pensions, employment, corporate and commercial litigation.

Contact Us

Our lawyers can help you and your business with all aspects of financial services regulation compliance. Give our friendly team a call on 0808 291 4962 or get in touch online.

Jason Newall
Jason Newall Partner Meet Our Financial Services Regulation & Enforcement Team

Recent Work

Demolition

We advised a demolition company regarding a proposed ship breaking operation on compliance with the UK legal framework

Car Exports

We advised the directors of a car export company being prosecuted by the Environment Agency

Testimonials & Client Feedback

We truly value the feedback we receive from both our clients and legal accreditation societies, such as The Legal 500 and Chambers & Partners.

Chambers & Partners UK Top Ranked Firm 2022

"Expertise advising clients on compliance with Europe-wide regulatory changes such as GDPR."

Chambers & Partners, 2022
Legal 500 UK Leading Firm 2022

"Depth of experience. IM have worked on many of the major fraud, financial services, cartel and money laundering cases and done so to an exceptionally high standard."

Legal 500, 2022
Legal 500 UK Leading Firm 2022

"A dynamic team with a broad skillset, particularly when assisting those that are the subject of regulatory investigation."

Legal 500, 2022

Find one of our solicitors near you

We have offices in major cities throughout the UK and our lawyers can arrange to visit you or your business in person if necessary. We also have international capability, with global links to other legal specialists.

Our Locations

Awards & Accreditation

We’re proud of the recognition we’ve received for our business legal work. For a list of awards and accreditations, please visit our awards page.

Chambers & Partners 2020 logo

Business News

Our lawyers are regularly asked to provide expert insight, advice and analysis for the national media. Take a look at the stories below to see what we’re saying, as well as some of the recent deals we have completed for our clients here in the UK and abroad.

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