0808 271 2602

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.

Recent Work

Our expert team of financial regulations solicitors have recently acted for:

  • An unregulated firm in relation to FCA perimeter, regulated activity and financial promotion concerns relating to pension unlocking. We made written representations and FCA enforcement decided to take no action against our client.
  • A firm in the European Economic Area subject to a s166 skilled person report and customer complaints relating to pension switching with related FOS complaints.
  • A stockbroker subject to transaction reporting s166 skilled person report and approved person issues. No action was taken by Supervision or Enforcement after s166 report was submitted.
  • Fund managers on corporate structuring including limited partnerships.

Testimonials

“An excellent firm. They are very responsive to clients’ needs, very proactive and they add value significantly to the preparation and conduct of the case.” - Chambers & Partners, 2016.

"Irwin Mitchell is 'an excellent alternative to the City firms' for FCA investigations and enforcement actions." - Legal 500, 2014.

For more information on Financial Advice & Regulatory Compliance

If you are interested in understanding how Irwin Mitchell can help you with your Financial Advice & Regulatory Compliance work then please contact Paul Haycock (Associate Director) on +44 (0)114 274 4275, or send us an email.

0808 271 2602

Key Contact

Paul Haycock