Jason Newall
Partner
Financial Advice & Regulatory Compliance
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.
What we do
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.
Speak to a Legal Partner
Our team support you to navigate complexity, seize opportunity and move forward with legal clarity.
Contact our Specialists
Get strategic advice from a team that knows how to protect and grow your business. Please complete our enquiry form and one of our experts will contact you by the next working day.
Alternatively, you can call us now.
Our opening hours are Monday to Friday 8am to 6pm (Excluding Public Holidays).
0370 1500 100
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.
Making an enquiry
We have several ways you can contact us, either by completing our online contact form, by phone, or using our live chat. If you start your journey online, here are the first steps to working together.
Complete our online formWe need a few details to understand your situation and the kind of support you need.
We’ll contact you by phoneOn the call our experts will ask you a few more questions to make sure we connect you with the right legal advice from our team.
We arrange a full appointmentYour next step is an in-depth appointment with a specialist solicitor to discuss how we could advise you.
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.
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