29 Jan Addleshaw Goddard LLP
About
Addleshaw Goddard has one of the largest Financial Regulation teams in the UK. We are organised into internal practice groups and Addleshaw Goddard's key point of difference is the integration of experienced financial regulation lawyers with senior Compliance Professionals specialising in operational governance, risk and compliance; combining sound technical and industry legal and consultancy experience.
Our Regulatory Risk and Compliance Practice Group remains focussed upon supporting firms with the FCA conduct challenge and have on experience of implementing complex regulatory frameworks and requirements into business processes and have frequent interaction with regulators.
Address
EC1Y 4AG
T: 02076068855
E: nikesh.shah@addleshawgoddard.com
W: http://www.addleshawgoddard.com
Services Offered
- Advice pre regulatory risk assessment or supervised visit
- Authorisation - FCA
- Authorisation - PRA
- Complaints Handling Reviews
- Compliance Advice
- Compliance Support
- Compliance Training
- Contracting / Interim
- Documentation
- Enforcement Action - Financial Services
- Expert Witness - AML and Payment Services
- Expert Witness - Financial Services
- File Reviews and/or Monitoring
- Health Checks
- Information Security / Data Protection
- Mis-selling reviews
- Pension Reviews
- Regulatory Hosting / Incubation
- Regulatory Returns
- Regulatory Updates
Firms Served
- Banks Deposit Takers
- Building Societies
- Claims Management Companies
- Collective Investments Funds
- Consumer Credit Providers
- Credit Unions
- Custodians/Depositaries
- Discretionary Fund Managers
- Electronic Money Issuers
- Energy Market Participants
- Friendly Societies
- High Value Dealers
- IFA - Financial Institutions
- Institutional Investment Management
- Insurance Brokers - General
- Insurance Brokers - Pure Protection Products
- Insurers
- Investment Banks
- Lloyds
- Money Service Businesses
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Multi Lateral Trading Facility
- Payments Services Institutions
- Private Client Investment Management
- Restricted Financial Advisors
- Retail Investment Management
- Sale and Rent Back
- Securities and Futures firms
- SIPP providers
- Stockbrokers
- System Providers
- Third Party Product Providers
- Trust Service Providers