28 Jan DWF Regulatory Consulting
Posted at 15:14h
in Uncategorised
DWF specialise in providing advisory and legal services to FCA, PRA and PSR regulated firms.

Address
1 Scott Place,
2 Hardman Street,
Manchester,
M3 3AA
T: 03333203330
E: Regulatory.Consulting@dwf.law
W: http://www.dwf.co.uk
M3 3AA
T: 03333203330
E: Regulatory.Consulting@dwf.law
W: http://www.dwf.co.uk
Services Offered
- Advice pre regulatory risk assessment or supervision visit
- Authorisation -FCA
- Client Assets
- Complaints Handling Reviews
- Compliance advice
- Compliance Support
- Compliance Training
- Documentation
- Due Diligence
- Enforcement Action - AML and Payment Services
- Enforcement Action - Financial Services
- Expert Witness - AML and Payment Services
- Expert Witness - Financial Services
- File Review
- Health Checks
- Money Laundering/Financial Crime Advice and Reviews
- Payments Services Registration and Compliance
- Pension Reviews
- Regulatory Returns Assistance
- Regulatory Updates
Firms Served
- Authorised Professional Persons
- Banks/Deposit Takers
- Building Societies
- Claims Management Companies
- Collective Investments Funds
- Company Service Providers
- Consumer Credit Providers
- Corporate Finance Firms
- Credit Unions
- Custodians/Depositaries
- Discretionary fund managers
- Electronic Money Issuers
- Energy Market Participants
- Friendly Societies
- High Value Dealers
- IFA (incl IFA divisions of financial institutions)
- Institutional investment management
- Insurance Brokers - General
- Insurance Brokers - Pure Protection Products
- Insurers
- Investment Banks
- Lead generation firms
- Lloyds
- Money Service Businesses
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Payments Services Institutions
- Private Client investment management
- Recruitment of Regulatory Staff ( Registered Recruiter)
- Restricted financial advisers
- Retail investment management
- Sale and Rent Back
- Secondary Intermediaries
- Securities and Futures firms
- SIPP providers
- Stockbrokers
- Third party product providers
- Trade associations, professional bodies and regulators
- Travel Insurers
- Trust Service Providers