14 Oct Ringrose Wharton Advisory
We act for:
Mutual and smaller insurers who wish to do corporate acquisitions or disposal of books of insurance business, transfers of engagements and commercial agreements.
For financial advisers and wealth managers who wish to buy or sell their firms and we will assist with all of the daily agreements around running their business.
Corporate trading companies in acquisitions and disposals.
We guide insurers and private companies through the myriad of requirements around corporate governance whether under PRA, FCA or Companies Act requirements.
We assist clients with processes to implement compliance with PRA and FCA handbook rules and work closely with or delegate to compliance consultants where necessary to achieve cost efficiencies.
- Authorisation - FCA
- Authorisations / Permissions applications
- Compliance Advice
- Due Diligence
- Enforcement Action - Financial Services
- File Review
- Health Checks
- Information security / Data protection
- Payments Services Registration and compliance
- Regulatory Capital / Solvency
- Regulatory Updates
- Authorised Professional Persons
- Company Service Providers
- Corporate Finance Firms
- Credit Unions
- Discretionary fund managers
- Electronic Money Issuers
- Fintech / Regtech
- Friendly Societies
- IFA - inc IFA divisions of financial institutions
- Institutional investment management
- Insurance Brokers - Pure Protection Products
- Insurance Brokers General
- Lead generation firms
- Payments Services Institutions
- Pension Advisers
- Private Client investment management
- Retail investment management
- SIPP providers