We regularly provide expert advice to financial services firms and senior management members on the complexities of financial regulation in the UK. If you need assistance with financial regulation, we can help advise you on:

• Applications for FCA authorisation and approval of staff
• General regulatory advice and ongoing compliance with the FCA rules
• Advice on the senior management and certification regime
• Dealing with supervision issues and skilled persons
• FCA/PRA investigations, enforcement and disciplinary action
• Financial services disputes, claims and complaints before the Financial Ombudsman Service and the Courts
• Financial lines insurance issues
• Criminal issues such as insider trading and market abuse

• General legal advice for financial services firms
• Regulatory legal advice

• Banks and deposit takers
• Brokers-Dealers
• Insurance brokers and insurers
• Payment Institutions
• Retail firms
• Wholesale Firms