Regulatory compliance
Our range of services includes:
- application and interpretation of FSA rules, guidance and other relevant laws and regulations;
- compliance "cover" (over holidays, illness etc.);
- practical implications of forthcoming regulatory developments;
- advising on a wide range of regulatory topics and issues,
including:
- market abuse/insider dealing;
- EU passporting;
- AML;
- conflicts of interest;
- financial promotions; and
- "fit and proper" issues. - strategy and tactics in dealing with the FSA and other regulators;
- ARROW preparation;
- providing a day-to-day "sounding board" for compliance officers;
- benchmarking and market-practice guidance;
- systems and controls reviews;
- policy and procedure development and reviews;
- advice on investment research;
- bespoke training;
- change of control applications;
- change of permissions;
- advice on approved person applications;
- sponsor and Nomad-related advice;
- regulatory impact of internal restructurings and transactions; and
- regulatory capital and liquidity advice.
