Our Services Pages set out the wide range of services we offer to firms – regulated or not – that need help of any kind relating to financial services regulation in its broadest sense.
Most clients come to us initially because they have a question, issue or problem that needs solving. So the first - and arguably most important - service that we offer is advice: helping to establish what the real questions, problems and underlying issues are, and then offering practical recommendations for dealing with them.
We can then help with implementation. For a firm coming to regulated financial services for the first time, this may mean help with getting authorised and putting in place the systems, controls and procedures necessary to secure ongoing compliance.
For firms that are already authorised, we can offer a range of compliance support services, whether one-off or on an ongoing support basis. We can carry out independent compliance reviews to check whether your current compliance arrangements are up to the mark. We can help you with special projects: for example updating your systems and controls in response to market or regulatory developments (such as Financial Crime or the Retail Distribution Review), expanding into new areas of regulated business, changing to a different form of legal entity or responding to FSA themes. We can offer specialist help and assistance with applications for firms that are already authorised, such as variation of permission, change of control or change of legal status. We can assist with firms' responses to issues raised by the FSA in their supervisory work, including by carrying out "skilled persons" reviews under section 166 of FSMA. We can also help firms deal with FSA investigations.
We offer advice and practical assistance with a whole a range of more specialist topics, from financial stability to financial crime. We also have detailed knowledge of consumer credit and data protection, and we can assist clients with regulatory issues in these areas, too. Please browse these pages for more detail; and if you do not find precisely what you are looking for, give us a call or drop us an email anyway: we may well be able to help.