Financial services regulation in the UK affects a wide range of business activities.
We have considerable experience of advising businesses on corporate governance, compliance and best practice. We understand the risk in failing to comply and that is why we ensure our clients are kept up to speed with regulatory developments affecting their business.
Our expertise in the areas of regulation and compliance covers:-
- Advising on compliance for FSA registered corporate advisory and broking firms
- Project managing establishment of compliance infrastructure and risk systems
- Applications for FSA and other regulatory approvals
- Advising quoted companies on all aspects of compliance with AIM and FSA regulations and best practice
- Regulatory investigations acting on behalf of regulators, individuals and companies
- Transaction and file reviews