Financial Conduct Authority (FCA) Regulatory services

Our Financial regulatory services include:

• Advice initially before applications for authorisation are made.

• Handling applications for authorisations (such as the Part IV Permission).

• Providing compliance support

• Performing reviews and engaging in special projects.

Advice

Examples of areas where we can advise include:

• Whether under the Financial Services & Markets Act 2000 (FSMA 2000) a particular activity constitutes a regulated activity.

• Whether a communication or advertisement constitutes a financial promotion.

• Options for regulation and whether advantage can be taken of exemptions.

• Obtaining approvals for financial promotions.

• The approved persons regime and obtaining approval.

• The duties and responsibilities of approved persons.

• Training and competence requirements.

• Design and implementation of systems and controls.

• Capital adequacy requirements for different types of regulated businesses.

• Client money requirements and compliance procedures.

• Requirements for sponsors bringing companies to market.

• Advice regarding CRD and MiFID legislation.

Types of clients and financial activities that can benefit from our services

Professional firms including:

• Trustee or operator of a collective investment scheme (such as an investment fund)
• An ISD investment firm.
• A market maker.
• An investment manager.
• An investment adviser.
• Broker fund adviser.
• Manager or trustee of unit trusts and investment trusts.

This includes firms that are active in the following areas:

• Establishing, operating or winding up collective investment schemes
• Safeguarding and administering investments
• Advising on or arranging deals in investments or packaged products
• Managing investments for private customers
• Performing regulated activities as a member of an exchange
• Acting as market maker in securities or derivatives.
• Engaging in corporate finance activities.
• Dealing or arranging deals in securities or derivatives.
• Provision of clearing services as a clearing firm
• Spread betting.

For further details of these services please call us.