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.
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.