We provide regulatory advice for a wide range of investment firms, including securities firms, investment managers, electronic trading platforms, stockbrokers and corporate financiers.
We have extensive in-depth experience of all aspects of financial services regulation and also have a highly-experienced team who advise on FCA investigations and enforcement proccedings.
Areas of expertise include:
• The impact of international regulation to include SEC; NFA; MAS; CFTC;
• Developing compliance, governance, remuneration and risk management policies including dealing with local regulatory bodies such as the FSCS & FCA.
• Documentation, reporting structures and decision-making processes associated with regulatory matters, board and committee regulation, and governance requirements.
We also advise on:
• Establishing trading and clearing platforms to include clearing agreements (domestic and international)
• The establishment and operation of exchange traded funds, platforms & investment management vehicles.
• Investigations by local regulatory bodies, including governance, remuneration, complaints handling, s.166 reviews, insider dealing and market abuse.