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Financial services regulation

We recognise that the current regulatory environment presents businesses with increasingly difficult challenges and complexities.

Clients are looking for genuine insight into regulatory thinking and the technical knowledge to deliver top quality services with a commercial approach.

Our clients range from retail banks to insurance and credit brokers, sub-prime lenders, credit providers and payment service providers.

We can offer guidance on every aspect of regulatory change and all types of regulatory issues, including: 

  • Compliance with legal and regulatory requirements, transactional support and product launches.
  • Supervisory inquiries including thematic reviews and visits, 'Dear CEO' letters and attestations.
  • Contentious issues including S166 skilled persons appointments, information requirements, enforcement investigations, redress and customer communications exercises. 
  • Regularly reviewing clients’ businesses to help them build a more compliant and sustainable business model.

In the team we have FCA experience at a senior level as well as in house experience gained in clearing banks and other major financial institutions.

This gives us a unique perspective on the regulatory environment and the regulators likely approach to particular issues, combined with a practical and client focused approach.

Highlights

  • Advising a subprime lender facing sustained regulatory challenge to its business, to limit the scope of that challenge and supporting senior management to achieve a fair and proportionate outcome.
  • Launch of a new credit product, including preparation of customer facing documentation, structuring distribution arrangement and designing the collections process
  • Conducting a review of anti-money laundering systems and controls and embedding that review through training, internal communications and revised policies and procedures.

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