Our Services Pages set out the wide range of services we offer to firms – regulated or not – that need help of any kind relating to financial services regulation in its broadest sense.
Most clients come to us initially because they have a question, issue or problem that needs solving. So the first - and arguably most important - service that we offer is advice: helping to establish what the real questions, problems and underlying issues are, and then offering practical recommendations for dealing with them.
We can then help with implementation. For a firm coming to regulated financial services for the first time, this may mean help with getting authorised and putting in place the systems, controls and procedures necessary to secure ongoing compliance.
For firms that are already authorised, we can offer a range of compliance support services, whether one-off or on an ongoing support basis. We can carry out independent compliance reviews to check whether your current compliance arrangements are up to the mark. We can help you with special projects: updating your systems and controls in response to regulatory developments (not least the implementation of MiFID and CRD), expanding into new areas of regulated business, changing to a different form of legal entity, responding to FSA themes such as the "Treating Customers Fairly" initiative. We can assist with firms' responses to issues raised by the FSA in their supervisory work, and in dealing with FSA investigations should this become necessary.
We offer advice and practical assistance with a whole a range of more specialist topics, from capital requirements to money laundering. Please browse these pages for more detail; and if you do not find precisely what you are looking for, give us a call or drop us an email anyway: we may well be able to help.