fbpx

Regulatory & Compliance

Our expert advisors are able to assist with a wide range of regulatory and compliance matters.

As well as Data Protection, Consumer Law and Competition law  matters, our expert advisors are able to  assist with a wide range of regulatory and compliance matters, including financial services, international sanctions and industry sector product marketing and sale legislation, including pharmaceuticals and cosmetics legislation.

Financial services:
We have extensive experience advising household names operating in many sectors in the financial services industry, including high street banks, insurance companies, insurance brokers, pre-paid card providers and independent financial advisors.

We have advised clients operating in the financial services sector at every stage of their corporate life, from drafting and advising on Financial Conduct Authority applications, associated policies and procedures for businesses just starting out in the financial services sector, to assisting long established financial services businesses with their compliance programs and reporting obligations.

Examples of projects include:

  • Advising on and managing the legal aspects of a project to create and roll out a white labelled insurance product across 12 countries in EMEIA and attainment of appropriate regulatory status in each country, to include drafting Financial Conduct Authority application forms and advising on associated policies and procedures.
  • Advising prospective ‘approved persons’ of businesses authorised by the Financial Conduct Authority of the implications of becoming so approved.
  • Drafting insurance policy for new product being launched by household name insurance company.
  • Advising an insurance broker in relation to Consumer Credit Act implications of offering payment of premium in monthly instalments.
  • Drafting, negotiating and advising on savings agreement under which £4 billion worth of savings were invested (white labelled savings product).
  • Advising on what was at the time the UK’s largest ever transfer of home insurance business and simultaneous negotiations with 10 insurers.
  • Drafting and negotiating terms of business agreements with various acquisitions and immediate AIM placings.
  • Advising a start-up company in the financial services sector recovering sums for clients under Consumer Credit Act, to include setting up systems and processes.
  • Advice as to minimum capital requirements.

International sanctions & industry sector product marketing and sale legislation

An increasing number of businesses are now faced with operating in highly regulated environments. This does not affect only those businesses operating with or engaging with sectors that would traditionally have been considered regulated. For example, a component manufacturer could find itself having to consider international sanctions legislation if selling to a customer in a territory in respect of which the UK has imposed sanction. We have experience guiding clients through these complex situations.

In addition, our regulatory lawyers have experience advising clients operating in regulated sectors such as cosmetics, healthcare and pharmaceuticals on a wide range of matters including licences and dossiers of Marketing Authorisations and Responsible Person agreements.

Corporate Governance

Corporate Governance requirements are now more complex than ever. Our specialist corporate governance team provides expert advice to in-house company secretarial teams and directors on all aspects of corporate governance.

 

Quick links

Sign up

Enter your email address for legal updates on Corporate and Commercial law.

Please see our privacy policy regarding use of your data.


Contact us

    Latest news & insights

    Compliance Team

    • All departments
    • Agricultural Law
    • Banking and Finance
    • Brexit
    • Business Disputes
    • Commercial Law
    • Commercial Property
    • Competition Law
    • Construction
    • Construction disputes
    • Consumer Law
    • Corporate - MBOs & MBIs
    • Corporate Governance
    • Corporate Law
    • Corporate lending
    • Data, IT & Technology
    • Debt Recovery
    • Disputes - Declarations of trust
    • Disputes - Probate and inheritance
    • Disputes - Professional negligence
    • Disputes - Restrictive Covenants
    • Disputes - Shareholders & Partnership
    • Disputes - Tenants in Residential Property
    • Disputes - Wills, trusts & probate disputes
    • Disputes and Small Claims
    • Disputes with Co-owners
    • Divorce
    • Employee - Termination
    • Employer - Termination
    • Employment
    • Employment - Business protection
    • Employment - Collective consultations
    • Employment - Contracts, services, consultancy
    • Employment - Employee benefits
    • Employment - Employee Procedures
    • Employment - Equality, discrimination and harassment
    • Employment - Family Friendly Rights
    • Employment - GDPR and Data Protection
    • Employment - Post employment obligations
    • Employment - Redundancy & Reorganisation
    • Employment - Settlement Agreements
    • Employment - Tribunal Claims
    • Employment - TUPE
    • Employment - Wages, holiday and sick pay
    • Employment - Workers rights
    • Employment Tribunal claims
    • Estate Administration
    • Expat Legal Services
    • Family Law
    • Financial Services
    • GDPR
    • Help to Buy
    • Immigration law
    • Intellectual Property
    • International Legal Services
    • Key Property Contacts
    • Land and Property Disputes
    • Land, development and construction
    • Lasting Powers of Attorney
    • Leasehold
    • Licensing Law
    • Money, Tax and Inheritance
    • New Build Conveyancing
    • New Businsess
    • Property Finance
    • Property Law
    • Recovery & Insolvency
    • Regulatory, Compliance & Competition
    • Residential Property
    • Residential Property - Completions
    • Residential Property - Shared Ownership
    • Wills, Trusts and Probate

    Award winning legal advice

    We are solicitors in Camberley, Wokingham and London. In 2019, Herrington Carmichael won ‘Property Law Firm of the Year’ at the Thames Valley Business Magazines Property Awards, ‘Best Medium Sized Business’ at the Surrey Heath Business Awards and we were named IR Global’s ‘Member of the Year’. We are ranked as a Leading Firm 2020 by Legal 500 and Alistair McArthur is ranked in Chambers 2020.

    undefined
    undefined

    London

    60 St Martins Lane, Covent Garden, London, WC2N 4JS 

    +44 (0) 203 755 0557

     

    Camberley

    Building 2  Watchmoor Park, Riverside Way, Camberley, Surrey. GU15 3YL

    +44 (0)1276 686 222

     

    Wokingham

    Opening Soon

    +44 (0)118 977 4045

    info@herrington-carmichael.com

    © 2020 Herrington Carmichael LLP. Registered in England and Wales company number OC322293.

    Herrington Carmichael LLP is authorised and regulated by the Solicitors Regulation Authority.

    Privacy   |   Terms and Conditions   |   Cookies   |   Client Feedback