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.
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 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.
- All departments
- Banking and Finance
- Business Disputes
- Commercial Law
- Competition Law
- Construction disputes
- Consumer Law
- Corporate - MBOs & MBIs
- Corporate Governance
- Corporate Law
- Corporate lending
- Data, IT & Technology
- Debt Recovery
- Disputes - Declarations of trust
- Disputes - Land and Property
- 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
- Employee - Termination
- Employer - Termination
- 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
- Immigration law
- Intellectual Property
- International Legal Services
- Lasting Powers of Attorney
- Money, Tax and Inheritance
- Property Law
- Recovery & Insolvency
- Regulatory, Compliance & Competition
- Residential Property - Completions
- Residential Property - Conveyancing
- Residential Property - Shared Ownership
- Residential Property – Help to Buy
- Residential Property – New Build
- Wills, Trusts and Probate
Latest news & insights
Limitation of liability is a big deal for the parties to construction contracts.read more
Now that businesses are (or should be!) familiar with the ‘persons with significant control’ (PSC) disclosure rules, which came into force in April 2016, Companies House is stepping up its enforcement of the rules.read more
A public consultation published by the Financial Reporting Council (FRC) has set out proposed new corporate governance and reporting principles for large private companies in the UK.read more