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Legal Solutions:
Lawyer Directory

By Expertise

Practice areas:

"This growing practice attracted wide acclaim for the giant strides it made over the course of the last year"

Chambers UK 2010
"delivering great advice that's always spot on"

 

Chambers UK 2009

Financial Services & Markets

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Our work in this area includes:

Regulatory Advice

  • advice on FSA authorisation and managing applications for authorisation
  • ongoing regulatory advice and training
  • compliance policies and implementation of systems and controls
  • marketing and selling restrictions
  • insurance mediation

Financial Products

  • customer documentation, including new product development
  • outsourcing in the financial services sector
  • derivatives
  • investment funds and products
  • insurance and reinsurance including new product development
  • stocklending and repos
  • global custody and fund administration
  • regulatory capital and liquidity

Investigations and Enforcement

  • representing firms in contested applications for individuals to become approved persons
  • assistance with dealing with the FSA on potentially contentious supervision issues and themed visits
  • preparation of reports to be submitted to the FSA on regulatory issues and remedial action
  • preparation of skilled persons reports under section 166 of the Financial Services & Markets Act 2000
  • representing firms and individuals in FSA investigations and enforcement action
  • defending firms and individuals in proceedings referred to the Financial Services and Markets Tribunal, and subsequent appeals
  • UKLA and AIM investigations and disciplinary action against listed companies

 

We're here to help

Sidney Myers

Sidney Myers

BLP
Partner, Head of Financial Services

If you need help with a legal or business issue, please contact our team.