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Home | Services | Services for business | Regulatory compliance and risk management | Financial services and regulation
Financial services and regulation
Our Financial Services Regulation and Compliance Unit has broad expertise in relation to the impact of the Financial Services and Markets Act 2000, the Financial Services Authority’s (“FSA’s”) rules and anti-money laundering regulation on the retail financial sector. The Unit works closely with other compliance, corporate finance and commercial colleagues to ensure financial services clients receive the right level of service to meet their entire regulatory needs.
The unit
Our lawyers have significant experience of the regulatory issues facing the financial services industry both from an in-house and private practice perspective. We provide practical and focussed support to financial services institutions in order to assist them navigate their way through the myriad of regulatory requirements affecting them. In particular, we can provide assistance in the following areas:
- Advice on the impact of the Financial Services and Markets Act 2000, its subordinate legislation and FSA Rules on a firm’s business.
- Advice on compliance with anti-money laundering legislation.
- Drafting and negotiating FSA compliant distribution and outsourcing agreements.
- Advising on the regulatory aspects of M&A transactions involving financial institutions.
- Drafting FSA customer terms of business that comply with FSA rules (in particular, Treating Customers Fairly requirements) and consumer protection legislation.
- Financial promotions and other client facing documentation.
- Advice on the impact of e-money and e-commerce regulations on a firm’s business.
- Data Protection Act 1998, data security and all related regulations.
- Compliance policies and procedures.
- Training in regulatory developments.
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Get in touch
Waine Mannix
Partner
T: 03700 86 3313
I: +44 (0)1604 54 3313
E: waine.mannix@shoosmiths.co.uk