Lender services
- Asset finance & leasing
- Asset finance dispute resolution and recoveries
- Banking litigation
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- Consumer credit regulation and compliance
- Financial services regulation and compliance
- Marine asset finance
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- Residential mortgage conveyancing
- Residential mortgage recoveries
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Home | Services | Services for business | Lender services | Financial services regulation and compliance
Financial services regulation and compliance
Our financial services regulation and compliance team 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.
We support clients in their objective to:
- Meet their entire regulatory needs
- Ensure compliance, corporate finance and commercial teams are up to date with requirements
- Report to their business on new regulations
Our team has 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 institutions in order to assist them to navigate their way through the myriad of regulatory requirements affecting them. In particular we can provide assistance with the following areas:
- Advice on the impact of the Financial Services and Market 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) and consumer protection legislation
- Financial promotions and other client facing documentation
- Advice on the impact of e-money and e-commerce regulations on an institution’s business
- Data Protection Act 1998, data security and all related regulations
- Compliance policies and procedures
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Get in touch
Paul Estlin
Associate
T: 03700 86 5667
I: +03700 86 5667
E: paul.estlin@shoosmiths.co.uk