04 Corporate Advisory

Financial Services Compliance

Bringing legal and compliance together

Financial Services Compliance
  • Consistency
  • Advice from one source
  • Cost flexibility

Shoosmiths Financial Services Compliance Services

This relates to the provision of “non-legal” financial services compliance services, traditionally not carried out by law firms.

“Compliance services” in this context effectively refers to services of a non-legal nature, provided to a broad range of financial services and non-financial services clients, to ensure their ongoing satisfaction of rules / requirements / obligations which in turn is necessary for their ongoing regulated operations.

 

The proposal

  • A stand alone "one-stop" service under the Corporate Advisory category of Shoosmiths Connected Services – to be known as Financial Services Compliance.
  • A clearly delineated alternative to more expensive lawyer led compliance services, with a market orientated price point and service style.
  • A top-flight team of industry “names” who have been researched, vetted and endorsed.
  • No need to hunt around - everything delivered from one place.

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Benefits & features

Allows clients to obtain all relevant FS legal and compliance advice in one place. No need for external referrals.

Services can be provided in a more market focused manner - not all questions asked of lawyers need lawyers to answer.

Compliance is about culture, TCF and understanding the business. This service allows us to provide real on the ground support through compliance professionals.

Case study

Getting deals done sometimes requires doing the legals in the right order. Acting for a range of domestic and international clients we advise on corporate structuring and group control to ensure the FCA is on board at the outset.

Compliance professionals can better assess the practical application at the coal face. We have worked with businesses finding it difficult to embed good compliance culture despite having the very best of policies and procedures.

It is more expensive to fail to comply than to ensure compliance. We have worked with businesses where implementation of processes fell short of expectation and faced significant cost of customer redress.

Just a few examples of how Financial Services Compliance is already working for businesses...

Get in touch

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