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Advice on the impact of the Financial Services and Market Act 2000, its subordinate legislation and Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) Rules on a firm’s business; |
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Advice on the impact of changing regulation on your clients business practices (e.g the Alternative Investment Fund Managers Directive, the revised Markets in Financial Instruments Directive); |
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Advice on compliance with anti-money laundering legislation; |
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Assistance with the PRA and FCA authorisation processes for firms and approval process for individuals; |
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Advising on whether a business process requires PRA and/or FCA authorisation; |
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Drafting and negotiating FCA compliant distribution and outsourcing agreements; |
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Advising on the regulatory aspects of M&A transactions involving financial institutions; |
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Drafting customer terms of business that comply with FCA Rules (in particular, Treating Customers Fairly) and consumer protection legislation; |
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Financial promotions and other client facing documentation; |
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Advising on the impact of e-money and e-commerce regulations on a client’s business; and |
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Drafting compliance policies and procedures.We can help guide you through the complex regulatory landscape. We advise on the impact of current and future financial services legislation and Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) Rules and assist with the PRA and FCA authorisation / control processes for firms and approval process for individuals. |