FINANCIAL services

REGULATORY AND COMMERCIAL ADVICE

We understand the regulatory context in which you operate and can provide pragmatic commercial advice and solutions for your business

We can provide advice on dealing with the FCA and supervisory visits, systems and controls, the FCA Rules, disciplinary and enforcement matters and FCA applications.

Whether you are an authorised firm, an appointed representative or a non-Financial Services firm involved in the distribution of Financial Services related products and services, the regulated status of those products/services has a significant impact on any contractual arrangements into which you enter.

Our expertise includes providing appointed representative agreements for firms of all sizes, client agreements and terms of business, adviser agreements and “exit” agreements, distribution agreements for FS products/services, and technology agreements including wrap and platform agreements.