Financial Services Regulation We can support you in your objective to meet your regulatory needs

The world of financial services regulation is one that constantly changes and we at gunnercooke are well positioned to help financial institutions navigate their way through the myriad of regulatory requirements that affect them.

Led by one of one of our partners with more than 15 years’ experience in advising on financial regulatory matters, gunnercooke can support you in your objective to meet your regulatory needs, ensure your staff are up to date with new and forthcoming regulatory requirements and report to your business on new regulations.

We advise on:

  • The impact of current and future financial services legislation and Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) Rules on a firm’s business;
  • Assistance with the PRA and FCA authorisation processes for firms and approval process for individuals;
  • Drafting and negotiating compliant financial promotions, customer terms of business, distribution and outsourcing agreements;
  • The regulatory aspects of M&A transactions involving financial institutions;
  • Drafting compliance policies and procedures.

Who we act for:

  • Consumer credit providers
  • Corporate finance advisers
  • Banks
  • Crowdfunding platforms
  • Investment funds

 

Key Contacts

Peter Huth-Wallis
Edward Black
Henning von Sachsen-Altenburg
Paul Estlin

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