Financial Services Regulation
Our dedicated Financial Services team provides specialist advice to a wide range of wholesale and retail clients in the financial services industry, helping them to structure their business in the most efficient way and minimising the regulatory burdens of compliance.
We provide regulatory advice for financial institutions and other businesses including banks, building societies, life and non-life insurance companies, reinsurers, trading platforms, stockbrokers, corporate financiers, intermediaries (including networks), payment services firms, custodians, asset managers, pension houses and fund managers.
Our team includes experienced partners and solicitors with in-depth experience of all aspects of financial services regulation. We also have a highly-experienced team who advise on FSA investigations and proceedings including criminal proceedings.
Our areas of expertise include advising on:
- Whether activity requires FSA authorisation and applications for FSA authorisation
- Communicating financial promotions
- Product design and development, including advice on the regulatory nature of new products and marketing material and drafting product terms and conditions
- FSA investigations and enforcement proceedings
- Advising on Corporate Governance requirements
- Advising on the Remuneration Code
- Drafting and negotiating distribution agreements
- Outsourcing by financial institutions
- The Payment Services Directive
- Stock lending, investment management and derivative transactions
- Pooled pension arrangements
- Onshore and offshore investment bonds
- Designing and drafting reporting structures and decision making processes
- Anti money laundering procedures and requirements
- Mortgage regulation
- Investment management and custody agreements
- FSMA Part VII transfers of insurance business
- Passporting services cross-border within the EU
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