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Lawyer Directory

By Expertise

Practice areas:

Financial Services & Markets

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Our work in this area includes:

Regulatory Advice

  • advice on FSA authorisation and managing applications for authorisation
  • ongoing regulatory advice and training
  • compliance policies and implementation of systems and controls
  • marketing and selling restrictions
  • insurance mediation

Financial Products

  • customer documentation, including new product development
  • outsourcing in the financial services sector
  • derivatives
  • investment funds and products
  • insurance and reinsurance including new product development
  • stocklending and repos
  • global custody and fund administration
  • regulatory capital and liquidity

Investigations and Enforcement

  • representing firms in contested applications for individuals to become approved persons
  • assistance with dealing with the FSA on potentially contentious supervision issues and themed visits
  • preparation of reports to be submitted to the FSA on regulatory issues and remedial action
  • preparation of skilled persons reports under section 166 of the Financial Services & Markets Act 2000
  • representing firms and individuals in FSA investigations and enforcement action
  • defending firms and individuals in proceedings referred to the Financial Services and Markets Tribunal, and subsequent appeals
  • UKLA and AIM investigations and disciplinary action against listed companies

 

Get in touch

Sidney Myers

Sidney Myers

BLP
Partner, Head of Financial Services

If you need help with a legal or business issue, please contact our team.