REGULATORY SERVICES

FSREG provides regulatory consultancy and compliance services primarily to:

• private equity, venture capital, real estate, hedge fund and asset managers.
• businesses operating in the banking, finance, credit, investment, insurance and reinsurance sectors.
• overseas regulated businesses looking to establish a subsidiary, branch or representative office in the United Kingdom or United States.
• foreign law firms and other professional services firms requiring regulatory advice on behalf of their clients.

Our regulatory services include:

• assisting with the legal and regulatory aspects of licensing of financial services businesses by the Financial Conduct Authority (FCA) of the United Kingdom or the Securities and Exchange Commission (SEC) of the United States.
• advising on regulatory legal frameworks in relation to the establishment, marketing and operation of regulated and unregulated investment funds.
• providing guidance on becoming an appointed representative (AR) acting under the FCA authorisation of another firm, including contractual and legal compliance review.
• assisting with day-to-day compliance queries, regulatory changes and internal training.
• assisting with the marketing of credit, investment, insurance and reinsurance products in the United Kingdom or United States and compliance with UK and US security laws.
• conducting regulatory compliance auditing, internal compliance reviews, investigations and complaints handling under UK or US financial law.
• defending supervisory or enforcement proceedings commenced by the FCA, PRA or SEC.
• providing legal consultancy on licensing arrangements and regulatory approvals under the FCA, PRA or SEC frameworks.
• reviewing standards and practices to assure compliance with business laws and regulations.