Hill Dickinson’s financial regulatory team is able to advise on the full range of issues affecting financial services clients. These include the application of FSMA, the FSA rules, MiFID and other European regulation affecting financial institutions where the UK is either the home or the host member state.
Working with the regulators to promote transparency and co-operation, we can provide compliance guidance on the creation and distribution of new financial products. We can also advise on authorisation, passporting, conduct of business, customer documentation and marketing regulation and outsourcing. We also have expertise in corporate governance issues, data protection, money laundering and the prevention of financial crime.
Through our network of correspondent law firms throughout the world, we can also source advice on compliance with financial services regulation in overseas jurisdictions.
In the unlikely event of enforcement action, our regulatory team has experience of dealing with all of the financial enforcement agencies. We have represented both corporates and individuals in matters ranging from responses to requests for information through to full-blown investigations and disciplinary proceedings.
Whilst the team always seeks to prevent a matter coming to court, we have extensive experience of the trial process, should that be required.
