Structuring and Regulation

The volume and complexity of regulation issued by the Financial Services Authority (FSA) can be overwhelming. Our Financial Markets team works closely with you to help you understand how these regulations affect your business and assists you in devising the best approach for dealing with the FSA.

We help you by providing support with:

• FSA authorisation: we assist businesses and individuals with the preparation of applications for authorisation by the FSA and work with several specialist providers in this arena. We can advise on the process from the outset or conduct quality reviews on submissions already compiled.

• preparing and reviewing financial forecasts

• advising on regulatory capital requirements

• advising on capital structures

• reviewing systems and controls 

• Compliance: we work with clients to identify, map out and develop solutions for compliance problems. Whether you have been subject to a regulatory intervention or have identified areas of concern internally, we can help you develop a plan to address these issues.

   

• Liaising with the FSA: we have extensive experience in dealing with the FSA on many issues and are able to advise you on how best to communicate with the FSA. Alternatively, we can act on your behalf.