Financial services regulatory
Financial services regulation is going through a period of unprecedented, politicised change where requirements on matters as diverse as liquidity and compensation have been introduced at short notice. We have helped clients deal with measures on short selling, bonuses and bonus taxation, and living wills.
The FSA’s more confrontational approach means that our clients look to us to help them prepare for questions and challenges from the FSA. Our team has also helped individuals facing market abuse investigations and can advise on how to handle the FSA’s approach.
Whether you require advice on whether your business needs to be regulated and assistance with the FSA application to do so, or for an already regulated company, advice on compliance with the FSA’s requirements and handling FSA enforcement matters, we can help.
Authorisation involves an ongoing role for us and we can help you get comfortable with your new obligations, assist you to put in place structures to deal with your regulator’s key concerns and advise on the opportunities and risks posed by upcoming changes. Our work ranges from producing legal risk management documents, such as terms of business, to drafting internal procedures to achieve compliance with the FSA’s rules and developing monitoring processes to demonstrate compliance to the FSA.
For more information on financial services regulatory click here.
News from Nabarro
Briefings from Nabarro
The ABI has issued guidance on lock-up agreements, in particular in response to concerns over the extent to which lock-ups are waived during the lock-up periods.
Nabarro partner Martin McKervey shares his thoughts on unlocking export growth.
Analysis from The Lawyer
Clients are more willing to bring claims against professional service providers but the risk to defendants is not as dramatic as it might seem
Real estate continues to be the key money spinner for Nabarro, which has always been known for its work in the UK property market, (although) last year results were up across the firm. Google’s ...