Regulatory Support
We can provide regulatory support in the following areas:
- Assistance with FSA Applications/Variation of Permissions;
- Regulatory updates on subjects such as Treating Customers Fairly and MiFID;
- Authoring in-house regulatory/technical newsletters or training sessions;
- Comment on proposed financial promotions;
- Creation and supply of forms and documentation to avoid ‘re-inventing the wheel’;
- Support with complaints and dispute resolution;
- Help with remediation activities following regulator visits;
It may also be that you just need to get a second opinion on a regulatory issue – it could be the case that we have dealt with something similar or know someone who has, in which case we can simply effect an introduction.