Financial services regulatory
Navigating the regulations laid down by national governments, particularly the UK Financial Conduct Authority, Monetary Authority of Singapore, Securities & Futures Commission of Hong Kong and the U.S. Securities and Exchange Commission, is an expensive, time-consuming task for hedge funds, asset managers and other financial service providers.
We make that process easier by matching our knowledge of each country’s regulations with a thorough understanding of your business’s unique structure and needs.
Our team can scope the extent that regulations apply to all activity and talk to you about exemptions from regulation, and we can assist you in applying for appropriate authorizations and approvals from regulators.
We frequently advise clients who are establishing new financial products and services, and on bringing those products to market ensuring compliance with regulations in different jurisdictions.
On hand to defend your position
Businesses and professionals working in the financial services arena are subject to formal inquiries from time to time. We can assist you in handling such requests and deal with investigations which may arise. Should an investigation lead to government, civil or other proceedings, our experienced litigation teams are on hand to defend your position.
Alix Prentice a partner in the institutional advisory team says, ‘Businesses and senior individuals contact us about a wide range of financial services issues. As always, it is best to seek advice as early as possible before embarking upon a business venture or major transaction, to ensure you do not fall foul of complex financial regulations.’
As in all areas of our work, the corporate team taps into Withers’ global knowledge base, including lawyers such as Harvey Knight and Alix Prentice who formerly worked at the Financial Services Authority (now the Financial Conduct Authority), and creates compliance strategies unique to your situation.
For further help or informationGet in touch
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30 March 2015 - Article
FCA business plan released: Supervision and financial crime remains key focus for 2015
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