Regulatory counsel for regulated finance
A specialist regulatory practice for firms that hold, move or lend money
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Clients come to us to become authorised, and stay for everything that follows.
Clients include
How we support you
- AuthorisationChoosing the right permission, preparing the application and handling the regulator until the decision.
- Compliance and governanceThe framework, monitoring, returns and board reporting that keep an authorised firm in good standing.
- Financial crimeAnti-money laundering and sanctions frameworks, risk assessments, transaction monitoring and independent reviews.
- Safeguarding and client moneySafeguarding and client money arrangements, reconciliations and readiness for the annual audit.
- Regulatory response and remediationInformation requests, skilled person reviews, changes of control and remediation, handled with the regulator.
Payment, e-money, crypto, lending, insurance and investment firms
From a founding team seeking its first permission to an established group adding a market.