Regulatory counsel for regulated finance
Talk to usTalk to us
Tell us what you are building and where. A senior adviser replies the same business day with a written view of the permission you need and how we would approach it.
London · New York · info@regulatorycounsel.co.uk
Clients include
Who we are
A specialist regulatory practice for firms that hold, move or lend money. Clients come to us to become authorised, and stay for everything that follows.
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.