Specialist knowledge of FCA investigations and regulation applied in a pragmatic manner with the benefit of specific industry experience.
- FSMA and associated provisions including Regulated Activities Order and Financial Promotion Rules
- FCA Handbook including COBS rules and perimeter guidance and associated breach of statutory duty claims
- FCA enforcement actions and Regulatory Decisions Committee matters including requests from FCA to vary or surrender permissions
- Corporate governance in IFA firms – CP 17/25 implications including division of internal responsibilities, employment contracts and shareholder agreements
- Due diligence by SIPP administrators and trustees
- Advising IFA’s in relation to indemnity and reservation of rights issues under professional indemnity insurance policies
- Complaints handling including FOS/Court actions and DISP provisions of FCA Handbook
- Defined benefit transfers – CP17/16, COBS 19 breaches, investments from DB schemes into alternative and/or UCIS assets in SIPPs including thematic thought leadership with consulting actuaries
- Data protection/GDPR matters including client portfolio transfers and dealing with subject access requests involving third party information
- With profits contracts including contract options, contractual guarantees (including GAR’s), actuarial discretion in relation to setting of bonuses, potential conflicts of interest in closed funds
- High Court litigation by SME’s against investment banks relating to allegations of mis-selling of interest rate hedging derivatives and LIBOR manipulation including applications for specific disclosure
- MiFID compliance
- Appointed representative agreement disputes including claims under contractual indemnity provisions and allegations about FCA compliance failings by principals
- Employment contracts from perspective of FCA related obligations.
- Business protection arrangements including cross-option agreements
- FSCS matters
Please use our contact us page should you wish to discuss matters any further.