Our highly experienced team regularly acts for and advises banks, insurers, asset managers and intermediaries on a wide range of compliance issues. Recently, we have advised our clients on:

• regulatory issues that affect the distribution of financial products, including commission arrangements;
• compliance of customer-facing documentation in relation to a wide  range of financial services and products (provided in a way which fits in with internal approval processes);
• TCF compliance;
• MiFID implementation;
• anti–money laundering procedures;
• the potential impact of Principles Based Regulation;
• perimeter and other authorisation issues; and
• compliance processes and policies.

Our team is made up of individuals who have worked in-house with institutions and with various regulatory bodies and is therefore able to offer a unique perspective on the regulatory issues that the industry faces.