Many of the Dundas & Wilson highly skilled team in this area have worked in-house with institutions and with various regulatory bodies.

This has given them a unique perspective into the commercial and organisational needs of, and the regulatory constraints faced by, the industry which enables us to deliver practical tools and advice to clients.

The team act for (and advise) banks, insurers, asset managers and intermediaries on a wide range of compliance issues.

Key areas that we have recently advised clients on include:

• 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.