Financial Services Regulation

Financial Services Regulation

The world of financial services regulation is in a constant state of flux. With regulatory change comes opportunity. We can support you in your objective to meet financial services regulatory needs, ensure your staff are up to date with new and forthcoming regulatory requirements and report on new regulations.

More specifically, we can provide you with advice and assistance in the following areas:
Advice on the impact of the Financial Services and Market Act 2000, its subordinate legislation and Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) Rules on a firm’s business;
Advice on the impact of changing regulation on your clients business practices (e.g the Alternative Investment Fund Managers Directive, the revised Markets in Financial Instruments Directive);
Advice on compliance with anti-money laundering legislation;
Assistance with the PRA and FCA authorisation processes for firms and approval process for individuals;
Advising on whether a business process requires PRA and/or FCA authorisation;
Drafting and negotiating FCA compliant distribution and outsourcing agreements;
Advising on the regulatory aspects of M&A transactions involving financial institutions;
Drafting customer terms of business that comply with FCA Rules (in particular, Treating Customers Fairly) and consumer protection legislation;
Financial promotions and other client facing documentation;
Advising on the impact of e-money and e-commerce regulations on a client’s business; and
Drafting compliance policies and procedures.We can help guide you through the complex regulatory landscape. We advise on the impact of current and future financial services legislation and Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) Rules and assist with the PRA and FCA authorisation / control processes for firms and approval process for individuals.
Key Contacts

Avery Law is the business and trading name for a legal practice carried on by Avery Law LLP. Avery Law LLP is a limited liability partnership, registered in England and Wales, with registered number OC374426, with its registered office at 25 Wilton Road, London, SW1V 1LW.

Avery Law LLP is authorised and regulated by the Solicitors Regulation Authority of England and Wales (SRA ID: 568560).

Avery Law LLP is registered with the Information Commissioner’s Office (ICO) with registration number ZA135485.

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