HCR Law Events

Financial Services Regulation

Financial Services Regulation is complex and fast-moving, so it’s important you take advice from legal experts who know the landscape. If you get it wrong you could be facing a criminal prosecution, invalidated contracts, and the reputational damage that goes with that. Our decades of experience and specialist expertise means we can guide you through the regulatory maze.

Our Experience

We work with entrepreneurs launching new ventures, and established regulated firms at all stages of their journey, and have years of specialist experience of working with clients to:

  • Determine whether a business idea is regulated or requires authorisation or registration with the Financial Conduct Authority (FCA)
  • Structure their business so that authorisation or registration may not be required
  • Advise on the authorisations and registrations you may need, and the rules your business needs to comply with
  • Apply for variations or amendments to existing FCA permissions
  • Advise on the likely response to a proposal by the FCA
  • Ensure compliance with ongoing requirements, e.g. anti-money laundering, regulatory notifications and disclosure obligations
  • Help you understand any new FCA rules and consultations, and how they might affect you and your business
  • Mitigate investigation and enforcement action.

How can we help you?

Our Clients

Financial services regulation is far-reaching and complex. Our clients value our expert advice – we help them take advantage of opportunities, and to avoid troubled waters that in some cases can lead to prosecution resulting in fines and imprisonment. The activities of our clients include:

  • Cryptocurrency, blockchain and emerging technology
  • Investments
  • Financial advice
  • Forms of deferred payment
  • Deposit taking or holding money
  • Insurance
  • Pooling funds through a collective
  • Lending money or giving credit.

We work with:

  • Large regulated corporates
  • IFAs
  • Insurance brokers and insurers
  • FTSE quoted PLCs
  • Entrepreneurs with new business ideas.

Read our case studies and testimonials to find out more.

Got a question?

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