Assisting clients with their applications for authorisation under Part IV of the Financial Services and Markets Act.
Advising on the application of the financial promotion restriction to clients' marketing material and sales activities.
General Regulatory Matters
Advising on specific FSA rules and requirements, for example, relating to regulated funds, the conduct of business and prudential rules.
Securities Law Compliance
Identifying, where applicable, possible securities law compliance issues (whether in the UK or the US), advising as to the relevant steps or measures to be taken and, where necessary, supplementing our UK and US advice with relevant advice from other territories.