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Ince Gordon Dadds Emergency Response +442072836999

Regulatory solutions for the financial services sector

The pressure on organisations within the financial services sector to be compliant with the constantly evolving regulations can be a drain on resources. Our solutions keep your business moving whilst meeting the regulatory challenges.

Over the last 6 months, our FCA team has been growing. We specialise in helping our clients get authorised and stay within the resulting (approved) plan. We also deal with enforcement if necessary, including acting as a skilled person outside the UK if needed.

We can:

  • Help you obtain FCA authorisation or permission variations
  • Help you obtain approved persons permissions
  • Advise you on the FCA handbook and your scope of permissions
  • Give advice and support on the implementation of the senior managers & certification regime (factsheet available)
  • Give senior managers regime advice
  • Undertake compliance reviews and reports
  • Work proactively with you to manage regulatory change, providing advice, support and training as needed
  • Review policies and procedures 
  • Provide bespoke, tailored regulatory training at a technical/advanced level including train the trainer training for regulatory initiatives and change
  • Advise on s166 skilled person reports
  • Ensure your organisation is compliant with the 2017 Money Laundering Regulations (‘4AMLD’)
  • Help you obtain and maintain CASS compliance
  • Help you with virtual currency vehicles
  • Act as an independent  director (asset managers)

Examples of our recent work

  • Obtaining authorisation for a new mobile phone payment venture using digi-wallets
  • Helping a money transfer business with the FCA’s concerns over its activities and authorisations
  • Acting for a start-up tech business provider to obtain FCA authorisation
  • Working with a property related business to obtain FCA authorisation as an AIFM
  • Advising a property service and investment company on its duties under the Proceeds of Crime Act and the Money Laundering Regulations 2017
  • Advising a business on whether its activities fell under the definition of a collective investment scheme
  • Advising small EMIs and payment services business on authorisation setup
  • Defending an EMI from FCA enforcement proceedings
  • Acting as a skilled person for the Gibraltar Financial Services Commission
  • Providing a forensic review of a safeguarding issue
  • Providing business plans, key policies and FCA engagement
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