REGULATIONS

Asset Manager or Securities Firm?

Complying with financial regulations is a complex task.  We support your Compliance Officer and team with our regulatory analysis and commercial approach to solutions

Have a specific regulatory technical question or implementing of new regulations? - we can assist  

We interpret regulations and implement with policies and procedures 

 

 Have a new business project that needs practical legal and banking experience?

 

We will support your implementation and for highly complext matters instruct your external lawyers and project manager

We carry out mandatory reviews of policies required by the FCA: 

  • ICAAP

  • Pillar 3

  • Remuneration policies

  • Outsourcing

  • Liquidity risk

  • RTS 28 & Art 65(6)

  • SRD II

  • AML

Our clients include