Our experts can help you manage the risks of regulation
Regulation is an increasingly important fact of life for many businesses. To protect hard-won reputations and market positions, organisations need to manage the risks of operating in regulated environments. In addition, corporate and social responsibility (CSR) has come to the forefront of the business agenda and legal and regulatory risk management plays a key role here, too. We help our clients manage these risks.
We can help you navigate through the bewildering variety of regulators, each of which has different powers, a different statutory basis and different motivations for investigating business activity. We can advise on how to react if a regulator carries out a dawn raid, or demands an interview with your staff, or requires copies of documentation. We can help you review your procedures and internal reporting, so you can demonstrate to a regulator that you are up-to-date. We can provide proactive support to ensure you comply with the regulatory requirements of the key regulators.
Our integrated team of experts from across the firm has the expertise and knowledge to meet all of your regulatory needs:
Our annual legal seminar highlighted new legal topics affecting the funds and real estate sectors. This is part 1 of a two-part series dealing with the topics covered in our seminar. View full briefing
ESOS: a real opportunity for energy savings or just more green tape?
UK companies struggling with energy and emissions monitoring and reporting obligations should be aware that more obligations are coming. View full briefing
The Financial Conduct Authority (FCA) today published its final rules implementing the Alternative Investment Fund Managers Directive (AIFMD). View full briefing
Legal and regulatory round-up - funds and real estate (June2013)
It is difficult to keep abreast of all of the legal and regulatory issues which impact UK real estate investment. This table contains a round-up of the hot topics in the funds and real estate sector, including our practical comments for each. View full briefing
Externally published articles
Progress on Key Issues in the FSA Business Plan 2011/12
Every year, the Financial Services Authority (FSA) publishes its
business plan which outlines its key priorities for the coming
year. When the FSA published the Business Plan 2011/12 this
April, unlike other years there was also the additional challenge
of managing the regulatory reform agenda of dividing the FSA’s
responsibilities between the new regulatory authorities of the
Prudential Regulatory Authority (PRA) and the Financial Conduct
This article summarises a number of the issues raised by the FSA
in its latest Business Plan, and the subsequent steps that the FSA
has taken in relation to these issues, which relate to certain key
developments in compliance systems and obligations that will
be placed on firms.
First published in UK Financial Services Law, 22 December 2011 edition. Contributed by Adrian Brown and Sam Robinson View full briefing
FSA crack down on mis-marking: is your compliance monitoring up to scratch?
For the second time in two months the Financial Services Authority has taken action in relation to a trader mismarking
his positions. Last week the FSA prohibited Alexis Stenfors from performing any function in relation to any
regulated activity carried on by a regulated firm. The FSA has said it is likely to revoke the order after five years.
The prohibition order was imposed on Stenfors in relation to his deliberate mis-marking of positions on his trading
books while working as a trader on the short-term interest rate trading desk of the London branch of Merrill Lynch
International Bank, and the head of Scandi swaps trading at Merrill Lynch. View full briefing