Bingham

Bingham

UK Financial Regulatory Practice

Bingham’s UK Financial Regulatory Practice provides UK, European and US-based clients with advice on all aspects of dealing with the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA).

Our team is experienced in enforcement and investigations and advisory work, and provides clients with advice and assistance in a number of areas, including:

  • FCA and PRA authorisations and approvals;
  • Regulatory compliance and reporting;
  • Building and presenting a cooperative and positive relationship with the FCA and PRA;
  • Supervisory interviews;
  • Thematic reviews;
  • Product intervention;
  • Information requests;
  • Market conduct issues;
  • FCA investigations and enforcement proceedings;
  • Regulatory Decisions Committee hearings;
  • Upper Tribunal hearings;
  • Strategic guidance on changes to financial services legislation;
  • EU financial services regulations and directives;
  • The Financial Services and Markets Act 2000;
  • Planning business models so as to meet the regulatory framework;
  • Developing compliant investment management strategies;
  • Structuring of investment management and advisory platforms;
  • Structuring onshore and offshore funds;
  • Fund marketing and distribution;
  • Change of control issues;
  • Remuneration; and
  • Training.

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