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We act for a number of clients that are required to obtain authorisation from the Financial Services Authority or otherwise require advice on whether or not to become authorised. These can be identified as being involved in either the financial services sector or the insurance sector, but can also come from a wide variety of other sectors that may require advice in relation to fundraisings and other activities that touch upon the Financial Services and Markets Act and in the rules and regulations of the FSA.
As far as the work that we have carried out, this involves new applications for authorisation, activities in connection with the financial promotions, the regulated activities and collective investments orders (and the marketing of such entities) amongst others. We liaise with the FSA both on an administrative level in respect of applications for change of control and also on a contentious level in respect of disputes that may have arisen over conduct.
Our level of expertise is linked heavily with the Corporate work that we do in respect of investment funds and M&A transactions.
For further information please contact Andrew Cowan or Gareth Hall.
