Financial Services Regulation Experience
Royal Bank of Scotland plc
Providing a fixed cost service for the review of various marketing and promotional materials for compliance with relevant FSA requirements
BNP Paribas Securities Services
Advising on various legal and regulatory issues concerning its authorised fund administration business, Investment Fund Services Limited. This included the provision of advice for standard documentation used in the business as well as various legal and regulatory issues arising from the venture. We also advised on the establishment of the related SIPP and wrap service.
Sanlam Financial Services
Advising on the establishment of its new support business for authorised retail funds in the UK. This included the provision of full legal and regulatory support on the FSA application process and the provision of supporting documentation.
Royal Bank of Scotland and others
Providing opinions to various financial institutions including the Royal Bank of Scotland plc and the Bank of Scotland regarding compliance with BIPRU in relation to real estate collateral, and advising Sarasin & Partners LLP on its tier 2 capital structures including the provision of a legal opinion in relation to compliance with GENPRU.
Svenska Handelsbanken
Advising various businesses including Svenska Handelsbanken on the application of the Banking Conduct of Business Rules (BCOBS) and the Payment Services Regulations (PSR).