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Advisory, Compliance and Supervisory experience

  • advising retail and wholesale investment firms, banks, listed companies, investment funds and other authorised firms on compliance with relevant FCA & PRA Handbook requirements
  • advising a number of overseas banks and financial institutions with London branches on properly implementing remuneration policies that meet the requirements of the FCA's remuneration code
  • advising an international corporate finance firm on the creation and implementation of bespoke policies and procedures to comply with the FCA’s mobile telephone recording regulations
  • aiding FCA & PRA authorised firms to comply with their obligations under the Bribery Act 2010 and helping them achieve best practice in line with the FCA's recently published Financial Crime guide for authorised firms.
  • advising an international corporate finance firm on its compliance with suspicious trade reporting requirements under the market abuse regime, including updating the firm’s systems and controls
  • advising numerous clients in relation to FCA “section 166” skilled persons reports
  • providing perimeter advice to unregulated firms and individuals on the requirements of the scope of regulation under FSMA including deposit taking, collective investment schemes and corporate finance advisory activities
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Contact

tel: +44 (0) 20 7628 2000
10 Finsbury Square, London, EC2A 1AF
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Who should I contact?

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Peter Wright
Partner
Direct dial: +44 (0)20 7614 2680
pwright@foxwilliams.com


Accreditations

  • Top Ranked Chambers UK 2014 - Leading Firm
  • Ranked in Chambers Europe 2013 - Leading Individual
  • Ranked in Chambers Global 2014 - Leading Firm
  • Legal 500 - Leading Firm
  • The Lawyer UK 200 - Listed Firm
  • The Law Society Excellence Awards 2012 - Shortlisted
  • Investors in People - Bronze