Advice and Guidance
C&G Regulatory Solutions can provide ad hoc advice on conduct, regulation and compliance matters on demand (hourly rate) or via a fixed rate retainer (set hours at a discount to the usual hourly rate).
C&G Regulatory Solutions can provide advice on the following topics:
- How to apply for authorisation, a licence or additional permissions from a regulator in the UK, DIFC or Hong Kong
- How to ensure good governance in an investment or payment services firm, particularly in the context of the Senior Managers and Certification Regime (“SMCR”). For example, meeting regulatory expectations regarding effective management information, escalation, and board challenge
- The possible implications of regulatory developments for a firm. For example, whether systems amendments or additional training for employees is likely to be necessary
- Change management: particularly in the context of mergers and acquisitions, new product proposals or business wind downs
- The application of specific regulatory requirements to the day-to-day operations of a firm
- Assistance with a range of anti-financial crime matters. For example, how to make reports to financial intelligence units or sanctions authorities
This is non-exhaustive list – we may be able to provide advice and guidance on other topics too.
Please note that C&G Regulatory Solutions does not supply legal services as defined in the Legal Services Act 2007 and associated regulations and guidance thereto. Accordingly, any advice or guidance given does not constitute legal advice. However, C&G Regulatory Solutions may be able to refer clients to legal service professionals for any legal queries that they may have.
Please contact us for a free, no-obligation, one hour initial consultation to discuss your requirements.