FS REG - Legal and Regulatory Consultancy

FS REG provides legal and regulatory advice on corporate, investment funds and financial services matters

Category: Products

STATUTORY BOOKS FOR LIMITED COMPANIES

We have prepared a set of statutory books for private limited companies incorporated in the United Kingdom under the Companies…

HEDGE FUND LIQUIDATION CHECKLIST

This checklist sets out the main steps to be taken to liquidate a hedge fund structured as a Delaware limited…

SMCR ASSESSMENT FORM AND CERTIFICATE OF FITNESS AND PROPRIETY FOR CERTIFIED STAFF

This is a template form to be used by an FCA solo-regulated UK Core SMCR firm to assess the fitness…

FCA RULES APPLICABILITY ANALYSIS: CORPORATE FINANCE FIRMS

This table lists the main rules contained in the FCA handbook and the MiFID Org Regulation (Regulation (EU) 2017/565) that…

APPOINTED REPRESENTATIVE AGREEMENT

This is a precedent appointed representative agreement whereby an FCA authorised firm (the Principal) appoints another person (the Appointed Representative)…

SOFT SKILLS FOR LAWYERS: 2020 REPRINT!

We are pleased to announce that the 2020 reprint of Soft Skills for Lawyers is available for sale! To buy…

SMCR: TEMPLATE DOCUMENTS FOR UK SOLO-REGULATED CORE FIRMS

FS REG has prepared template documents which contain everything you need to efficiently implement the SMCR at your firm. The…

FINANCIAL FRAUD TRAINING FOR LAWYERS: CASE STUDIES

This training session considers some case studies concerning financial fraud.  It is a reminder that financial frauds can occur, on…

INVESTMENT FRAUD INVESTIGATION SERVICES: FROM £499 + VAT

Have you been offered an investment opportunity but you are not sure whether it is a scam?  Have you made…

TAILORED FCA HANDBOOK – FROM £499 + VAT

Save your time by only looking at the rules that apply to you.  Easy-to-use format.  Regular updates available.  Includes MiFID…

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