REGULATORY

FSREG provides regulatory services primarily to:

• private equity, venture capital, real estate and hedge fund managers.
• businesses operating in the credit, investment, insurance and reinsurance sectors.
• overseas regulated businesses looking to establish a subsidiary, branch or representative office in the United Kingdom.
• foreign law firms and other professional services firms requiring regulatory advice on behalf of their clients.

Our regulatory services include assisting with:

• the authorisation of financial services businesses by the Financial Conduct Authority (FCA) of the United Kingdom.
• the establishment, marketing and operation of regulated and unregulated investment funds.
• becoming an appointed representative (AR) acting under the FCA authorisation of another firm.
• day-to-day compliance queries, regulatory changes and internal training.
• the marketing of credit, investment, insurance and reinsurance products in the United Kingdom.
• internal compliance reviews, investigations and complaints handling.
• defending supervisory or enforcement proceedings commenced by the FCA or PRA.