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Regulatory

Regulation is on the increase. Whatever sector your business operates in, you will most likely find yourself having to deal with new offences, penalties and reporting obligations.  As well as assisting firms and individuals who find themselves on the wrong side of regulators, our Regulatory Team also help firms to develop strong governance frameworks to avoid running into such problems.  How firms run themselves was once regarded as a private affair, but this is no longer the case, and firms are increasingly held to account for their business practices.  As well as these external threats to your business, you need to guard against becoming the victim of fraud, and must comply with complicated money laundering regulations, which may impose constraints on your business' ability to secure and service new clients. 

At RPC, our team of specialist lawyers advise on all aspects of regulation, business and financial crime and compliance, including both contentious and non-contentious matters. Drawing on the experience of our former FCA team members, we can guide you through the full regulatory process. We have a deep knowledge of the insurance and asset and fund management sectors and have advised not only firms but also their industry and trade bodies. 

 

Selected directory listings

  • "RPC gives pragmatic advice" - The Legal 500, 2013
  • "[Richard Burger is an] outstanding lawyer" - The Legal 500, 2012
  • "The team has significant regulatory experience" - The Legal 500, 2012

 

Our areas of expertise include:

  • Compliance - regulatory advice on a broad range of compliance issues, including the auditing and the design and audit of systems and controls
  • Corporate governance - we advise on, undertake reviews of and provide training on: board composition, board effectiveness, governance controls and frameworks, governance structures,
    approval frameworks, significant influence and approved persons and governance manuals
  • Internal investigations - we work with firms, often in conjunction with regulators, to conduct internal investigates on a broad range of issues, including bribery and corruption, compliance failings, fraud and sanctions 
  • Claims - we advise regulated firms on the claims and complaints made against them, whether to the Financial Ombudsman Service, in courts or in specialist tribunals
  • Enforcement - we act for and defend firms and individuals suspected of committing criminal and regulatory offences
  • Policies and procedures - we produce and review existing policies and procedures for businesses in all sectors, including financial services and media sectors
  • AIFMP and other regulatory rules applicable to alternative assets.

 

 

For more information on our Regulatory practice please contact Richard Burger (richard.burger@rpc.co.uk) or Robbie Constance (robbie.constance@rpc.co.uk)


 

To read our Regulatory Publications, click here. To read our Regulatory Blog, click here.


Click here to read RPC's white paper – "Perceptions matter!  Making sense of regulation"


To see Regulatory Partner Richard Burger explain "Eight things you need to know about the Bribery Act", click here.