Regulatory and Compliance

We offer expertise and fresh-thinking across a wide range of regulatory and compliance areas.

Regulatory and Compliance

Experienced Regulatory and Compliance Solicitors

We are able to assist you in connection with any investigation or breach of regulation. We are experienced at dealing with HMRC, Financial Conduct Authority and the Prudential Regulation Authority, Financial Ombudsman Service and Trading Standards. We act for a businesses throughout East Anglia and the United Kingdom including two national companies. We also provide workshops for you and your staff on matters that affect your business including regulatory and compliance.

We have assisted clients at interviews held with Trading Standards and advised right up to and including the court proceedings. Our team is fully conversant with PACE. Our team advices finance companies on compliance with the consumer credit act and directives, and advice on the impact of the legislation changes. Firms are now required to comply with the new consumer credit sourcebook (CONC), as well as the FCA’s Principles for Businesses (PRIN), Threshold Conditions (COND) and other regulations such as Senior Management Arrangements, Systems and Controls (SYSC). We have recently been instructed to advise on such matters and have assisted with the drafting of marketing material and making submissions to the FCA.

In particular, when advising on the compliance with CONC, we will address and advise on prominence issues, whether the advertising is printed or online or broadcasted. We have experience in dealing with representations to the FCA and Clearfast.

We are able to act for you on urgent matters which require immediate assistance, and irrespective of your location.

  • Trading Standards We assist clients in all dealings with Trading Standards and advise right up to and including the court proceedings
  • Police and Criminal Evidence Act (PACE) Our team is fully conversant with the Police and Criminal Evidence Act (PACE)
  • Consumer Credit Act We advise finance companies on compliance with the consumer credit act and its directives, together with advice on the impact of the legislation changes.
  • Drafting of marketing material We advise on the drafting of marketing material and making submissions to the FCA.
  • Consumer Credit Sourcebook (CONC) We support and advise firms in complying with the consumer credit sourcebook (CONC), as well as the FCA’s Principles for Businesses (PRIN), Threshold Conditions (COND) and other regulations such as Senior Management Arrangements, Systems and Controls (SYSC).

In particular, when advising on the compliance with CONC, we will address and advise on prominence issues, whether the advertising is printed or online or broadcasted. We have experience in dealing with representations to the FCA and Clearfast.

 


What our clients say

  • Dear Peter

    I think the congratulations should go to you because without your help and guidance I’m not sure that I would have got this far. I was very happy with the result and it definitely allowed me to enjoy my weekend.

    Once again thanks for all your great help and support in reaching a satisfactory conclusion.

    Mr A.

    Hastings Peter
  • Thank you for all your assistance and advice this year on what proved to my eyes a difficult case. Mrs J and I are so relieved above all to get our lives back and we are looking forward to a happy Christmas.

    Mr J.

    Hastings Peter
  • Excellent result – I recommend you anytime !!

    Anon.

    Hastings Peter
  • If I ever need anyone to fight my corner in the Corporate world, you will be the first to hear about it. Very many thanks for your remarkably swift and positive approach to the whole thing.

    Anon.

    Hastings Peter
  • Just a quick e-mail to say how much we appreciate all the hard work you put in on our behalf over the past 10 months on our complicated case, including your help with the Bank and dealing with our opponent. Your efforts were brilliant. I would have caved in if not for you. We are very pleased with the result.

    If we ever have need for a solicitor, we will definitely use yourself/Rogers and Norton and recommend you.

    Anon.

    Hastings Peter

Related Pages