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Meeting

PERIMETER ADVICE

Our team are able to assess business plans and emerging services to determine their alignment with UK and EU regulatory frameworks. Pinpointing whether an activity falls within the regulatory perimeter, as defined by entities like the FCA and PRA, can be challenging amidst the dynamic landscape of the financial services industry.

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As new financial products emerge, it's often unclear whether they fall within regulatory boundaries, and if they do, which specific regulations apply. Drawing from our extensive experience, we assist firms in navigating these complexities.

We take pride in our ability to not only understand the relevant rules and guidance but also to exercise sound judgment in interpreting potential grey areas. By grasping the objectives and expectations of regulations, whether explicitly stated or implied, we offer comprehensive perimeter advice.

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Here's how we can assist:

-Determining the need for FCA or PRA authorisation.

-Assessing the suitability of appointed representative arrangements.

-Providing guidance on relevant exemptions.

- Assisting international firms in understanding UK regulatory boundaries.

- Advising on and supporting large-scale changes of control, such as acquisitions or new product launches.

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