Financial services

One effect of the Financial Services and Markets Act 2000 and the creation of the Financial Services Authority has been to see “compliance” rise up the corporate agenda. Best practice compliance is now seen as a core competency for all financial services organisations.

How can we help?

The burden of complying with the Financial Services Authority's Handbook seems to grow exponentially; this is where our specialist lawyers can help. Our lawyers are unique in understanding both the subtleties of the legal requirements of the FSA Handbook and what they mean in practice. This is because of the relationship between Thomas Eggar LLP and our associated financial services company, Thesis Asset Management plc. Thesis, an independent and separate financial services company, regulated by the Financial Services Authority and owned by members of Thomas Eggar LLP is the largest lawyer-owned investment management business in the UK. We are asked to address its compliance issues as they arise daily.

We understand that you need to get compliance right, but that it needs to complement rather than conflict with your core business. We aim to deliver our advice in a way that is clear, practical and helpful.

Our specialists deal with all matters arising out of the Financial Services and Markets Act 2000 and the FSA's Handbook.

Our services

• Advising on FSA applications for authorisations
• Advising on regulated activities, financial promotions and the need for authorisation
• Reviewing and advising on promotional materials
• Advising on conduct of business including customer and appointed representative agreements