Regulation of Financial Services

Raymond’s experience of the regulation of financial services covers the whole spectrum of advisory and advocacy work:

  • Authorization.
  • COBS, ICOBS and CASS rules.
  • conduct of business rules, and client assets rules.
  • financial promotions.
  • FSA investigations and enforcement proceedings, including s.45 notices and s.166 reviews.
  • market abuse and insider dealing.
  • money laundering and POCA requirements, and compliance with the Unfair 
Terms in Consumer Contracts regulation.
  • litigation and investigations in relation to claims for damages for breach of regulatory duties in relation to misselling of products such as pensions, bonds, derivatives, CFDs and swaps, as well as “boiler rooms”.

Raymond is a contributor to the regulatory section of Encyclopaedia of Insurance Law (Sweet and Maxwell).

Recent examples of Regulation of Financial Services work.