Regulatory advice - Waystone

      Regulatory advice

      Waystone’s experienced team can provide advice to support your firm across a wide range of regulatory matters. We can provide support on the following routine topics:

      • application of FCA rules, including threshold conditions
      • prospective FCA rule changes and their potential impact
      • regulatory horizon scanning
      • advice on regulatory business plans
      • application of the Senior Managers & Certification Regime (SM&CR)
      • fitness & propriety
      • Appointed Representative regime
      • Consumer Duty
      • prevention of financial crime, including money laundering and market abuse
      • compliance procedures
      • general Conduct of Business requirements
      • Environment, Social and Governance (ESG) regulations
      • financial promotions and client communications
      • investigations and advice on potential rule breaches and customer complaints
      • regulatory processes, such as Variation of Permission (VoP) and Change in Control applications
      • communications with the FCA
      • regulatory financial accounting, prudential rules, ICARA and RegData reporting.

      If you would like to discuss your requirements further, please get in touch using the contact form below.

      Get in touch

      Call us

      Select phone
      • Bermuda (Bermuda)
      • Canada (Canada)
      • Cayman Islands (Cayman Islands)
      • Hong Kong (Hong Kong)
      • India (India)
      • Ireland (Dublin Headquarters)
      • Ireland (Cashel location)
      • Ireland (Maynooth)
      • Luxembourg (Waystone Luxembourg)
      • Miami
      • Philippines (Philippines)
      • Singapore (Singapore)
      • Switzerland (Switzerland)
      • United Arab Emirates (Dubai)
      • United Arab Emirates (Abu Dhabi)
      • United Kingdom (London)
      • United Kingdom (London)
      • United Kingdom (Belfast)
      • United Kingdom (Leeds)
      • United Kingdom (Exeter)
      • United States (New York)
      • United States (San Francisco)
      • United States (Chicago)
      • United States (New Jersey)
      • United States (Miami)