Bevan Brittan’s financial services team draws together multi-disciplinary legal and regulatory expertise to provide our clients with a fully integrated service.

Senior members of our financial services sector team have industry and regulatory experience; junior members are encouraged to develop an intimate experience of our clients’ needs and working practices through a rolling programme of secondments.

We advise our clients in relation to the following:

Regulatory

• The scope of FSA regulation (and other relevant related regulation, for example, the Banking Code, Consumer Credit Act and the Solicitors Code of Conduct)
• The impact of regulatory change
• FSA Authorisation applications
• Financial Promotions
• Compliance/risk management and principles based regulation
• Treating Customers Fairly (TCF)


Reputational Management and Investigations

• Non routine FSA authorisation and approval applications
• Complaints/Customer communications/Legacy issues
• Financial Ombudsman Service adjudications and decisions
• Judicial review
• Data breaches
• Emergency injunctive relief
• Whistleblowers
• Internal corporate investigations in relation to possible fraud and/or regulatory breaches
• FSA Supervision and Enforcement inquiries


Distribution

• Distribution arrangements and agreements
• Affinity and white label arrangements
• Broker network arrangements
• Brokers TOBAs
• Delegated authorities
• Respective responsibilities of product providers and distributors
• Disputes within the distribution chain


Sourcing

• Suppliers agreements
• Outsourcing and offshoring arrangements and agreements with third party service suppliers
• Procurement


Data Protection and Information Technology

• Data security
• Marketing and advertising
• E-enablement
• Customer communications


Intellectual Property (IP)

• Branding
• Licensing
• IP Domain name (registration and disputes)
• Product protection


Corporate/finance

• Constitutional arrangements
• Re-organisations
• Joint ventures
• Commercial transactions
• Major projects
• Asset finance


Commercial Litigation and Dispute Resolution

• Litigation
• Arbitration
• Mediation


For more information, please contact:
Harvey Knight
harvey.knight@bevanbrittan.com
0870 194 7959  

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