Financial Regulation
Overview
Immisol Solicitors offers comprehensive legal services in the area of financial regulation, helping financial institutions, investment firms, and corporate clients navigate the intricate regulatory frameworks that govern the financial sector. Our team provides proactive advice and robust defense in regulatory matters to ensure compliance and to protect your business interests in a highly regulated environment.
Our Services
Regulatory Compliance
We advise clients on compliance with all aspects of financial regulation, including those set by the Financial Conduct Authority (FCA) and other international regulatory bodies. Our services include assistance with licensing, ongoing compliance reviews, and the implementation of compliance programs tailored to the specific needs of your business.
Financial Services and Markets Regulation
Our expertise encompasses the entire spectrum of services regulated under financial markets law, including banking, derivatives, insurance, and asset management. We assist with the structuring, marketing, and management of these services, ensuring they meet the legal requirements for operation in domestic and international markets.
Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF)
We provide strategic advice on AML and CTF compliance, helping clients establish systems and controls to prevent financial crimes. This includes conducting risk assessments, drafting AML policies, and training staff to recognize and handle potential money laundering or terrorist financing activities.
Investigations and Enforcement
Our team represents clients in investigations by financial regulators and assists with responding to enforcement actions. We offer defense strategies and negotiation expertise to minimize potential penalties and manage reputational risk.
Fintech and Digital Assets
We advise fintech startups and established financial institutions on regulatory issues related to digital assets, blockchain technology, and innovative financial products. Our guidance ensures that technological advancements are leveraged compliantly within the regulatory frameworks.
