Regulatory and Compliance

Financial services regulation in the UK affects a wide range of business activities. We have considerable experience of advising businesses on corporate governance, compliance and best practice.

Our expertise in the areas of regulation and compliance covers:-

  • Acting as head of compliance for an FSA registered corporate advisory and broking firm
  • Project managing establishment of compliance infrastructure and risk systems
  • Applications for FSA and other regulatory approvals
  • Advising quoted companies on all aspects of compliance with AIM and FSA regulations and best practice
  • Regulatory investigations acting on behalf of regulators, individuals and companies
  • Transaction and file reviews

Contact Kergan Stewart

For specialist regulatory and compliance advice, please contact us on 0141 428 3258 or complete our online enquiry form.