If you have problems with the regulator, the last thing you need is a crash course on the complexity of disciplinary process. That's why we're here - to ease the burden, and secure the future of your business.
At CCL, it's our sole purpose to keep you well within the bounds of FSA regulation - and out of the disciplinary procedures.
Handling the processSkilled Persons Review
Handling the process
CCL is experienced in assisting and advising firms with FSA disciplinary procedures. Here are just some of the ways we can get you through the disciplinary process:
- Mitigation - to reduce the impact of the disciplinary process
- Enforcement process guidance
- Avoiding a skilled person review (s 166)
- Handling the disciplinary process
- Establishing the facts
- Preparing your case
- Liaising with your other advisers
- Dealing with the FSA Enforcement Team
- Presenting to the Regulatory Decisions Committee (RDC)
- Assisting at Tribunals
We're ready to help
Our specialist compliance services can make all the difference to your business. To discuss the options, or to arrange a meeting, simply call 020 7638 9830 - or fill out our Contact Us Form.
Skilled Persons Review
Section 166 of the Financial services and Markets Act 2000 gives the FSA power to require firms to provide reports prepared by skilled persons. At CCL we are fully qualified to undertake your skilled person's reviews - using our highly qualified practitioner-based personnel.
Working closely with the FSA, we can sometimes be appointed in a constructive capacity to independently monitor and report on a firm's progress. This ensures the firm is following an agreed plan of action, designed to bring them into compliance with the regulations.
We're ready to help
Our specialist compliance services can make all the difference to your business. To discuss the options, or to arrange a meeting, simply call 020 7638 9830 - or fill out our Contact Us Form.
