In this section

• Overview of the Regulatory Regime
• The Financial Services and Markets Act and FSA Handbook
• Client money and terms of business agreements
• The Role of "Approved Persons"
• Lloyd's - The Regulatory Regime
• Regulation of Alternative Risk Transfer ("ART")
• FSA regulation of intermediaries

Recent regulatory articles

• June 2010
  Don’t Mention Contingents
  Read article »
• January 2010
  Tim Goodger comments on the FSA’s recent publication of “Client Money & Assets report” and subsequent announcements.
  Read article »
• December 2009
  Lehman Brothers and the use of a scheme of arrangement for client trust accounts
  Read article »

All regulatory articles »

Elborne Mitchell - Solicitors

Regulatory

The principal point of contact for regulatory matters is Alexandra Booth.

The Regulatory Team at Elborne Mitchell has extensive experience in regulatory and compliance matters, including:

• Applications to the FSA for authorisation to carry on business and ongoing FSA compliance.
• What constitutes carrying on business in the UK.
• Advising the Lloyd's market, including members and their agents, managing agents and Lloyd's brokers on matters including registration, participation and ongoing compliance.
• Regulation of intermediaries including client money rules.
• Applications for approval of transfers of insurance business.
• Overseas insurers and brokers seeking authorisation for a UK branch or subsidiary.
• Exercise of passport rights by UK and EEA insurers.
• Financial promotions.
• Issues for companies in run-off.
• Disciplinary proceedings by regulatory bodies.

If you have any queries or need advice regarding any regulatory matter please contact Alexandra Booth or telephone her on +44(0)20 7320 9000.

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