As well as providing specialist regulatory advice for corporate transactions involving financial institutions, we provide bespoke compliance advice to a wide range of financial services clients.  We have particular expertise in advising insurance companies, insurance intermediaries, retail and investment banks and investment managers.

Our aim is to use regulatory compliance as a selling tool rather than a business obstacle: we always endeavour to identify opportunities whilst ensuring compliance and using it to meet our clients' strategic objectives.

We also provide specialist contentious advice on regulatory issues, in particular internal and regulator investigations and enforcement actions by the FSA, HM Revenue & Customs and the Serious Fraud Office, as well as advising clients in the financial institutions sector on dispute resolution more generally.

• acting for a number of insurance intermediaries to provide day-to-day advice on general regulatory matters, including clients who offer insurance as product add-ons, such as Hyundai, Porsche GB and Vodafone
• advising a leading Japanese investment bank on FSA compliance issues arising out of whistleblowing claims by traders
• advising an AIM listed company on an investigation by the FSA into timely disclosure of profit warnings and potential breaches of the Disclosure and Transparency Rules

Paul Anning
t +44 (0)20 7105 7446
paul.anning@osborneclarke.com