SERVICES

I am happy to work with other advisers or law firms to achieve timely and cost effective services for the client.
 

Advice on the UNITED KINGDOM’s regulatory regimeS

• Perimeter issues, pre-authorisation conferences with regulators for new financial sector businesses and overseas companies (particularly US firms) wishing to set up in the UK or Europe.

Obtaining authorisation

• Preparation of regulatory business plans, compliance policies and manuals
• Preparation of standard terms of business and other documentation
• Advice on the operational compliance requirements of a new business and making an application for authorisation
• Advice to incoming EEA firms on their obligations under the Financial Services Authority

Strategic advice on regulatory changes

• Assessment of future developments in, and regulation of, collective investment schemes across Europe and implementation of the Markets in Financial Instruments Directive (MiFID) and the Transparency Directive.

Advice on European passporting

• European passporting issues for both UK and incoming EEA firms.  

Reviewing compliance processes and procedures

• Assessment of current performance
• Development of procedures and manuals to demonstrate adequacy of systems of control. 
• Initiation of effective monitoring programmes.

Advice on the Internet and other aspects of electronic commerce

• Regulatory implications for financial services

Training courses and development for authorised firms

• Senior management awareness of obligations
• Regulated staff maintenance of required levels of competence

Advisory/outsourcing service

• Regular compliance advice and/or monitoring on a pro temp basis

Interim management

• Cover for short term situations or assistance in sourcing full time replacements

Investigations and Disciplinary Process

• Advice on response to allegations concerning legal, regulatory and ethical actions of a firm or its personnel.
• Assistance to management regarding the Financial Services Authority’s disciplinary process or impending litigation

Benchmarking and market studies

• Comparison of the operation of various financial markets and products. 
   

Sole Principal: Deborah A. Sabalot Regulated by the Solicitors Regulation Authority: Firm No. 440736