Risk & Regulatory
Collas Day is pleased to be able to offer our services in regulatory risk assessment and management. We have a highly experienced team of lawyers with expertise in financial services, able to deal with all legal compliance issues that could affect your business. The assistance we are able to provide ranges from strategic matters to specific operational
Our services include:
- General regulatory and compliance advice and support
- Anti-Money Laundering compliance
- Guernsey Financial Services Commission investigations
- Regulatory audits and reporting - either one-off reviews or periodic health checks
- Foreign investigation and enforcement (including freezing and tracing orders)
- Licence applications and extensions (including trustee licensing of nonregulated financial services businesses)
- Registration of financial services businesses
- Review of client agreements, terms of business and promotional material
- Preparation, review and refresh of internal procedures manuals
- Data protection compliance
- Corporate governance compliance
- Training and updates on latest developments
We can also carry out reviews of specific areas for certain purposes, for example, pre-disposal due diligence or other transactional work. We will work with you to tailor our services to meet the requirements of your business.
Christian Hay, +44 (0)1481 7342375, christian.hay@collasday.com
Alternate Contacts
Michael Adkins, +44 (0)1481 734231, michael.adkins@collasday.com
Sean Cheong, +44 (0)1481 734202, sean.cheong@collasday.com