Financial Services Regulations

The team at Kuits has significant expertise in advising SMEs and owner-manged businesses to navigate the wealth and complexities of financial services regulations.

These regulations are often overlooked, especially as they don’t just apply to Financial Conduct Authority (FCA) and/or the Prudential Regulation Authority (PRA) authorised businesses.

As an owner or manager of an unauthorised company you need to be aware of the general prohibition and financial promotion rules that could apply. Close analysis of their potential impact on your business is necessary to make sure you don’t unintentionally fall foul and risk reputational ruin, damaging fines and even criminal liability.

Kuits’ Corporate Law Partner, Jan Winstanley ensures our clients are aware of their regulatory exposure for financial services and work closely with them to manage risk accordingly.

We help businesses to understand:

• regulatory perimeter queries;
• regulatory aspects of raising capital and suitable investment fund vehicles to do this including: the small registered AIFM and the private fund limited partnerships (PFLPs);
• traditional and non-traditional financial products including cryptoasset tokens;
• the financial promotion rules and any exemptions that might be available; and
• bespoke regulatory queries.