Financial Services

"We can help with ......

• FCA Reporting Requirements
• SEC Reporting Requirements
• Listing Rules & Requirements for UK Stock Exchange listings
• UK Listing Authority (UKLA) compliance
• NYSE Listed Company Manual compliance
• Corporate Governance requirements
• Anti-money Laundering procedures
• Risk-management strategies and legal compliance
• Minimum capital requirements
• Minimum reserve requirements
• UK Financial Services and Markets Act (FSMA) Act 2000 compliance
• UK Bribery Act 2010 compliance
• US Sarbanes-Oxley Act 2002 compliance
• Dodd-Frank Act compliance
• SEC Rules and Procedures
• Compliance and filing requirements
• Requirements, qualifications and regulatory obligations for professionals working in the Financial Services sector

.... in addition to many other Legal Issues and Problems personally handled by legal specialists at Canary Wharf Chambers"

Unless expressly stipulated: no individuals at Canary Wharf Chambers are authorised by the Financial Conduct Authority, the SEC and/or FINRA to provide investment and/or financial advice.

Barristers Chambers in London

Canary Wharf Chambers

Level 18 40 Bank Street

Canary Wharf

LONDON

E14 5NR

United Kingdom

DX 42659 ISLE OF DOGS

t: +44 (0)20 7183 8011

t: +44 (0)20 7183 8012

f: +44 (0)20 7183 8830

Also:

NY: +1 (212) 202-0822

DC: +1 (202) 800-9998

Or use our contact form.

Business hours

London:

08.30 - 22.00 (GMT/BST)

New York / Washington DC:

03.30 - 17.00 Eastern

00.30 - 14.00 Pacific

(thru Nov 6 2022)

Full Litigation Services Now Available......

Click here for further information

Barristers Chambers in London