Barristers & Attorneys London & New York
Barristers & Attorneys   London & New York

Financial Services

With legal practices focused on the world financial centres of London and New York, Canary Wharf Chambers is ideally suited to offer its clients (financial institutions and financial industry professionals alike) a comprehensive legal service.

Barristers and Attorneys at Canary Wharf Chambers can advise both FCA and SEC regulated entities and those seeking regulatory authorisation on matters including:

 

  • 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
  • Requirements, qualifications and regulatory obligations for professionals working in the Financial Services sector

 

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 - find us

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

 

Or use our contact form.

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Business hours

London:

08.30 - 22.00 (GMT/BST)

 

New York:

03.30 - 17.00 Eastern

00.30 - 14.00 Pacific

(thru Mar 11 2018)

Full Litigation Services Now Available......

 

Click here for further information

Barristers Chambers in London

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