the DIRECTORY
DWF Regulatory Consulting  logo
1 Scott Place
2 Hardman Street
Manchester
M3 3AA
T: 03333203330
E:
www.dwf.co.uk
No. of consultants: 4-5
Geographic area covered: UK Nationally, with legal offices in other international jurisdictions
  • National

DWF Regulatory Consulting

DWF specialise in providing advisory and legal services to FCA, PRA and PSR regulated firms. 

types of client firm served:

  • Authorised Professional Persons
  • Banks/Deposit Takers
  • Building Societies
  • Claims Management Companies
  • Collective Investments Funds
  • Company Service Providers
  • Consumer Credit Providers
  • Corporate Finance Firms
  • Credit Unions
  • Custodians/Depositaries
  • Discretionary fund managers
  • Electronic Money Issuers
  • Energy Market Participants
  • Friendly Societies
  • High Value Dealers
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Investment Banks
  • Lead generation firms
  • Lloyds
  • Money Service Businesses
  • Mortgage Brokers
  • Mortgage Lenders/Administrators
  • Payments Services Institutions
  • Private Client investment management
  • Restricted financial advisers
  • Retail investment management
  • Sale and Rent Back
  • Secondary Intermediaries
  • Securities and Futures firms
  • SIPP providers
  • Stockbrokers
  • Third party product providers
  • Trade associations, professional bodies and regulators
  • Travel Insurers
  • Trust Service Providers
  • Wrap Platforms

services offered:

  • Authorisation - PRA
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - Financial Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Money Laundering/Financial Crime Advice and Reviews
  • Payments Services Registration and Compliance
  • Pension Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates