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Cases we have handled

Corporate Governance / regulatory compliance – insurance sector

·         We were instructed by solicitors to review the corporate governance structure and regulatory permissions for a London based subsidiary of a major Japanese insurance company. This company was seeking to expand its UK business and needed a complete “bottom-up” review of its activities as new Japanese management was being appointed. Re K

Corporate governance / regulatory compliance – brokerage firm

·         We were instructed by solicitors acting for a US investment brokerage wanting to set-up a UK operation. We were asked to review their procedures and assist them in applying for FSA permissions – Re FNYS