Financial services & regulation

Writing and checking procedures, reviewing promotions and suitability reports, working with struggling advisers, compliance officers and senior managers, handling crises at firms and regulators and investigating why things happened, coping with complaints and giving expert evidence on compliance standards. These are just a few of the types of compliance problems tackled by the consultancy service. Typical subject areas include

  • Treating customers fairly reviews
  • Client agreements and initial disclosure documents
  • Financial promotions
  • Developing products and services
  • Drafting or reviewing policy conditions, marketing and other material
  • Advice or suitability standards
  • Complaints
  • Reviews and redrafting of systems and controls and other office procedures
  • Expert witness on compliance standards

The lawyer's lawyer - or just lawyer

Since the 1980s, lawyers have used this service to pick brains, explore things which required proper researching, find new insights, benefit from talking to a lawyer with real practical financial services experience and access information about multiple legal systems.
  • International arbitration and other dispute resolution mechanisms
  • Private international law
  • International business law
  • Financial services law


Consulting takes any number of different forms from a week in the office on the other side of the world to a quickly snatched telephone call.
  • Face-to-face or remote meetings
  • Telephone
  • E-mail
  • Formal opinions
  • Letters drafted to clients and regulators
  • Research papers
  • Deep-dig audits on what caused problems or can be improved
  • Handling or bringing complaints
  • Drafting office procedures for complaints, financial promotions and other business activities

Get in touch

Contact Adam by e-mail, phone or post at:

E-Mail: or

Mobile: 07900 248150

The Attic, 117 Priory Road, London NW6 3NN.