About Us
Carson & Co. specialises in financial services law and regulation.
We provide legal and compliance advice and support on a broad range of regulatory and structural issues, transactions involving a financial services element, authorisations and new product development and implementation. Our expertise covers the principal sectors of the financial services industry.
Legal advice you can trust and rely on
We are a small firm; but we appreciate the big picture.
We recognise that the domestic regulatory agenda in the UK is shaped by international considerations, both at the EU level and on a global basis. Our experience of advising on European and international legal initiatives enables us to advise clients from a position of detailed knowledge.
We can assist with ad hoc enquiries and questions, special projects – such as planning a firm's response to specific legal and regulatory developments – or provide close and continuous support, akin to an outsourced legal and compliance function.
We have experience of a diverse range of issues, including:
- carrying on a regulated business in the UK and overseas;
- establishing a financial services business and variations to existing permissions;
- conduct of business and ongoing compliance, including legal advice on specific rules and principles;
- compliance procedures and systems and controls;
- anti-money laundering requirements;
- inward and outward "passporting" across the European Economic Area;
- senior management responsibility, corporate governance and individual approval requirements;
- prudential supervision, including capital requirements;
- product design, documentation and distribution;
- transaction support on mergers, acquisitions, disposals and corporate restructurings;
- strategic advice on regulatory relationships;
- project management and support;
- outsourcing and transitional services arrangements; and
- regulatory investigations and disciplinary proceedings.
Our website is not exhaustive of our experience and capability in financial services law and regulation; rather, it has been designed to give an overview of our ability to help businesses navigate and comply with the legal and regulatory regime. If you do not see specific mention of an aspect of the regime that you require advice on, please do get in contact; we may well be able to help.
Click here to read about our approach to financial services law and regulation.