Peters & Peters

Removal of FCA warning notice for company providing investment bonds to High Net Worth Individuals

Peters & Peters advised a company providing an investment bond to high net worth individuals and sophisticated investors following the publication of an FCA warning notice raising concerns that the client was providing unauthorised investments to the public. After advising on compliance with the Financial Services and Markets Act 2000, the risks arising from the structure of the business and the overhaul of the company’s existing compliance processes, the firm represented the client in discussions with the FCA and successfully secured the removal of the warning notice from the FCA’s website.

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