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Financial Services &  Advisory

We are equipped with the technical knowledge of OTC derivatives to assist large-scale brokerages or retail clients.

Having secured landmark judgments in the Financial Services Industry, the firm has demonstrated experience in advising on many aspects of the legislation applicable to Financial Services Providers and Intermediaries.

We offer the following services:

  • Assisting clients to develop and manage their FICA and consumer facing terms and conditions.

  • Attending to the representation of clients at the Financial Conduct Authority.

  • Assisting in analysing and providing reports on prohibited trading practices.

  • Advising clients on the applicable provisions of the following legislation: Financial Advisory & Intermediary Services Act ('FAIS'), Financial Intelligence Centre Amendment Act ('FICA'), Consumer Protection Act ('CPA'), Electronic Communications & Transmissions Act ('ECTA') and the Protection of Personal Information Act ('POPI').

  • Assisting clients in the compliance aspects of the Financial Markets Act relating to applications for OTC Derivatives Provider authorisations.

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