Legal & Regulatory Notice

1. About this notice

This Legal & Regulatory Notice applies to the Bishopsgate Vector website and to the basis on which Bishopsgate Vector Advisory Limited (“Bishopsgate Vector”, “we”, “us”, “our”, “the firm”) describes and provides its services. It should be read together with our Terms of Use, Privacy Policy and Cookie Policy. By using this website you accept this notice.

2. Regulatory status — not FCA authorised

Bishopsgate Vector Advisory Limited is a compliance consultancy. It is not authorised or regulated by the Financial Conduct Authority (FCA) or by the Prudential Regulation Authority, and it is not registered with the FCA for any regulated activity.

Bishopsgate Vector does not:

• provide investment advice or personal recommendations;
• manage investments or portfolios, or exercise investment discretion;
• arrange or deal in investments, or bring about transactions in investments;
• hold, control or have access to client money or client assets;
• act as custodian, depositary, trustee or administrator; or
• carry on any other activity that is a regulated activity under the Financial Services and Markets Act 2000 (FSMA) and the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001.

This website is intended to describe Bishopsgate Vector Advisory Limited’s compliance consultancy services. It is not intended to constitute a financial promotion or an invitation or inducement to engage in investment activity for the purposes of section 21 FSMA.

3. What we do

We provide compliance consultancy and advisory support to FCA-regulated firms and to firms seeking authorisation. This includes compliance advisory and resourcing, compliance monitoring and assurance, governance and SM&CR support, policies and procedures, regulatory change, prudential support, FCA authorisation, applications and regulatory change support, regulatory engagement, and financial crime frameworks, in each case as described on this website and as agreed in writing for a particular engagement.

4. Client responsibility for regulatory obligations

Where we support an FCA-regulated firm, that firm at all times remains responsible for its own regulatory obligations, for compliance with the rules and principles that apply to it, and for the decisions it takes. Our role is to advise, support and assist; it does not transfer, assume or discharge the firm’s own legal or regulatory responsibilities, and it does not make us responsible for the firm’s compliance.

5. Senior Management Functions, including SMF16

Where an engagement involves support relating to a Senior Management Function under the Senior Managers and Certification Regime (SM&CR) — including SMF16 (Compliance Oversight) or SMF17 (Money Laundering Reporting Officer) — any such arrangement is subject to a separate written agreement, a defined and documented scope of responsibilities, the applicable regulatory requirements, and FCA approval of the individual where required before the function is performed. Acceptance of such a role is considered on a case-by-case basis and is never automatic.

6. Legal services boundary

Bishopsgate Vector is not a firm of solicitors, is not regulated by the Solicitors Regulation Authority, and does not provide reserved legal activities within the meaning of the Legal Services Act 2007. We do not provide litigation, advocacy, conveyancing, probate or the administration of oaths, and we do not hold ourselves out as able to do so.

We may provide regulatory and compliance analysis that draws on knowledge of law and regulation, but only within the agreed scope of a consultancy engagement and not as reserved or formal legal advice. References on this website to the founder’s “legal-regulatory” background describe experience in law and regulation and do not constitute the provision of reserved legal services or imply qualification as a solicitor or barrister in England & Wales. Where formal UK legal advice is required, clients should instruct appropriately qualified and regulated legal counsel.

7. No guarantee of outcomes

We aim to communicate in a way that is fair, clear and not misleading. However, nothing on this website or in our materials is a guarantee, warranty or assurance of any particular result — including FCA authorisation, approval of an application, a favourable supervisory or enforcement outcome, or protection from regulatory action. Regulatory outcomes depend on many factors outside our control, including a firm’s own arrangements, conduct and decisions and the exercise of regulatory discretion.

8. Information on this website is not advice

The content of this website is provided for general information about Bishopsgate Vector and its services. It does not constitute compliance, legal, regulatory, financial or other professional advice, and must not be relied upon as such. Advice is given only under a separate written engagement, tailored to a client’s specific circumstances. You should not act, or refrain from acting, on the basis of this website without obtaining specific professional advice.

9. Engagement terms

Any provision of services is governed by a separate written engagement letter or agreement between Bishopsgate Vector and the client, which sets out the agreed scope, deliverables, responsibilities, fees and limitations of liability for that engagement. In the event of any conflict between this website and a signed engagement agreement, the engagement agreement prevails for that engagement.

10. Third-party links

This website may contain links to third-party websites (for example, the FCA Handbook, the ICO or professional bodies). Those sites are not under our control, and we are not responsible for their content, availability or privacy practices. Links are provided for convenience and do not imply endorsement.

11. Intellectual property

Unless otherwise stated, the content, design, text, graphics and logo on this website are owned by or licensed to Bishopsgate Vector and are protected by intellectual property laws. You may view and print pages for your own internal, non-commercial use. You may not otherwise copy, reproduce, republish or distribute the content without our prior written consent.

12. Firm details

Legal name: Bishopsgate Vector Advisory Limited
Trading name: Bishopsgate Vector
Registered in: England & Wales
Company number: 17241863
Email: info@bishopsgatevector.com
Website: www.bishopsgatevector.com

13. Governing law and jurisdiction

This notice, the website and any non-contractual obligations arising out of or in connection with them are governed by the law of England & Wales, and are subject to the exclusive jurisdiction of the courts of England & Wales, save as otherwise agreed in a written engagement.

14. Changes to this notice

We may update this notice from time to time to reflect changes in our business or the law. The current version and its review date are shown above. Please check this page periodically.

15. Contact

Questions about this notice can be sent to info@bishopsgatevector.com.