Our Financial Services Regulatory experience is broad, helping both regulated and unregulated entities and individuals understand and navigate the rules and obligations imposed on them under UK financial services legislation with the FCA and PRA.
We act for clients across traditional financial services as well as emerging technologies, helping to structure businesses and commercial deals; advising clients as to whether they are caught within the regulatory net and assist with any necessary authorisations and registrations; and providing practical and nuanced advice so that a client can meet ongoing compliance obligations imposed by the regulators and by other financial services law and regulation.
We also provide strategic advice and support to our private funds lawyers, advising investors and onshore and offshore investment fund managers in relation to real estate, private equity and venture capital funds, in connection with a broad range of matters, including, fund formation and on-going operational and regulatory matters, co-investments and internal reorganisations.
With a deep pool of legal expertise at our disposal – including specialists from our corporate, commercial, employment, tax and contentious regulatory and enforcement teams – we provide our clients with practical, commercial advice that keeps pace with today's constantly evolving regulatory landscape.
Key services
- Perimeter guidance: whether proposed or existing activities require FCA authorisation
- Interpretation of FCA rules and guidance on FSMA legislation
- Appointed representative arrangements
- Change of control
- Appointment & removal of FCA approved persons
- Collective investment schemes
- Financial promotion/marketing of financial products
- Advising fund managers on AIFMD and other relevant regulations