Financial Services

The financial services sector has never been more complex or fast changing. Constant innovation in technology and products and closer regulatory scrutiny are driving a need for commercially informed, practical legal advice for all players in the sector.

At Fladgate, we are experienced in a wide range of matters relating to the regulation of banking, securities and investment firms in the UK, acting both for authorised firms and those seeking advice on authorisation. Our clients include banks, broker-dealers, investment advisers, investment managers, funds, providers of online trading platforms and startups. Reflecting the breadth of the sector, we are experienced across the full spectrum of products and asset classes including derivatives, forex, contracts for difference (CFDs) and hedge funds.

We also have considerable expertise in the regulation of the marketing of investments and funds to UK investors, particularly those established in offshore jurisdictions aimed at high net worth investors.

We advise clients on PRA/FCA Handbook compliance issues and related legislation, including all relevant European law. This includes the Capital Requirements Directive, the Markets in Financial Instruments Directive (MiFID), the European Market Infrastructure Regulation, customer documentation, prime brokerage, white labelling, introducing broker, custody and other agreements and commercial documentation.

We are also experienced in advising individuals and institutions involved in regulatory investigations by various bodies and subject to regulatory action.