Our regulatory team 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 funds, banks, broker-dealers, investment advisers, investment managers, providers of online trading platforms and start-ups. Reflecting the breadth of the sector, we are renowned for our experience across the full spectrum of products and asset classes including derivatives, forex, contracts for difference (CFDs) and hedge funds.
We 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.
Our team 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 investigations conducted by various regulatory bodies and who are subject to regulatory action.
Broad range of financial services experience across multiple industries … the level of service and support is first-class.
Chamber UK 2019