Regulatory

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.

If you have any questions or queries please call Charles on +44 (0)20 3036 7324 or email cproctor@fladgate.com

“Broad range of financial services experience across multiple industries … the level of service
and support is first-class.”

Chambers UK
 
  • Advising investment funds/hedge funds on the application of the Alternative Investment Fund Managers Directive.
  • Advising hedge funds on the impact of Greek withdrawal from the Eurozone and its impact on euro denominated assets and liabilities.
  • Advising the UK subsidiary of an Asian bank on the provision of deposit/payment services across the European Union, including the use of the EU financial services “passport”.
  • Advising a US broker on the extent of permissible securities marketing activities in the United Kingdom.
  • Advising a foreign bank in relation to the transfer of its assets to a UK subsidiary using the procedures in Part VII, FSMA.
  • Advising a UK regulated bank on the calculation of its Tier One capital ratios under the Capital Requirements Directive.
  • Advising a foreign company on the trading of “binary options” and the extent of their regulation in the UK.
  • Advising banks and foreign exchange traders on the legal consequences of the removal of the CHF/EUR capped exchange rate in January 2015.