The UK Financial regulatory landscape is tough to navigate, particularly in light of multiple changes often demanded by the versatile financial services sector.

We can help to guide you through the complex regulatory environment, in particular; Financial Services and Markets Act 2000 (FSMA) and The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001(“RAO”) and RAO 2015.

Regulatory changes are affecting all parts of the financial services sector, from banks, asset managers, insurers, market infrastructure providers, sipp providers, sipp trustees, investment providers, fund managers, DFMs, appointed representatives and/or even unregulated introducers. No one is safe from being attacked by the FCA for their part in any loss or unfair treatment to the UK consumer or a market abuse.

Our multi-disciplinary approach combines expertise in both contentious and non-contentious Financial Services matters. This puts us ahead of our competitors when it comes to protecting our clients. We act for both UK consumers and businesses – thus we know exactly what is expected of corporate clients and this gives us a leading edge to assist them to stay on the right side of the law.

Nationally, we are a leading law firm and have current experience of handling clients’ disputes with the FCA on a range of major legal issues (often multi-million-pound disputes).

Whether you are a fund manager, investment provider, promotor, even an unregulated introducer, we are able to assist you with full range of legal services in this sector.

In particular, we can help and protect you from regulatory risk should you seek our advice. We have the expertise to advise you on how to take advantage of the emerging market opportunities without crossing the regulatory lines.

Knowing how the FCA operates, you can be rest assured that our guidance comes with the current authorities and principles of good business practice.

Involving us at an early stage, saves you time and money, and in some cases saves you from prosecution, often brought by the Financial Conduct Authority (“FCA”) and/or Serious Fraud Office (“SFO”).

You can potentially avoid litigation and/or dispute with the regulators altogether.

Why Us?

We are highly experienced in advising on the full range of issues affecting clients in the financial sector. These are ranging from major regulatory investigations to high profile disputes with FCA and/or others.

The depth of our market and FCA knowledge comes with our position as one of the leading finance law firms in England and Wales. This sets us apart from our competitors, who are often major or ‘magic circle’ law firms.

As well as having extensive and current experience in handling financial service regulatory investigations, and disputes with the FCA, we have leading financial services defence (criminal and civil) capability covering;

  • Anti-corruption;
  • Anti-money laundering,
  • Bribery,
  • Fraud including financial,
  • Tax,
  • Sanctions,
  • Insider dealing,
  • Acting ultra vires (beyond mandate) as a fund manager including DFMs,
  • Introducer activities,
  • IFAs activities,
  • Contraventions of the regulated activities order(s),
  • Contraventions of FSMA 2000 generally,
  • Contraventions of Financial Promotion Rules (including FPO 2005),
  • Contraventions of pension rules,
  • Contraventions of COB-Rules,
  • System and Processes,
  • Market abuse,
  • Production of Conflict Policies,
  • Defence work against restitution orders (sought by the FCA),
  • Allegations of knowing concerned,
  • Tribunal, Judicial reviews and High Court cases,
  • Control functions; and
  • Change of control.

We have the current experience and the correct expertise to simplify the complicated issues with the aim to narrowing down the disputed facts. We provide high-quality legal expertise nationally and always ensure our delivery to our clients comes with a cost benefit analysis – we always have regard for proportionality of cost, whilst striking the delicate balance of risks/reward.

If you need advice, then please click here to contact a member of our dedicated team today.

If we can assist, then please feel free to get in touch for more information.

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