Financial Regulation

The financial regulation team acts for investment managers, including private wealth management and private banking,  placing agents, fund managers, administrators, custodians and specialist operators of collective investment schemes. 

We identify whether a client is carrying on activities that are regulated (and if in need of a licence, we often engage a compliance consultant to assist with securing this). Clients that are already regulated may require advice on change in scope of permission. We also look at changes in control and assist in the notification of such changes to the FCA.

Our services include:

  •          stock broking, equity and investment trading
  •          corporate finance advice/arranging
  •          trading platforms and multi-lateral trading facilities
  •          crowd funding and similar solutions
  •          insurance mediation and secondary distribution of insurance
  •          mortgage regulation
  •          electronic money and payment services
  •          banking regulation.