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: