Financial Services and Regulation

As the range and scope of regulation continues to grow and becomes ever more burdensome, knowledge, understanding and compliance with the relevant regulations is of critical importance.

We have extensive experience of advising clients in the financial services sector. Our clients include brokers, dealers, traders, hedge funds, fund managers, banks, insurers, CFD providers and IFAs. 

We advise both institutional and corporate/individual clients on regulatory and compliance issues and on applications for authorisation and changes in controller. We often conduct FSA compliance audits for authorised and approved persons, and regularly advise in relation to regulatory notification and disclosure obligations.

Our corporate team also advises regulated clients on a wide range of corporate transactions and on the structure and formation of investment funds.

Our dispute resolution team deals with regulatory investigations and advises on all levels of disciplinary proceedings, from FSA Enforcement to Disciplinary Tribunal and, ultimately, the Court.  We also advise on civil claims in litigation, arbitration and mediation, and actions before the Financial Ombudsman Service and the Financial Services Compensation Scheme. We have particular expertise in defending criminal prosecutions of financial crimes.

In 2008, we were one of only three law firms nominated for "Best Legal Services Award - Litigation, Investigation and Enforcement Work" at the annual Compliance Register OStCaR ("Outstanding Service to Compliance and Regulation") Awards.

For further information please contact Alex Read or Harvey Rands.