We support our clients on legal and regulatory issues that impact the investment and wealth management industries.
We advise on all regulatory issues that impact managers including FCA rules such as conduct of business requirements and the application of the Consumer Duty. We advise on approaching UK investors and the marketing of investment funds in the UK including navigating the financial promotion and AIFMD marketing regimes.
Our regulatory and employment lawyers work together on employment matters that affect our clients such as the Senior Managers & Certification Regime and remuneration issues. Our lawyers have a real understanding of the issues facing our clients, and some have spent time working in-house within the financial services industry.
Our funds experience is diverse and often is driven by a connection to our private client practice. We provide tailored advice and support on the structuring of and establishment of investment funds, notably FCA authorised funds such as UCITS and NURS. Together with our corporate tax team, we advise on and assist in documenting EIS funds. We regularly assist on fund restructurings, many of which have a cross border element.
Much of the work that we carry out for clients has an international element, such as assisting non-UK managers to approach UK investors or market their funds into the UK.
