Financial Services Regulatory

Our Financial Services Regulatory experience is broad, helping both regulated and unregulated entities and individuals understand and navigate the rules and obligations imposed on them under UK financial services legislation with the FCA and PRA.

We help to structure businesses and commercial deals; advise clients as to whether they are caught within the regulatory net and assist with any necessary authorisations and registrations; and provide practical and nuanced advice so that a client can meet ongoing compliance obligations imposed by the regulators and by other financial services law and regulation.

Key Services

We act both for individuals and for firms seeking regulatory guidance and advice across multiple sectors. This typically involves dealing with a variety of issues, including advising on:

  • whether FCA authorisation is required;
  • the establishment of regulated businesses in the UK;
  • the ongoing regulatory obligations for regulated investment managers, advisers and deal makers;
  • the marketing of financial products and fundraising;
  • appointed representative arrangements;
  • change of control applications in the context of M&A and re-structuring transactions;
  • collective investment schemes and other investment structures;
  • the Payment Services Regulation and Electronic Money Regulation;
  • the Alternative Investment Fund Managers Directive;
  • the interpretation of the FCA Rules and Guidance. 
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