Funds and Financial Services

Whether or not you are looking to raise a new fund, invest in a fund, become regulated or need support with your existing business, it is important that you have lawyers who can help you navigate this increasingly complex environment in a straightforward way. Our aim therefore is simple - to assist you with the legal issues effectively and in language you understand, so that you can focus on what you are good at.

Our lawyers act for a range of managers, from small starts ups or spin outs to larger institutional players and investors. This means we can consider funds from a dual perspective that is of significant benefit to our fund clients.

We often work with clients to shape and develop their thoughts and ideas on fundraising - whether they are targeting high net worth individuals or institutional investors.

Our knowledge extends across a wide range of fund types - including private equity, real estate, emerging markets, hedge, luxury assets and UCITS - and jurisdictions. This extensive experience of different structures, both onshore and offshore, and asset classes means we are open-minded, allowing us to share insights with our clients and ensure that the most appropriate structure is used for the relevant asset class.

Our lawyers have broad experience in UK regulatory matters and are able to advise on perimeter issues - i.e. whether FCA regulation is required - whilst also liaising with the FCA on behalf of our clients in regulatory matters. Our knowledge extends across all aspects of the UK regulatory regime, in particular, feeding into our funds, general corporate and contentious financial services practices. We work closely with our contentious team and are able to use their extensive knowledge to prevent you facing similar issues to those they have dealt with previously.



  • Fund structuring and establishment including tax and regulatory advice
  • AIFMD guidance
  • Marketing of funds
  • Stock exchange listed funds
  • Structuring and formation of the manager/adviser
  • Investment support - due diligence, seed investor agreements
  • Fund restructuring and redomiciliation
  • Fund closure (liquidations)
  • Service provider and counterparty agreements
  • Employment issues
  • Disputes and regulatory issues
  • Shareholder activism
  • Ongoing regulatory advice

Financial services:

  • Perimeter guidance: whether your proposed or existing activities require FCA authorisation
  • Financial promotion/marketing of financial products
  • Advising fund managers on AIFMD and other relevant regulations
  • Interpretation of FCA rules
  • Market abuse/insider dealing
  • Consumer credit and crowdfunding
  • Anti-money laundering/proceeds of crime



  • Advising a Canadian/UK film investment and production group on the establishment of an Enterprise Investment Scheme (EIS) (), investing in the creation and production of children’s television programmes.
  • Advising a UK art advisor on the establishment of a self-managed Luxembourg Specialised Investment Fund (SIF) investing in Fine Art.
  • Advising a UK family office on the establishment of its highly bespoke multiclass BVI fund offering pure equity, coupon earning and long-term real asset share classes.
  • Advising a UK manager on the establishment of a master-feeder hedge fund structure with US and
  • Cayman feeders and a Cayman master.
  • Assisting a UK manager with the establishment of a closed-ended Jersey fund undertaking litigation funding.

Financial services:

  • Advising a UK regulated entity in relation to regulatory disclosures to the FCA.
  • Advising a UK business on the UK regulatory implications of equity crowdfunding and the financial promotion rules.
  • Advising a fund manager on anti-money laundering issues in respect of private equity investments.
  • Advising a UK investment manager in relation to approved person issues, compliance with FCA
  • rules and guidance, whilst reviewing and advising on LLP agreements from a UK regulatory perspective.
  • Providing perimeter guidance in relation to proprietary trading activities.

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