Financial Intermediaries

Providing integrated legal services for financial intermediaries

Across the globe, financial intermediaries seek out our structuring capability to assist them with theirs and rely on our knowledge of the relevant compliance, enforcement and broker-dealer framework. We go beyond the technical and transactional advice, bringing together experts from different disciplines and regions to put the law or “lore” in the context of the full spectrum of their business objectives.

Our experience spans decades, advising on the regulatory and legal framework for financial intermediaries. We regularly advise on the development of new products, regulatory requirements, compliance, tax, codes of practice and protocols, regulatory investigations, securities litigation and alternative risk structures.

If you are a financial intermediary, our lawyers can advise you on:

  • Authorisation and licensing
  • Codes of practice
  • Regulatory investigations
  • Class actions
  • Securities litigation
  • Regulatory change and compliance
  • Structuring techniques
  • Tax
  • Marketing materials
  • Securities distribution arrangements (including client engagement)
  • Derivatives contracts and regulation
  • Independent reviews to reduce conduct and legal risk.
"The knowledge of the subject matter is excellent, and their interpretation of the rules is first-class."

- Chambers

We have a full team specialising in this area.

Discover our latest insights into legal issues affecting your business

What is the best way to overcome the difficulties of setting up a business in China? How should you structure your business? KWM Partner Mark Schaub explores these questions and more in the webinar...

16 September 2020

On 9th July 2020, the UK Government published the Companies (Shareholders’ Rights to Voting Confirmations) Regulations 2020 (the “Regulations”)

08 September 2020

What is the best way to overcome the difficulties of setting up a business in China? How should you structure your business? KWM Partner Mark Schaub explores these questions and more in the webinar...

02 September 2020

How has China changed over the past 15 years? What holds true today? KWM Partner Mark Schaub will explore these questions and more in the webinar The Art of Law – ‘Knowing China’....

14 August 2020

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