Financial Intermediaries

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

2019 has already seen substantial developments around compliance and several major enforcement actions arising out of the Foreign Corrupt Practices Act (“FCPA”).

10 July 2019

According to a Notice of Proposed Rulemaking (the “NPR”) issued by the United States Department of Commerce (“Commerce”) and published in the Federal Register on May 28, 2019,

04 June 2019

China and India have been trading goods for centuries including along the historical “Silk Route”. According to Government of India statistics, China - India bilateral trade reached an all time...

30 May 2019

The National People’s Congress of the PRC approved the Foreign Investment Law of the PRC at the closing meeting of the second session of the 13th NPC on March 15, 2019. FIL will come into force on...

21 March 2019

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