Compliance and Regulatory

Reducing risk with expert legal advice

Our regulatory experience spans a range of industries and asset classes, including advising family offices and private investors, hedge and other alternative fund managers, private equity, investment and retail banks, broker-dealers, custodians, distributors and issuers. Areas of particular focus include alternative investment funds and the documentation of investments into these vehicles, regulated mergers and acquisitions, including some involving complex changes of control; and cross-border sales and marketing.

Whilst commanding an impressive breadth of experience in the UK gained by acting on behalf of clients and the UK financial regulator, our experience extends to assisting US and other overseas financial service businesses establishing and maintaining their activities in the UK.

Our clients and expertise include

  • Retail banking, investment banking and corporate finance
  • Securities trading/broker-dealer and investment advisers
  • Capital markets regulatory
  • Asset management
  • Funds: formation, authorization, management and investments
  • M&A in regulated assets
  • Financial regulation compliance, including custody of financial assets, distribution and marketing of financial products, consumer finance, insurance broking and regulatory authorisations
  • Financial crime and anti-money laundering procedures
  • Regulatory issues around crypto-currencies.

Highlighted deals include advising

  • Advising Asian state-owned commodity dealer on European regulatory requirements when hedging on UK markets.
  • Anti-money laundering and market abuse prevention requirements for a Chinese SOE. 
  • Account agreements and terms and conditions, including on-line treasury services, FX platform terms of use.
  • A Chinese asset management firm on their establishment and regulatory approvals in the UK.
  • Criminal Finances Act and anti-money laundering procedures and advice for a branch of an EEA bank and a Chinese (non-financial services) SOE’s treasury function.
  • Various alternative investment funds on their regulatory requirements as well as documentation of investments into these vehicles.
  • Marketing by US banks, funds platforms of securities, whole loans and fund investments into the UK and Europe and associated regulatory issues.
  • Restructuring of the UK operations of large Asian state-owned asset managers.
  • MIFID II on inducement and research product distribution for a network of European banks.
  • MIFID II on Organised Trading Facilities (OTF) status and requirements for matched principal brokers.