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Financial Services
Our specialists advise on all aspects of financial services legislation and regulation, ranging from coordinating applications for authorisation, through drafting customer agreements and product literature, to advising on acquisitions and disposals of financial services enterprises. Our clients include banks and other financial institutions, fund managers, stockbrokers, custodians, investment funds and their promoters, companies and other commercial enterprises.
The group has significant expertise and experience in advising across a wide range of investment fund vehicles, including investment trusts, unit trusts, open ended investment companies and limited partnerships.
We advise on:
- Whether particular activities constitute regulated activities requiring authorisation
- Securing authorisation and other approvals from regulatory bodies
- Cross-border financial services activities and EU passporting procedures
- Compliance issues and the production of compliance manuals and other materials
- The establishment and marketing of investment funds including all related investment management and advisory agreements
- The production of industry documentation
- The use of the internet in commercial transactions
- Litigation and dispute resolution involving financial services products, practitioners and enterprises.
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