Wealth
In today’s world of complex financial regulation, we can advise you on staying compliant without compromising innovation.
Our teams offer guidance to regulated entities in the wealth industry. We advise alternative investment funds (AIFs), general partners, regulated fund managers, self-invested personal pension operators (SIPPs), small self-administered scheme pension administrators (SSASs) and independent financial advisers (IFAs) on their regulatory requirements.
For unregulated funds and their fund managers, we can advise on fund formation, investment management agreements, subscription agreements and investor categorisation.
We provide perimeter advice on the circumstances in which authorisation by the Financial Conduct Authority (FCA) is required and when it isn’t. We can help corporate finance consultants to ensure they comply with financial promotions regulations.
We work with IFAs and brokers to support compliance with the regulations for setting up in business.
We advise on the law and regulations that affect you in your sector, including Markets in Financial Instruments Directive (MiFID), financial promotions and Consumer Duty.
If you’re an FCA-regulated business, we can draft commercial terms and conditions that meet your regulatory requirements.
Expertise
- Perimeter advice
- Regulatory advice on fund formation
- Financial promotions
- Client categorisation
- Ongoing compliance with the regulatory regime
- Drafting of commercial contracts
Meet the team
Our lawyers are specialists in their fields, providing commercially driven, clear advice that helps you stay compliant and confident you’re doing the right thing.
