The financial sector is seeing constant evolution in its markets and products. At the same time, the sector gives rise to increasing regulatory issues, disputes and litigation, while misconduct gives rise to potential criminal as well as civil liability.
Our lawyers act for a wide range of clients in financial services ranging from banks, insurance companies, finance institutions, private equity firms, FinTech’s and Insures through to companies and individuals. Our lawyers have many years’ experience of the market and regulatory environment and are able to provide advice that combines technical expertise with a commercial approach.
- corporate, including establishment of banks and insurance companies, obtaining operating licences, drafting corporate documentation, drafting customer account contracts, mergers and acquisitions, private equity investment and divestment, joint ventures
- employment law advice, including executive compensation and incentive arrangements, application of FCA and PRA remuneration rules, executive recruitment and dismissal, regulatory references and the application of the Senior Managers & Certification Regime
- commercial contracts, including financial services legal planning, payment regulations, fintech, InsurTech, marketing, outsourcing, GDPR and intellectual property rights issues, appointed representative, agency and distribution agreements, peer to peer lending, crowdfunding
- financial services regulation, including the FCA Rulebook, and payment regulations
- tax, including structuring investment and divestment, private equity investment, debt finance, Enterprise Investment Schemes and Venture Capital Trusts
- banks and insurance companies
- private equity firms
- asset trading firms and technology companies
- FinTech’s and InsurTechs
- high net worth investors
Senior Managers & Certification Regime ("SMCR"): Financial Crime and CASS
Article | Financial Services | COVID-19