Our highly regarded non-contentious financial services regulatory practice advises institutional and alternative investment managers and advisers on all aspects of the U.K. and EU financial services regulatory framework.
We have taken a leading role in advising the financial services industry on regulatory actions and the impact of EU legislation, including the Alternative Investment Fund Managers Directive (AIFMD), the revised Markets in Financial Instruments Directive and the corresponding Regulation (MiFID II) and the Market Abuse Regulation (MAR), as well as a wide range of other U.K. and EU legal and regulatory enactments including EMIR, the Securitisation Regulation, MiCA, and the Payment Services Directive.
We frequently work with colleagues operating in the U.S. and Asia on cross-border financial services advisory matters and investigations to provide clients with fully integrated legal services focused on securities laws, compliance and regulation. Our understanding of the regulatory framework and regimes within multiple jurisdictions enables us to help clients to identify differences in the regulation of their businesses across the globe and manage risk accordingly.
The team provides practical and commercial guidance on complex financial regulatory issues in the U.K. and the EU. Our team is consulted by clients’ senior management and compliance teams on the conduct of financial services business in the U.K. and the European Economic Area (EEA), often on a cross-border basis.
The team advises on issues including perimeter guidance, authorization applications and other regulatory filings; the control and ownership of financial services firms; insider dealing and other market conduct queries; queries relating to trading arrangements; the development of financial products and services; the implementation of governance systems and controls; the implementation of the senior managers and certification regime; structuring of funds and investment management platforms and the marketing of financial services and products in the U.K. and the EEA. |