We advise a wide base of financial services firms, investment managers and funds in this area. Our clients include startups, retail financial services firms, boutique investment managers and large financial institutions.
In particular we specialise in:
- FCA authorisation
- Compliance support
- Financial promotions including reviewing marketing materials and advertisements
- Assistance with regulatory changes (e.g. MiFID II)
Investment management and funds
- Investment management agreements
- Terms and conditions for retail customers
- White label agreements
- Appointed representative, agency and introducer agreements
- Fund distribution in the UK and globally including platform distribution arrangements
- Third party service provider agreements including appointment of custodians and administrators
- Trading documentation and master agreements including ISDA and CSA, prime brokerage, repurchase and securities lending agreements
Our specialist in these areas is Claire Reeve.