Legal help for Investment Business

We advise clients on the Financial Services and Markets Act (FSMA), the FCA Handbook and on European laws that apply to the activities of authorised firms in the UK (including MiFID and CAD).

We advise clients as to how best to structure their businesses (example as introducing brokers/authorised representatives/regulated entities).

Our low overheads mean we are able to offer a price competitive service with quality advice in a technical and ever changing  area of law.  This is important for and appreciated  particularly by new start ups and entrepreneurs.

  • We assist clients which are unregulated firms by providing ‘perimeter advice’ to enable them to identify whether any of their activities amount to regulated activities for the purpose of the FSMA and whether or not such activities may require authorisation under Part IV of FSMA. We consider FSMA, the Regulated Activities Order and relevant EU legislation ( MiFID) in order to advise clients.
  • We can help clients to structure their business activities so that they do not require authorisation. Many activities can fall within a grey area; it is important that clients understand what is /is not permitted and what they can /cannot do.
  • We assist clients with their FCA applications.
  • We can assist with all aspects of compliance including systems and controls (SYSC) conduct of business (COBS), anti money laundering legislation.
  • We can assist with applications for controlled functions.
  • We provide advice on financial promotions and we can provide continuous reviews of promotions to ensure compliance
  • We can help your company to set up its trading documentation.
  • We can assist with regulatory investigations and disputes.

We have particular expertise in commodity derivatives particularly base and precious metals and with oil and gas.

We have advised clients on the most efficient methods to structure their transactions using the exemptions available under FSMA.

We also have expertise in the set up of alternative investment hedge funds having set such a company up for a client which company also received  regulatory authorization.

Please contact us for further information or to find out how we can help you.