At Nath Solicitors in London our expert legal team advises on the following:

  • Financial Services and Markets Act (FSMA)
  • FCA Handbook
  • Markets in Financial Instruments Directive (MiFID)
  • Capital Adequacy Directive
  • MiFID II implementation in 2018

 

In addition, we advise on the structuring of businesses and provide introductions to brokers, authorised representatives, and regulated entities.

How we can help

With extensive experience in the City and in overseas jurisdictions we aim to provide a comprehensive service to firms operating in the commodities investment sector. Below are examples of the type of work we are regularly involved in. We:

  • assist unregulated firms by providing ‘perimeter advice’ to enable them to identify whether any of their activities amount to regulated activities for the purposes of the FSMA and whether or not such activities may require authorisation under Part IV of the FSMA. We consider FSMA, the Regulated Activities Order and the MiFID in order to advise clients.
  • 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 and is not permitted and what they can and cannot do.
  • assist clients with their FCA applications.
  • assist with all aspects of compliance including systems and controls (SYSC) conduct of business (COBS) and anti-money laundering legislation.
  • advise clients on applications for controlled functions.
  • provide advice on financial promotions, and we can provide continuous reviews of promotions to ensure compliance
  • help companies to set up trading documentation.
  • assist with regulatory investigations and disputes.

 

Our solicitors also have particular expertise in commodity derivatives, particularly base & precious metals, and oil & gas.

We have advised clients on the most efficient methods to structure their transactions using the exemptions available under FSMA, and our team has expertise in the setup of alternative investment hedge funds.

To discuss how we can assist you with commodities investment business, call our London office on 0203 670 5540 or contact us online.