Financial Services, Asset Management, Regulatory

Our lawyers have significant technical expertise in financial markets and international securities regulation.   We can assist you in understanding financial products and instruments, the specific rules and agencies that govern them, and the changing regulatory landscape.

We provide advice helping to manage corporate governance, financial disclosure and reporting, litigation matters, internal investigations conducted by boards of directors and audit committees, and securities issues, delivering high-value counsel to our client base.

We have represented a large number of investment firms, banks, insurance companies, hedge funds and private equity firms, both public and private, and represented funds, managers, investors, brokers, and other market participants.

In the US, we offer guidance on regulatory matters relating to:

  • The establishment of domestic and offshore funds
  • Venture capital and fund raising
  • SEC, federal and state securities law regulation, governance and compliance
  • Investment company matters for both registered and unregistered firms

In the UK, we have experience in launching and acting for:

  • UK-incorporated investment trusts, venture capital trusts
  • Channel Islands-registered investment companies
  • Onshore and offshore investment partnerships
  • EIS funds and blockchain offerings
  • Insurance companies, fund managers and IFAs in relation to FCA rules and status
  • Hedge fund managers in relation to financial instruments including drafting OTC options
  • Providing corporate advisory for listed funds

We have advised on hedge fund compliance with the marketing requirements of AIFMD and listed entities in the Channel Islands, Germany, France and Switzerland in relation to compliance with the non-mainstream pooled investment rules.