Advising on the UK financial services regulatory perimeter in connection with the possible extension into the UK market of an internet based platform connecting stock traders and facilitating the duplication of the trading of lead traders
Advising client on the UK financial services regulatory perimeter in relation to a new business acting as agent for a non-UK lender to UK individuals seeking real-estate-related loans for commercial purposes.
Advising FCA-authorised agency broker on aspects of the senior managers and certification regime, on its challenge to the legality of real time data fees and on Brexit-related matters.
Advising client on the application in practice of the MiFID product governance rules, the EU Benchmarks Regulation, and AIFMD to its business as an intermediary between institutional investors and hedge funds.
Advice on financial services regulatory aspects of the restructuring of an investment management group based in the UK and Guernsey. We provided strategic advice sensitive to all relevant regulatory issues and handled a variation of FCA permission of the UK-based MiFID-licensed investment management firm in the group to become an alternative investment fund manager. We also advised on AIFMD and MiFID compliance and contractual matters in connection with the group's fund and separate account clients. The matter had significant international elements, partly arising from the location of the group's clients.
Advising in connection with a private equity purchase of a money market fund platform business, including financial services regulatory and technical due diligence and a complex FCA change in control application
Advice on the acquisition of a large proportionate interest in an English limited partnership, established for investment in waste-to-energy investments, and related partnership law and regulatory matters
Advice on the application of aspects of MiFID II, including payments for research and outsourcing rules, to a non-EU sub-adviser of a MiFID firm.
Advising a leading US-based global asset manager with an FCA-authorised subsidiary in the UK on various UK financial services regulatory and investment management issues. These issues have included advice on intra-group referral arrangements and MiFID II issues arising in that context; Financial Services Compensation Scheme exemptions; and Brexit-related planning and chaperoning concepts.
Advising a leading US-based global asset manager on regulatory capital requirements of an enlarged corporate group under applicable FCA rules following a merger with a large UK-based investment management firm
Advising on prospectus-related requirements in the UK Home State of the client in relation to a public offer made by the client in Germany, including close liaison with FCA/UKLA prospectus specialists and a request for FCA written guidance on a difficult technical issue.
Advice on the perimeter of FCA financial services regulation, the meaning of investment advice and appointed representative arrangements, in the context of a provider of bespoke industry-specific research notes
Advice on UK private placement regime notification and reporting requirements in different circumstances, including for sub-threshold AIFMs
Advice on UK regulatory aspects of a transformative joint venture, including a complex FCA change in control application, and ongoing advice on legal aspects of partner arrivals and departures in relation to the FCA-authorised English LLP
Advice on compliance with EMIR and REMIT in connection with a virtual power purchase agreement incorporating an OTC derivative contract; including related advice on EMIR classification and on becoming registered as a market participant under REMIT in the relevant EU jurisdiction, and on the terms of the relevant contractual agreement covering regulatory matters.
Advising German real estate investment firm on UK regulatory requirements in relation to proposed UK business activities, including a possible tied agency arrangement and Brexit-related concerns
Carrying out technical financial services regulatory due diligence on an FCA authorised business in the UK involved in foreign exchange trading.