Financial Institutions

Our key experience includes advising on:

The consolidation and reorganisation of financial institutions in the context of public and private mergers and acquisitions, including transfers of banking and insurance business pursuant to the mechanism provided by the Financial Services and Markets Act 2000.

The establishment of new investment, banking and insurance businesses in the UK and the provision of these services on a cross-border and branch basis in reliance on the EU passport.

Compliance with relevant regulatory rules, including FSA, consumer credit and data protection rules and advice on customer documentation.

Regulatory capital raising transactions and the regulatory capital treatment of financial products.

The structuring, establishment, promotion and administration of investment funds of all types in the UK and other major fund jurisdictions around the world.

The regulation of market activities, including market abuse regulation, insider dealing law and the requirements for disclosure of interests in securities.

The establishment of and advice on new financial product distribution channels.

Advice on key outsourcings by financial institutions and co-ordinating the international elements of such projects.

The application of EU directives and the structure and organisation of businesses in the light of new FSA rules and EU legislation, including the EU Markets in Financial Instruments Directive ("MiFID") and the Capital Requirements Directive ("CRD"). 

The rules and practices of investment exchanges and clearing houses.

The application of the anti-money laundering and terrorist financing regimes, including advice as to possible breaches of international sanctions.

The consequence of rule breaches, including regulatory investigations, inquiries, Financial Services and Markets Tribunal hearings, disciplinary proceedings and enforcement.