Our investment firm clients include MTFs, OTFs, IFPRU and BIPRU firms, complex securities and futures firms, corporate finance houses, broker-dealers, and asset managers.
We are regularly asked to advise FCA solo regulated and PRA dual regulated investment firms on wholesale and retail regulatory issues.
Our clients are in the UK, and overseas. They include small LLPs, financial advisor networks, and appointed representatives. They also include national and international household names.
We are often deal with the complex regulatory issues facing our clients both from an advisory and enforcement perspective. Our specialist team includes lawyers who have previously worked within the regulatory authorities and within the financial services industry itself.