Asset Managers

Our asset manager clients range from large institutional and household names to start-up boutiques and successful private equity and hedge fund houses. We provide legal support to asset managers on all aspects of conduct of business and regulatory risk, together with corporate, commercial and employment law advice.

Overview

Our partners with expertise in the asset management sector are largely drawn from magic circle and major US law firm backgrounds and a number of clients have followed these individuals to DAC Beachcroft.

We regularly advise in the following areas:

  • Financial promotions and fund distribution;
  • Obtaining authorisation for new asset management businesses;
  • Advice on compliant trading and handling trading errors;
  • Corporate transactions;
  • Governance and SMCR;
  • Data protection and technology;
  • UK and EU regulation including onshored AIFMD and MIFID II;
  • Internal investigations into suspected compliance breaches;
  • Regulatory reporting;
  • Dispute resolution including investor disputes; and
  • Day to day and strategic employment law issues.

Featured experience

  • Advising investment managers, including hedge fund managers, on handling incidents of suspected market abuse including internal investigations.
  • Advising the UK regulated entities of a global private equity house on implementation of the FCA's Senior Manager and Certification Regime.
  • Advising a global asset manager on corporate acquisitions.

Asset Managers key contacts

Who we are

Why choose DAC Beachcroft?

We’re a broad-based commercial firm serving a wide range of sectors with a strong heritage in insurance,
health and real estate. We combine excellent legal skills and cutting-edge delivery expertise to design
solutions that fit the needs of our clients – often involving clever uses of technology.