Asset and Fund Managers
We advise asset and fund managers across the full spectrum of the industry – from large institutional firms and household names to start-up boutiques, private equity houses and hedge funds. Our team provides comprehensive legal support on all aspects of business conduct, regulatory risk, compliance, corporate, commercial, and employment law.
Services
ContactsOverview
Our lawyers have extensive experience in the financial sector and are trusted by asset management and fund management clients for our highly responsive and insightful approach. In addition to supporting 'business as usual', we regularly assist with sensitive and strategic matters, including dialogue with regulators, internal investigations and defending firms facing enforcement action by the FCA and other regulators internationally.
Our deep sector knowledge makes us ideally placed to help asset and fund managers navigate complex regulatory landscapes and achieve their business objectives. Whether you are launching a new fund, managing compliance obligations, or responding to regulatory investigations, we deliver tailored, commercially focused solutions. We regularly advise on:
- Financial promotions and fund distribution
- Obtaining authorisation for new asset management businesses
- Advice on compliant trading and handling trading errors
- Dialogue with the FCA and other regulators
- 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
- Day-to-day and strategic employment law issues
Featured experience
- Advising a hedge fund management firm on an FCA investigation into alleged market manipulation (spoofing) by a trader
- Advising a major global asset manager responding to investigations and enquiries by multiple regulators globally, including the FCA and SEC, regarding errors in its quantitative investment algorithms which caused investor loss
- Assisting a global asset manager to implement the Senior Managers & Certification Regime
- Conducting internal investigations for asset managers examining alleged compliance breaches and non-financial misconduct by senior managers
- Advising a hedge fund manager on responding to a Section 166 skilled person examination
Related services
Banking and Finance
Our Banking and Finance team advises across the spectrum of domestic and cross-border financing transactions.
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Financial Services Regulation
We provide expert advice on financial services regulation to banks, asset managers, securities brokers, insurers and insurance brokers, and financial advisers.
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Investigations
We advise clients on internal investigations into issues ranging from compliance breaches in regulated firms to any matter involving people and the workplace.
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Employment
We provide bespoke solutions across all aspects of employment, pensions, immigration, and more. Balancing legal and commercial requirements, we deliver efficiently and provide tangible value to your business.
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Commercial and Procurement
Our extensive commercial services span various sectors, with dedicated teams in insurance, healthcare, technology, and more. We provide expert guidance on procurement, IT, contracts, intellectual property, competition, and more.
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Corporate
Our corporate team delivers comprehensive legal solutions to a diverse clientele. We specialise in M&A, Equity Capital Markets, and corporate advisory matters, collaborating seamlessly to help clients achieve their business goals.
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Data, Privacy and Cyber
Our Data, Privacy and Cyber team provides advice and support on advisory and contentious matters of all sizes and complexity.
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Dispute Resolution
Our Dispute Resolution team has an established reputation for handling complex, high value commercial disputes and achieving successful and pragmatic solutions for our clients.
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What our clients say
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”Very able, well-resourced team of dispute resolution lawyers.
Legal 500 UK 2026, Financial Services: Contentious
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”Khurram Shamsee is a truly excellent, responsive, highly commercial and client-focused lawyer.
Chambers and Partners UK 2026, Employment
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David Speakman is very knowledgeable.
Chambers and Partners UK 2026, Employment
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”David (Sims) is an excellent commercial lawyer who takes the time to understand our business and feels like an extension of our team. He is extremely responsive, thorough and a pleasure to work with.
Chambers and Partners UK 2026, Employment
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Hayes is a veteran contentious lawyer who frequently handles allegations of market abuse, trading errors, transaction reporting, bribery, fraud, or misconduct.
Legal 500 UK 2026, Financial Services: Contentious
Asset and Fund Managers key contacts
Our expertise
Asset and Fund Managers
We provide legal support to asset managers on all aspects of conduct of business and regulatory risk.
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Banks
We act for all different types and sizes of banks, from challenger banks, to the largest global investment banks. Our clients include a plethora of banks comprising investment, challenger, retail, commercial, investment, foreign banks, private banks, building societies, neobanks, and novel alternative capital providers.
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FinTech
Our legal expertise in FinTech and all its essential component parts – payment, blockchain, wealth management, InsurTech and RegTech – provides competitive advantage for you through our deep understanding of the sector.
Learn MoreWealth Managers and Financial Advisers
We are the market leading law firm for services to financial advisers/wealth managers and networks.
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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.
