Securities Brokers
We provide regulatory and commercial advice to securities brokers as well as advising on disputes with clients and investigations and enforcement actions by regulators. We advise on conduct of business as usual matters (such as customer agreements, trading advice, employee relations, data protection) and on sensitive and strategic matters such as major compliance breaches.
Services
ContactsOverview
As well as supporting "business as usual", we are regularly called upon to advise on sensitive and strategic issues, including where notifications to regulators may be required. This includes litigation and potential litigation with customers and firms facing regulatory enforcement and other interventions by the Financial Services Authority and regulators in other jurisdictions.
We regularly advise in the following areas:
- Customer journey and customer agreements
- Other commercial agreements
- Trading and handling trading errors
- Dialogue with the FCA and other regulators
- UK and EU financial services regulation, including MiFID II as onshored
- Governance and SMCR
- Data protection and technology
- Internal investigations into suspected compliance breaches
- Regulatory reporting
- Dispute resolution, including customer disputes
- Day to day and strategic employment law issues
Featured experience
- Advising a global securities, forex and CFD broker on handling negative balances on customer accounts caused by the Swiss government removing the Swiss franc currency peg in 2015. Advised on dialogue with the FCA and other EU and global regulators regarding the appropriate handling of impacted retail and corporate customers
Related services
Banking, Restructuring and Insolvency
Our experienced team offers comprehensive insolvency and restructuring guidance to investors, creditors, and corporates, both locally and globally.
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Commercial
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 in Financial Services
We provide specialist advice to financial services sector clients, carefully balancing data, privacy and cyber issues in the context of the wider regulatory framework.
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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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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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Enforcement
We advise financial institutions facing investigations and enforcement action or other interventions by financial services regulators.
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Internal 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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Tax
Our expertise in commercial tax covers all aspects of UK tax, including corporation tax, income tax, NIC, and more. We specialise in managing tax impacts on commercial transactions, guiding you towards tax-efficient choices. Our vast experience ensures tailored solutions for diverse entities in the intricate UK tax landscape.
Learn moreSecurity Brokers key contacts
Angela Hayes
Partner
London
John Bramhall
Partner
London
David Speakman
Partner
London
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.
Our expertise
Asset 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.
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Hedge Funds
We provide regulatory, corporate and commercial advice to hedge funds and their managers, as well as strategic guidance on future legal developments.
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Securities Brokers
We provide regulatory and commercial advice to securities brokers as well as advising on disputes with clients and investigations and enforcement actions by financial services regulators.
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Financial Adviser Networks
As market leaders immersed in the financial services sector, we help financial adviser networks navigate the complex legal and regulatory landscape of the industry.
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Wealth Managers and Advisers
We are the market leading law firm for services to financial advisers/wealth managers and networks.
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