Wealth Managers and Advisers

For many years we have been the trusted legal advisers to the three largest financial adviser networks in the UK together with a number of other well-known financial adviser businesses. We act for them across all of our practice areas. They commend our work and value their relationship with us.

Overview

We are immersed in the financial services sector and our specialist teams help our network clients predict how public policy and regulation will change and the impact that change will have. We challenge established thinking about the regulatory framework, enabling our clients to identify and address risks and opportunities for their business models.

We are highly experienced in advising wealth managers and financial advisers on their dialogue with a range of UK and overseas regulatory bodies and, in particular, the Financial Conduct Authority and the Financial Ombudsman Service. Our team includes a number of individuals who during their careers have worked at regulators, including the FCA and so bring particular insight into the strategies for dealing with complex regulatory issues.

We provide full service legal support on both business as usual needs and sensitive and strategic matters.

Featured experience

  • We have advised on the drafting and review of the Franchise/Appointed Representative agreements of several major financial adviser networks, ensuring not just regulatory compliance but drawing on our extensive experience of issues that can arise in practice.
  • Advising on FOS jurisdictional issues and the interpretation of the FCA Handbook in the context of complaints, including acting on the first successful judicial review of the FOS in over 10 years.
  • Advising on implementation of the FCA's Consumer Duty.

Wealth Managers and Advisers 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.