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.
Services
ContactsOverview
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 regulators.
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
Related services
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
Our Employment and Pensions group is one of the largest specialist employment teams in the country, with over 60 specialist employment and pensions lawyers nationally. Tax is an integrated part of the advice we provide.
Enforcement
We advise financial institutions facing investigations and enforcement action or other interventions by financial services regulators.
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Financial Services Regulatory
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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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 moreWealth Managers and Advisers key contacts
Dan Preddy
Partner
Bristol
Mathew Rutter
Partner
London
Angela Hayes
Partner
London
Ben Daniels
Partner
Bristol
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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