Financial Services - DAC Beachcroft

Expertise

Financial Services

​We work closely with many leading investment and retail banks, asset and wealth managers and networks of financial advisers and mortgage intermediaries. We provide regulatory, corporate and commercial advice, as well as strategic guidance on future developments.

Our contentious regulatory experience extends not only to both sides of the Financial Conduct Authority (FCA) process, but also assisting institutions with Serious Fraud Office (SFO) and HMRC investigations, along with Financial Ombudsman Service (FOS) complaints. So we understand financial services from all angles.

Proven, trusted experience

We regularly advise product designers and manufacturers, trade bodies, and retailers, distributors and venture capitalists looking to invest in the financial services sector. The team has advised on numerous transactions in the regulated sector, including change in control issues and approved persons applications, liaising with the FCA as required.

We also advise on new authorisations and perimeter issues as to whether authorisation is required or the rules on financial promotion. We advise on FCA regulatory requirements, including conduct of business obligations and future regulatory developments, such as the Retail Distribution Review and changes at a European level, such as the Markets in Financial Instruments Directive 2 (MiFID 2) and Packaged Retail Investment Products (PRIPs).

We work with a wide range of clients on compliance with the requirements of the Consumer Credit Act 1974 and the preparation of compliant documentation. We also work regularly on commercial agreements such as distribution and outsourcing contracts and custody agreements.

Working with our employment team, we provide advice on day-to-day HR issues and regulatory developments, such as the FCA's remuneration code to a wide range of leading financial institutions.

We advise on the full range of commercial, corporate and regulatory matters, in the UK and internationally.

Services

 

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