There are tremendous opportunities for wealth creation in the financial sector as the market and its products evolve on a daily basis. However, customers and counterparties are increasingly litigious, and misconduct results in civil and criminal liability more readily than in the past.

Our financial services offering

Our team of financial services lawyers are adept at advising entrepreneurs and businesses exploring the regulatory implications of innovation. We can advise on setting up investment funds, payment service providers and asset managers, including incorporation, funding rounds, tax and employment. We can also help those facing regulatory challenges arising from previous activity.

Who do we advise?

Our financial services lawyers act for a diverse range of clients across this sector, ranging from individual entrepreneurs through to e-money and payment institutions, lenders, crowdfunding platforms, investment funds and banks. This includes institutional investors, family offices, investment managers, arrangers and funds, consumer credit and mortgage firms, and other financial institutions and their clients.

Why choose our financial services team?

Our clients require a dynamic law firm that can deliver commercial advice combined with extensive industry experience and in-depth understanding of current market practice. We can provide you with in-depth advice from lawyers who have specific experience within the financial sector, both in-house and private practice.

For further information or to discuss a financial services matter, please telephone 020 3319 3700 or click here to email us.

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  • They have a client-centric mindset and are always willing to provide an exceptional service and go to exceptional lengths to ensure all angles are covered.

    Legal 500 2025

Corporate

  • Mergers and acquisitions
  • Private equity investments and divestments
  • Factoring and secured revenue streams
  • Joint venture arrangements and strategic alliances

Employment

  • Executive compensation and incentivisation arrangements
  • Application of the FCA and PRA Remuneration requirements
  • Executive recruitment and dismissals
  • Regulatory references
  • Confidentiality and non-compete clauses

Investment Funds and Asset Management

  • Primary investments in private equity funds, hedge funds and alternative investment funds (including EIS funds)
  • Secondary acquisitions/disposals by investors of private equity fund portfolios
  • Private equity co-investments
  • Fund structuring and establishment, including for UCITS and other retail funds
  • Marketing and distribution arrangements both in the UK and internationally
  • Bespoke projects for GPs and LPs
  • AIFMD requirements
  • Investment management agreements

Payment Regulation

  • Perimeter guidance issues
  • Financial promotions
  • Advice on approved Persons, senior management and certification regimes
  • Terms and conditions governing services, platforms and products
  • Appointed representative, agency and distribution agreements
  • Outsourcing agreements
  • Peer-to-peer lending and Crowdfunding
  • Consumer credit and mortgage regulation
  • Helping with changes to regulations (for example MiFID II and EMIR)
  • Payment services and systems
  • Dealing with regulators including change of control applications
  • Regulatory investigations and enforcement proceedings

Tax

  • Structuring of investments and divestments
  • Structuring of management participation in private equity funds
  • Debt finance
  • Enterprise investment scheme and venture capital trust funds
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