Financial services regulation can be complex and, at times, confusing, and the penalties for non-compliance can be severe. We ensure our clients avoid those serious pitfalls, especially with regards to investment, lending activity and acquisition of regulated businesses. If you happen to fall foul of the Financial Conduct Authority, we’ll also assist in case of any investigation, including any issues arising from the FCA Handbook.
Our team has considerable experience and many of our solicitors have spent time working in-house at financial institutions, which gives us a unique level of insight. We work with a wide range of individuals, companies, trusts and pension funds, including those being investigated for insider dealing, attempting to set up online investment platforms, and bringing claims against financial firms for failing to comply with their duties.
We also strive to add commercial value – whether operating a regular surgery at your office, or introducing a new business partner, we aim to be a trusted adviser, rather than simply a solicitor.
We always keep the end goal in mind in our financial services cases to minimise any wasted spend. We’re clear with billing, and agree a fee estimate from the outset – we’ll never ambush you at the end of the transaction with a surprise bill.
If you have a limited budget, we can focus our efforts on a particular aspect of the problem to tackle certain key issues, allowing you to split the work between us and your internal departments to make it more manageable. However you prefer to work, we bring the same level of transparency and attention to detail to each case and keep everything on track.