Financial Services Regulation is complex and fast-moving, so it’s important you take advice from legal experts who know the landscape. If you get it wrong you could be facing a criminal prosecution, invalidated contracts, and the reputational damage that goes with that. Our decades of experience and specialist expertise means we can guide you through the regulatory maze.
We work with entrepreneurs launching new ventures, and established regulated firms at all stages of their journey, and have years of specialist experience of working with clients to:
Direct Dial: 029 2274 9190
Mobile: 07570 683 596
Financial services regulation is far-reaching and complex. Our clients value our expert advice – we help them take advantage of opportunities, and to avoid troubled waters that in some cases can lead to prosecution resulting in fines and imprisonment. The activities of our clients include:
We work with:
Read our case studies and testimonials to find out more.
An overseas futures broker wanted to be recognised as a Registered Intermediating Broker by the London Metal Exchange. Unfortunately, applying for FCA authorisation was not economically viable for our client. It was at this stage that they turned to our Investigation, Regulation and Tax department for help.view full case study
Over the course of three years, starting in 2009, Stuart Brothers was approached by a number of businesses who had been sold interest rate hedging products by investment banks.view full case study
Stuart Brothers successfully helped defend a pensions and life insurance company against a claim made by the FSA (now the FCA).view full case study