Our Financial regulatory team specialises in advising financial services, Fintech, Regtech and broader technology-based companies, from start-ups to mature businesses, on all aspects of their regulatory requirements from inception and throughout their lifecycle.
As well as providing our clients with general perimeter guidance, we have specific expertise advising businesses in compliance with MiFID II and in the compliance requirements (covering both corporate and employment law) of the Senior Managers and Certification Regime (SMCR).
We have extensive experience advising FCA regulated brokerage firms, providing guidance on OTC & Exchange traded derivatives and brokerage, including ISDA Master Agreements, terms of business and brokerage documentation. We also work closely with trading and communications platforms, litigation funders and those operating in the peer-to-peer market.
Our team also has a special focus on the regulatory aspects of Initial Coin Offerings (ICOs), in particular, whether they are inside or outside the perimeter of regulatory activity. Should we conclude that your ICO is a regulated security or investment, we are able to support applications to the regulator or work with you to find an authorised firm to provide you with a regulatory hosting umbrella.
We have a strong understanding of the markets you operate in and the regulatory challenges you come up against. By integrating with your team and becoming familiar with the intricacies of your business, we can assist you in navigating the regulatory landscape in a way that supports your wider commercial objectives and moves your business forward.
