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Make an enquiry Enabling you to pursue your commercial objectives with certainty
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.
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Financial regulatory key contacts
- Nigel
BrahamsPartner
Talk to Nigel about Corporate, Financial regulatory and Private equity
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Recent experience
We advised a commodity derivatives platform, on the regulatory and commercial aspects of managing its platform. In particular we provided perimeter regulatory guidance as to whether the platform could be undertaking regulated activities in various scenarios, in order to conduct brokerage of potentially exempt products. We also had to consider whether its activities could be interpreted as operating a trading venue.
FINANCIAL REGULATORY & FINTECH
Advising a commodity derivatives platform
Case study
We advised a commodity derivatives platform, on the regulatory and commercial aspects of managing its platform. In particular we provided perimeter regulatory guidance as to whether the platform could be undertaking regulated activities in various scenarios, in order to conduct brokerage of potentially exempt products. We also had to consider whether its activities could be interpreted as operating a trading venue.
We advised on the ‘Series A’ funding of a company operating a cross channel platform for secure authentication and information exchange for the banking, government, healthcare, e-commerce sectors.
FINANCIAL REGULATORY & FINTECH
Funding for cross-channel information platform
Case study
We advised on the ‘Series A’ funding of a company operating a cross channel platform for secure authentication and information exchange for the banking, government, healthcare, e-commerce sectors.
We advised a central Europe-based client building a platform offering access to artificial-intelligence powered crypto currency trading tools, on UK regulation regarding ICOs and token sales.
FINANCIAL REGULATORY & FINTECH
Crypto currency trading platform
Case study
We advised a central Europe-based client building a platform offering access to artificial-intelligence powered crypto currency trading tools, on UK regulation regarding ICOs and token sales.
We advised a Japanese based client on the legal and regulatory aspects in regards to raising funds via an initial coin offering (ICO) for its stablecoin project.
FINANCIAL REGULATORY & FINTECH
ICO for Stablecoin project
Case study
We advised a Japanese based client on the legal and regulatory aspects in regards to raising funds via an initial coin offering (ICO) for its stablecoin project.
We advised a leading provider of regulatory services in the crypto space on a range of corporate and regulatory matters, including the regulatory impact of selling initial coin offerings (ICOs) into the UK market, various block trades in crypto currencies, and assorted corporate structure matters, including debt, ICO and equity financing.
FINANCIAL REGULATORY & FINTECH
ICO corporate and regulatory advice
Case study
We advised a leading provider of regulatory services in the crypto space on a range of corporate and regulatory matters, including the regulatory impact of selling initial coin offerings (ICOs) into the UK market, various block trades in crypto currencies, and assorted corporate structure matters, including debt, ICO and equity financing.
View our Financial regulatory Lawyers:
Partner
Talk to Janine about Banking & financial disputes & Commercial arbitration & Commercial disputes
Partner - Head of Banking & Financial Disputes
Talk to Stephen about Banking & financial disputes & Commercial arbitration & Commercial disputes
Associate
Talk to Valentina about Commercial & Corporate & Corporate recovery, restructuring & insolvency & Data protection
Associate
Talk to Christian about Commercial & Corporate & Corporate recovery, restructuring & insolvency & Private equity
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