Financial regulatory

Enabling you to pursue your commercial objectives with certainty

Organisations operating in the financial services sector now face an unprecedented level of scrutiny from the increasingly powerful Financial Conduct Authority (FCA), the regulator seeking to ensure transparency and fairness in the industry. No business can afford to ignore the widening regulatory net which brings severe monetary and reputational consequences for non-compliance. In these challenging market conditions, you should be supported by an expert team which can help you take advantage of new opportunities, respond swiftly to regulatory change and put your business in a position where you can pursue your commercial objectives with certainty.

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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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Services

We support our clients with individually tailored legal advice, in areas such as:

  • Financial Conduct Authority (FCA).
  • FinTech.
  • RegTech.
  • Perimeter guidance.
  • MiFID II.
  • Senior Managers and Certification Regime (SMCR).
  • Initial Coin Offerings (ICO).
  • OTC & Exchange traded derivatives.
  • ISDA Master Agreements.
  • Terms of business.
  • Brokerage documentation.
  • Trading platforms.
  • Peer-to-peer lenders.
  • Regulator applications.
  • Regulatory hosting umbrella.
  • Digital assets.
  • Blockchain.
  • Cryptocurrencies.
  • Token sales.
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    Financial regulatory key contacts

    Latest content and downloads

    Check out our latest content and downloads View all our downloads

    A Collyer Bristow webinar

    Crypto assets & smart contracts: a legal & regulatory update

    Lawyers from Collyer Bristow’s Fintech team discuss the latest legal and regulatory changes in the space, including the Law Tech Delivery Panel’s Legal Statement on Crypto Assets and Smart Contracts.

    Watch webinar now

    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

      Nigel BrahamsPartner

      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.

      Read more

    • 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

      Nigel BrahamsPartner

      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.

      Read more

    • 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.

      FINTECH & FINANCIAL REGULATORY

      Crypto currency trading platform

      Nigel BrahamsPartner

      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.

      Read more

    • 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.

      FINTECH & FINANCIAL REGULATORY

      ICO for Stablecoin project

      Nigel BrahamsPartner

      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.

      Read more

    • 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

      Nigel BrahamsPartner

      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.

      Read more

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