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.

Our Financial regulatory team specialises in advising financial services, Fintech 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.

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.

Our Financial regulatory team specialises in advising financial services, Fintech 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.

Advising a commodity derivatives platform

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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.

Funding for cross-channel information platform

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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.

Crypto currency trading platform

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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.

ICO for Stablecoin project

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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.

ICO corporate and regulatory advice

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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.

Advising a commodity derivatives platform

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.

Funding for cross-channel information platform

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.

Crypto currency trading platform

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.

ICO for Stablecoin project

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.

ICO corporate and regulatory advice

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:

Nigel Brahams
Janine Alexander
Stephen Rosen

Stephen Rosen

Partner - Head of Banking & Financial Disputes

Talk to Stephen about Banking & financial disputes

Valentina Falicheva

Valentina Falicheva

Associate

Talk to Valentina about Commercial & Corporate & Data protection

Christian Davison

Christian Davison

Trainee Solicitor

Talk to Christian about Training