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Wealth Management & Financial Advice

Wealth management expertise

Our specialist financial services team are experienced at advising wealth managers and financial advisers on a range of complex legal issues.

Our financial services regulation team advises on a broad range of regulatory issues affecting wealth managers and financial advisers and is well accustomed to helping clients navigate the complex (and continually evolving) regulatory environment in which they operate. We regularly advise on the application of FSMA, FCA rules and guidance, MiFID, and other areas of regulation and compliance.

Our specialists in our financial services sector work closely with our private funds practice and work with other specialists to seamlessly provide wealth managers and financial advisers with a fully integrated service, including advice on corporate transactions and investments rounds, employment, intellectual property and media, commercial contracts, IT and data protection.

Why choose our expertise?

  • Our financial services team includes lawyers recommended in the legal directories, reflecting the quality and breadth of expertise in the industry
  • We have experience advising wealth managers and IFAs of all sizes, from larger, more established firms to smaller owner-operated firms, providing high quality, tailored advice to all of our clients
  • Our regulatory practice provides businesses with solutions to complex regulatory issues and has considerable experience in handling regulatory investigations and ensuring compliance on behalf of organisations and individuals

SDR & investment labels

The FCA has published its consultation on the Sustainability Disclosure Requirements (“SDR”) and investment labels for the UK market. The proposals would require UK asset managers making sustainability-related claims about their products to substantiate those claims.

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Notable work & expertise

  • Advising Beckett Financial Services on a number of corporate transactions and providing ongoing regulatory advice on a range of issues arising from its wealth management and financial advice practice.
    Advising a financial adviser on a range of regulatory and structuring issues arising from open-ended investment companies (OEICs)
  • Acting on a number of acquisitions for a client in the UK IFA market, focussing on creating regional hubs of IFAs and consolidating a number of business, including providing ongoing regulatory advice on its platform and key agreements
  • Advising an online investment platform on financial promotions and the layout of its platform
  • Advising a start-up equity investment platform on structuring its business and the platform, the design of the platform, its agreements with key suppliers, its agreements with clients and its ongoing regulatory obligations
  • Acting in relation to a cross border recovery action in respect of a multimillion pound Ponzi scheme in which investors funds had been misappropriated and the identity of the fraudulent parties was initially unclear
  • Advising wealth managers and financial advisers on SMCR and regulatory references
  • Acting for financial adviser subject to FCA investigation in respect of pension mis-selling allegations arising out of the collapse of the British Steel Pension Scheme
  • Advising a mortgage and insurance adviser and broker on its agreements with key suppliers and structure of its business
  • Advising on the special administration process in relation to a SIPP provider facing a number of mis-selling claims (of an approximate value of £8million) which arose following the decision in Berkeley Burke SIPP Administration Ltd v Financial Ombudsman Service Limited
  • Advising a mortgage broker on an FCA investigation

“In the complex regulatory world we all live in, it is essential to have a team of experts that you can rely on. Adam Edwards and his team provide the peace of mind and proactive support that is absolutely essential. No less important is the style of the regulatory team; nothing is too much effort and this is mixed with a sense of humour but a razor sharp focus in interpreting legislation and the impact it has.”

Ian White

Chief Executive Officer | Becketts

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Whatever your legal needs, our wide ranging expertise is here to support you and your business, so let’s start your legal journey today and get you in touch with the right lawyer to get you started.


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