Wealth Management & Financial Advice
Financial Services
What is involved?
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 wealth management 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.
“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
Sustainability Disclosure Requirements & 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.
Wealth Management & Financial Advice Lawyers
Adam Edwards
Partner
0345 274 6909
Daniel Meyer
Senior Associate
0345 404 4147
Daniel Seely
Associate
0345 030 5656
AIFM Regulatory Hosting: Pitfalls, Risks and Solutions
Articles 7th Aug 2023Our thoughts on the FCA’s recent Discussion Paper on updating and improving the UK regulatory regime for asset management
Articles 20th Mar 2023Freeths advises leading Oxford financial adviser
News 20th Jul 2022- 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.
Client service
‘Doing the right thing’ is at the heart of Freeths. Find out more about our excellent client service and the strong set of values that guide the way we work.
Talk to us
Freeths are a leading national law firm with 13 offices across the UK. If you have a query about our services or just want to find out more, why not give us a call?
Contact: 03301 001 014