Corporate transactions often require financial services input, with the need to address the FSMA financial promotion regime, and to ensure any FSMA-regulated activities, of arranging deals in investments, receipt and transmission of orders and dealing in investments, are appropriately performed.
Regulatory advice is often needed as part of due diligence on the acquisition of financial services businesses, and we are able to review regulatory issues quickly and expertly to identify risks that may lie latent within the business to being acquired.
We offer a broad range of financial services regulatory advice for corporates, and with our breadth of understanding of financial services regulation, we are well placed to advise on corporate transactions involving regulated firms.
The availability of our financial services specialists to work with our corporate team, and with dedicated corporate team members who are well-versed and used to working in teams with our financial services specialists, means we can deliver real added value through our offering in this area.
Notable deals / highlights
Advised Sesame on its joint venture with Henderson for the establishment of an authorised corporate director of the new Optimum Fund range.
Advised Threadneedle on its acquisition of Liverpool Victoria's asset management businesses, together with related employment issues.
Acted for a major fund management house on acquiring an international property fund coordinating due diligence.