General Counsel
We act as external general counsel for independent investment firms. We have our roots in the financial services industry and understand the need for investment firms to have day-to-day legal support.
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Regulation
Investment firms must maintain a sound system of compliance controls to undertake their duties, obligations and responsibilities effectively under the relevant regulatory regime.
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Authorisation
A business which intends to provide regulated investment services in or from within the United Kingdom will be required to obtain and apply for the appropriate authorisation from the Financial Conduct Authority prior to undertaking any regulated activity.
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Funds
Funds and collective investment schemes continue to be popular investment products for investors, and have proved a successful medium for raising and collecting assets for investment firms.
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Employment
We advise on employment matters in a straightforward manner, and tailored to the specific needs and circumstances of an investment firm.
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Corporate Transactions
Investment firms are entrepreneurial cores which attract talented, innovative, and commercially driven members and clients. This naturally leads to a steady flow of corporate transactions.
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