There has been increasing public, legal, and regulatory scrutiny of stockbrokers and fund managers in recent years following various well-publicised issues faced by the industry. The whole issue of long-term savings and investment products has attracted significant media coverage, and there have been investigations by the FSA, a multitude of claims before the Financial Ombudsman, and substantial litigation all adding to the pressure faced by stockbrokers and fund managers.

 

Our team advises on litigation, regulatory, risk management, and related matters for stockbrokers and fund managers, and their insurers. We have a long track record in litigation and FSA enforcement work, and our clients include a diverse range of investment banks, corporate and institutional stockbrokers, private client stockbrokers, fund managers, and financial services and trust companies. The experience extends to many countries and jurisdictions other than the UK.

 

We represent clients in challenging FSA rejection of approval for firms and individuals, and advise on regulatory investigations of all types for clients arising from the services they provide.

 

Recent experience includes advising the Association of Private Client Investment Managers and leading stockbrokers and investment managers on issues arising from the high-profile split capital investment trusts affair, and acting for Brewin Dolphin, David "Dotty" Thomas and Teather & Greenwood in connection with the recent settlement with the regulators. Our other clients include Carr Sheppards Crosthwaite, Gerrard, UBS Laing & Cruikshank and Killik & Co. We also serve as the legal firm to the UK Stockbrokers and Investment Managers Scheme.

 

Our lawyers are experienced in both UK and international work, and all forms of regulatory and dispute resolution and other processes. We have worked on behalf of our clients with issues requiring skills ranging from the Treasury Select Committee to the Financial Ombudsman Service. 

 

We have built up a reputation for producing innovative solutions quickly in difficult situations, and offer our clients unparalleled quality of advice and experience in this field.