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Stockbrokers and fund managers

Stockbrokers and fund managers

Financial services professionals are under constant pressures from their clients to deliver increased value on the assets they manage. Recently, there has also been increasing public, legal and regulatory scrutiny in this area, and the industry has experienced greater uncertainty. Stockbrokers and wealth managers are not only required to deal with regulatory and supervisory matters, they are increasingly having to deal with contentious matters, including FSA investigations, claims before the Financial Ombudsman Service and substantial litigation before the courts.

Our team advises on litigation, regulatory, risk management and related matters for stockbrokers, wealth managers and IFAs. 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.

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. Our lawyers are experienced in UK and international work, and in all forms of regulatory and dispute resolution and other processes. We have worked on behalf of our clients in relation to a range of issues involving the Treasury Select Committee and 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.