Financial Services

Our Financial Services Work

• All
• UK & Europe

• Acting for a wealth management firm

  Acting for a wealth management firm in respect of multiple customer complaints concerning advice given to invest in an unregulated collective investment scheme (a fund of hedge funds). We advised on communications with customers and the FOS and have assisted with the design and implementation of a scheme (for approval by the FCA) to compensate all customers who fit within certain defined parameters

  Acting for IFAs

  Acting for IFAs in claims by clients and the FSCS arising out of the collapse of Keydata Investors who have lost all of their funds

  Acting in relation to a series of unregulated investments

  Acting for an IFA on a claim brought by a household name against his former financial adviser in relation to a series of unregulated investments made across the world

  Acting in relation to civil and regulatory exposures

  Acting for a wealth management firm in relation to civil and regulatory exposures arising from pension switching advice in which customers were advised to switch from occupational to personal pensions

  Acting on a series of frauds committed

  Acting for a well known national IFA network in relation to a series of frauds committed by an adviser

  Defending claims in respect of mortgage products

  Defending claims in respect of mortgage products and a number of cases in respect of alleged negligent mis-selling of home and equity release schemes

  Negligent advice in relation to high risk investments

  Acting for insurers of a firm of IFAs, in a claim alleging negligent advice in relation to high risk investments following the sale of shares. The case raises novel issues about the duties of care owed to investors who do not wish to invest in traditional types of investment such as equities and bonds

  Tax and M&A advice when acquiring a British publishing business

  Acting for a global law firm in a multi-party claim following tax and M&A advice provided in the course of the acquisition of a UK publishing business.

• "Sedation Solutions" - Incorporating an LLP

  Advised a group of several Consultant Sedationists in relation to their grouping under the banner of "Sedation Solutions". This involved the incorporation of the new LLP (and a related limited company), advising the parties in relation to the LLP Agreement, advising the LLP in relation to the acquisition of several medical practices, preparation of personal guarantees of the Members, and all related matters (including preparation of terms and conditions, licence to occupy premises, and...

  United Kingdom

  Advised on PI submissions for a leading national accounting firm

  Advised an accountancy firm on their PI submissions regarding the FRC investigation into previous employee. We also investigated the background as to why our client went insolvent

  United Kingdom

  D&O/PI cover for a leading national accounting firm

  The FSA led an investigation into operations systems and controls (FS regulated advice).  This raised questions regarding the nature and extent of our client's cover. We were therefore required to advise as to the adequacy of this cover. We then assisted with the transition of our client into another accountancy firm.

  United Kingdom

  Incorporating a new business

  Advised on the Incorporation of an accountancy business, including transfer of the business from the partnership to a new company and preparation of a shareholders agreement.

  United Kingdom

  Individual investment in a Limited Liability Partnership

  Advised an individual in relation to their investment in an LLP. Our role included the incorporation of the LLP, advice in relation to the preparation of the LLP Agreement, preparation of senior and junior debt documentation and all security documentation, and all ancillary documentation (including consultancy agreements, management agreement, and all members' resolutions etc).

  United Kingdom

  Merger and restructuring of two accountancy firms

  Advised our client on a number of complex employee/partner related matters arising out of the merger of two accountancy firms, and subsequent restructuring, which included a TUPE transfer of the business. The merger triggered exits from 6 teams of partners and their staff at 6 different locations across the UK. We provided urgent advice to the newly merged entity in relation to the protection of its business interests.

  United Kingdom

  Multi-million pound negligence claim

  Acting for a major accountancy in relation to a liquidation of a stockbroking company.  In relations to a multi-million pound negligence claim

  United Kingdom

  Partnership to LLP - Transfer of business

  Transfer of the business of an accountancy practice from a partnership to an LLP, including an LLP Members agreement and rebranding

  United Kingdom